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Part 4Rules of Procedure

Part 4

Rules of Procedure

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ContentsPage No(s

General Procedure Rules........................................................................................

Appendix 1 Procedural Decisions not contained within the General Procedure Rules........................................................

Appendix 2 Political Balance......................................................................

Appendix 3 Procedural Decisions Relating to Committees etc..................

Appendix 4 Scheme of Substitutes for Members.......................................

Access to Information Procedure Rules..................................................................

Appendix 1 Flowchart – Urgent Reports....................................................

Appendix 2 Rights of the Public to Attend Meetings and to Inspect Documents, with examples of Statutory Entitlement to Information..............................................................................

Appendix 3 Scheme of Public Participation................................................

Appendix 4 Rights of Access to Meetings and Documents by Councillors...............................................................................

Appendix 5 Procedure/Guidance Note – Filming, Photographing or making an Audio Recording of Proceedings at Meetings..................................................................................

Financial Procedure Rules(Including Key Decision Threshold for Individual Budget Heads).......................

Appendix 1 Glossary..................................................................................

Appendix 2 Financial Limits........................................................................

Budget and Policy Framework Procedure Rules.....................................................

Cabinet (Executive) Procedure Rules......................................................................

Appendix 1 Key Decision Thresholds.........................................................

Overview and Scrutiny Procedure Rules.................................................................

Appendix A(i) Councillor Call for Action Protocol...........................................

Appendix A(ii) Additional Procedure Rules for the Overview and Scrutiny Committee when acting as the Crime and Disorder Committee...........................................................

Appendix B(i) Councillor Call for Action (CCfA) – Request to the Chairman of Overview and Scrutiny...................................

Appendix B(ii) CCfA – Check Lists.................................................................

Appendix B(iii) CCfA – Case Studies..............................................................

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Appendix 1 Kent Association of Local Authorities Protocol for Overview and Scrutiny Inter-Authority Co-operation and National Health Service Overview and Scrutiny Protocol...................................................................................

Contract Standing Orders........................................................................................

Appendix B Procurement Guidance...........................................................

Officer Employment Procedure Rules.....................................................................

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Part 4Rules of Procedure -

General Procedure Rules


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Part 4Rules of Procedure -General Procedure Rules

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1. Definition and Description

(a) In these Procedure Rules, unless the contrary intention appears, the following expressions will mean:

“The Act” means the Local Government Act 1972.

“Clear Day(s)” excludes Saturdays and Sundays, Bank and Statutory Holidays, the day on which notice is given or the petition is presented and the day of the meeting.

“Committee” means any group of Members set up by the Council or the Cabinet (Executive).

“Sub-Committee” means any group of Members set up by the Council, the Cabinet (Executive) or a Committee.

(b) Words importing the masculine gender will include females.

2. Order of Seniority of Members

Members of the Council will rank in the following order of Seniority at Civic functions.

The Mayor The Deputy Mayor The Leader; and Councillors, according to their date of election (those elected at the

same time ranking according to alphabetical order.

If a person after ceasing to be a Member of the Council is subsequently re-elected within four years, his seniority will be determined by the total length of his service as a Member of the Council.

3. Records of Proceedings/Photographs

(a) No-one will take photographs of any proceedings of any meetings of the Authority occurring after the public have been excluded in accordance with the provisions of Section 100(A) of the Act or use any means to enable persons not present to see or hear any such proceedings (whether at the time or later), nor make any oral report on such proceedings as they take place.

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(b) Audio and Visual Recordings

While the meeting is open to the public, any person attending the meeting may film, audio record, take photographs and use social media and the internet to report on meetings as they are taking place in accordance with the guidance set out in Appendix 5 to the Access to Information Procedure Rules.

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General Procedure Rules – Contents

Contents

Rule Page No(s)

1. Annual Meeting of the Council.................................................................

2. Ordinary Meetings...................................................................................

3. Extraordinary Meetings............................................................................

4. Special Meetings.....................................................................................

5. Time and Place of Meetings....................................................................

6. Notice of and Summons to Meetings.......................................................

7. Chairing the Meeting...............................................................................

8. Quorum and Adjournments.....................................................................

9. Public Participation – Petitions, Questions and Speaking at Meetings..................................................................................................

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 Public..................................................................................

19. Members’ Conduct..................................................................................

20. Disturbance by Public..............................................................................

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Part 4Rules of Procedure -General Procedure Rules – Contents

21. Declarations of Interest............................................................................

22. Suspension and Amendment of Council Procedure Rules......................

23. Application to Committees and Sub-Committees....................................

A – Z General Procedure Rules..............................................................

Appendix 1 Procedural Decisions not contained within the General Procedure Rules (Procedure Rule 3.3 refers)................................................................................

Procedure Rules Relating to Staff................................

A - Appointment and Dismissal of Staff..............................

B - Disciplinary Action against the Head of the Authority’s Paid Service, the Monitoring Officer, and/or the Chief Finance (Section 151) Officer............

C Plans and Strategies....................................................

D - Executive Draft Plans and Strategies...........................

E - Sealing and Authentication of Documents....................

Appendix 2 Political Balance on Committees etc..................................

Appendix 3 Procedural Decisions relating to Committees etc..............

A - Appointment of Committees etc...................................

B - Appointment of Members to Committees etc...............

C - Appointment of Substitute Members of Committees etc.............................................................

D - Calling Extraordinary Meetings....................................

E - Person Presiding at Committees etc............................

F- Meetings of Committees etc..........................................

Appendix 4 Scheme of Substitutes for Members..................................

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1. Annual Meeting of The Council

1.1 Timing and Business

In a year when there is an ordinary election of Councillors, the Annual Meeting will take place within 21 days of the retirement of the outgoing Councillors. In any other year, the Annual Meeting will take place in March, April or May.

The Annual Meeting will:

(a) Elect a person to preside if the Mayor or Deputy Mayor is not present;

(b) Elect the Mayor;

NB: 1. The outgoing Mayor continues in that post until a successor is elected. If the Mayor is to continue as a Member of the Council following the Annual Meeting, s/he may vote in the election for a successor but if there is an equality of votes, must exercise a casting vote to break a tie. If the Mayor is not to continue as a Member of the Council after the Annual Meeting but is present to preside over the election of a successor, he cannot vote in the election, but if there is an equality of votes, he must give a casting vote to break the tie. (Section 4(5) of the Local Government Act 1972).

2. If the outgoing Mayor is not present at the Annual Meeting, the Deputy Mayor will preside. The same rules which apply to the Mayor, with regard to voting in the election of the new Mayor, apply. If neither Mayor or Deputy Mayor is present, the Council will elect a Chairman to preside over the meeting, whilst the new Mayor is elected. Such a Member may exercise an initial and second or casting vote.

3. A candidate for election to the Office of Mayor cannot preside over the election of the Mayor.

(c) Elect the Deputy Mayor;

(d) Approve and sign the minutes of the last meeting;

(e) Receive any announcements from the Mayor;

(f) Elect the Leader; (Note: in election years only as Leader will normally serve a 4 year term. Minute No 324/12/10 refers).

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(g) To note the number and names of those Members appointed by the Leader to the Cabinet (Executive);

(h) To note the Member appointed by the Leader as Deputy Leader;

(i) Appoint at least one Overview and Scrutiny Committee, a Standards Committee and such other committees as the Council considers appropriate to deal with matters which are neither reserved to the Council nor are executive functions (as set out in Part 3, of this Constitution) and appoint a Chairman and Vice Chairman for each;

(j) Agree the scheme of delegation or such part of it as the Constitution determines it is for the Council to agree (as set out in Part 3 of this Constitution);

(k) Approve a programme of ordinary meetings of the Council for the year; and

(l) 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 municipal year;

NB: Details of the Committees, Sub-Committees, Groups and Forums to be constituted and the procedure for recommending their composition etc. are contained in Procedural Decisions relating to Committees etc. as set out in Appendix (iii) to these Procedure Rules.

(b) Decide the size and terms of reference for those Committees;

(c) Decide the allocation of seats and the scheme of substitutes to political groups in accordance with the political balance rules;

NB: The procedure to be followed by the Council, Groups and individual Members is contained in the Guidance Note relating to Political Balance on Committees as set out in Appendix (ii) to these Procedure Rules.

(d) Receive the names of Councillors appointed to seats available to Groups from Group Leaders in accordance with the political balance requirements and the names of Councillors to serve on each Committee and Outside Bodies; and

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NB: The Procedure to be followed by the Council and Groups is contained in Procedural Decisions Relating to Committees etc. as set out in Appendix (iii) to the Procedure Rules.

(e) Appoint Members to those Committees and Outside Bodies except where appointment to those bodies has been delegated by the Council or is exercisable only by the Cabinet (Executive).

2. Ordinary Meetings of the Council

Ordinary meetings of the Council will take place in accordance with a programme decided at the Council’s Annual Meeting. Ordinary meetings will:

(a) Elect a person to preside if the Mayor and Deputy Mayor are not present;

(b) To deal with any items required by statute to be done before any other item.

(c) Consider whether any items should be dealt with in private because of the likely disclosure of exempt or confidential information;

(d) Receive any declarations of interest from Members;

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(e) Approve and sign the minutes of the last meeting;

(f) Receive any announcements from the Mayor, Leader or Members of the Cabinet (Executive);

(g) Receive any petitions;

(h) Receive questions from, and provide answers to, the public in relation to matters which in the opinion of the person presiding at the meeting are relevant to the business of the meeting;

(i) Deal with any business from the last Council meeting;

(j) Receive reports from the Cabinet (Executive) and the Council’s Committees and receive questions and answers on any of those reports:

The following will receive and respond to questions from Members of the Council in order:

The Leader; Cabinet (Executive) Portfolio Holders; Chairman of the Overview and Scrutiny Committee; and Chairmen of other Committees;

(k) Receive reports about and receive questions and answers on the business of Joint Arrangements and external organisations;

(l) Consider motions in the order in which notice has been received;

(m) Consider any other business specified in the summons to the meeting, including consideration of proposals from the Cabinet (Executive) in relation to the Council’s Budget and Policy Framework and reports of the Overview and Scrutiny Committees or Officers for debate.

3. Extraordinary Meetings of the Council

3.1 Calling Extraordinary Meetings

Those listed below may request the Proper Officer to call Council meetings in addition to ordinary meetings:

(a) The Council by resolution;

(b) The Mayor

(c) The Monitoring Officer; and

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(d) Any five Members of the Council if they have signed a requisition presented to the Mayor and s/he has refused to call a meeting or has failed to call a meeting within seven days of the presentation of the requisition. The purpose of the request to be specified.

3.2 Business

No business other than that specified in the summons to the meeting may be considered. It is not a requirement that the Minutes of the previous meeting are approved at such a meeting. There may be a presentation of petitions and/or a question and answer session but all petitions or questions must relate to the matter or matters to be discussed at the meeting.

3.3 Procedural Decisions Not Contained Within These Council Procedure Rules

The decisions and/or procedures set out in Appendices (i), (ii), (iii) and (iv) to these procedure rules being decisions taken by or on behalf of the Council will be followed as if they were included within the Council’s Procedural Rules.

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4. Special Meetings of the Council

4.1 Purpose

The Council may promote a local or personal Bill in Parliament or may oppose any local or personal Bill.

4.2 Procedure

The resolution of the Council to promote or oppose a Bill shall be:

(a) passed by a majority of the whole number of the Members of the authority at the meeting convened to consider it.

(b) in the case of the promotion of a Bill, the proposal has to be confirmed (by a like majority) at a further meeting convened to consider it, as soon as may be after the expiration of 14 days after the Bill has been deposited in Parliament. If the resolution is not confirmed, all reasonable steps shall be taken to withdraw the Bill.

4.3 Timings

(a) In the case of the promotion of a Bill (initial and Second Readings) the period of notice is 30 clear days.

(b) In the case of the opposition of a Bill the period of notice is ten clear days.

4.4 Publicity

Notice of the meeting and of its purpose has to be given by advertisement in one or more local newspapers circulating in the Borough. This notice is additional to the ordinary notice of a meeting.

5. Time and Place of Meetings

The time and place of meetings will be determined by the Proper Officer and notified in the summons.

6. Notice of and Summons to Meetings

The Proper Officer will give notice to the public of the time and place of any meeting in accordance with the Access to Information Rules. The Proper Officer will send by post a summons signed by him to every Member of the Council or leave it at their usual place of residence giving the period of notice listed below for the various types of Council meeting. The summons will give the date, time and place of each meeting and specify the business to be transacted, and will be accompanied by such reports as are available.

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Annual Meeting - Five clear daysOrdinary Meeting - Five clear daysExtraordinary Meeting - Five clear daysSpecial Meeting - (see 4.3 and 4.4 above)

7. Chairing Meetings of the Council

(a) The Mayor, or in his absence the Deputy Mayor, will preside at meetings of the Council.

(b) If both the Mayor and Deputy Mayor are absent the Members at the meeting will choose a Member to preside.

(c) Any power or duty of the Mayor to conduct a meeting may be exercised by the Member presiding at the meeting.

(d) If the Mayor or Deputy Mayor arrive after the start of the meeting, the Member then presiding will vacate the Chair and the Mayor and or Deputy Mayor will take the Chair.

8. Quorum and Adjournment

8.1The quorum of a 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 immediately. Remaining business will be considered at a time and date fixed by the majority of the Members present and voting at the meeting. If there is no agreement the Proper Officer in consultation with the Mayor and Leader will set a time and date. If he does not fix a date, the remaining business will be considered at the next ordinary meeting. If time permits the Proper Officer shall arrange for the delivery by post of details of the adjourned meeting. Such notice shall be sent to each Member of the Council specifying the business to be transacted. The absence or non-delivery of a notice shall not, however, invalidate business transacted properly at an adjourned meeting.

8.2 If more than one third of the Members become disqualified at the same time, then until the number of Members is increased to not less than two thirds, the quorum is to be determined by reference to the number of Members remaining qualified.

8.3The Council may adjourn any meeting to another day and hour and the adjourned meeting shall be deemed a continuation of the original meeting in respect of which the above rules shall be applied.

NOTE: For details as this relates to the Hearing Panel of the Standards Committee please refer to Part 3, Appendix 4 – Standards Committee – Annex 3 Hearing Panel Procedure 1.7.

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9. Public Participation – Petitions, Questions and Speaking at Meetings

9.1 Petitions

Subject to compliance with the Scheme of Public Participation as set out in Appendix (iii) to the Access to Information Procedure Rules:

Petitions may be presented in person at meetings of the Council and at relevant Committees and Sub-Committees or at meetings of the Cabinet (Executive) or a Committee of the Cabinet (Executive).

Upon receipt, the Chairman of the meeting, if a Council meeting, will advise whether the petition is to be referred to the Cabinet (Executive) or a Committee of the Cabinet (Executive) or to a Committee, Sub-Committee or Officer of the Council for consideration and, if a Committee or Sub-Committee to which Officer the petition will be passed.

In any circumstance referred to above, the Chairman of the meeting may advise that a written response will be sent.

If the issue, the subject of the petition can be dealt with at that meeting ie because it is an item already included upon the agenda for the meeting, the issues raised will, in so far as is possible, be dealt with at that meeting.

NB: 1. Petitions at Council meetings must be relevant to the powers and duties of the Council. The subject matter of petitions to the Cabinet (Executive) or a Committee of the Cabinet (Executive) or to Committees or Sub-Committees of the Council must be upon issues within the terms of reference of the Cabinet (Executive), or a Committee of the Cabinet (Executive) or Committees or Sub-Committees of the Council to which the petition is presented.

2. The subject matter of petitions and any response given at that time shall not be a matter for debate unless the petition relates to an item included upon the agenda for the meeting in which case the debate arising from the petition will take place during consideration of the item.

3. The Scheme of Public Participation does not apply to meetings of the Overview and Scrutiny Committee or its Sub-Committees as this Committee and Sub-Committees have their own arrangements for consulting with the public as detailed in the Overview and Scrutiny Procedure Rules.

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9.2 Questions

The Mayor may receive questions relevant to an item included upon the agenda for the meeting.

The question must be directed to either:-

The Leader; Cabinet (Executive) Portfolio Holders; Chairman of an Overview and Scrutiny Committee; or Chairmen of Other Committees.

If the Mayor rules that a question is proper ie that it refers to a matter of general concern relating to the powers and duties of the Council and relates to an item upon the agenda for the meeting and does not relate to affairs of an individual named or not, the Mayor will request the person to whom the question is directed to respond.

NB: The subject matter of questions and responses given shall not be matters for debate unless the question and response relate to an item included upon the agenda for the meeting in which case the debate arising from the question and response will take place during consideration of the item.

9.3 Speaking at Meetings

The Chairman may permit members of the public (including representatives of Parish Councils, Willesborough Community Forum, Kennington Community Forum, Central Ashford Community Forum and South Ashford Community Forum) to speak at meetings on items included upon the Agenda for that meeting.

The rules and procedure for speaking at meetings of the Planning Committee, are contained within the Scheme of Public Participation as set out in Appendix 3 to the Access to Information Procedural Rules.

10. Questions by Members

(a) A Member may ask the Leader, Member(s) of the Cabinet (Executive) or the Chairman of any Committee, or Sub-Committee any question on:

(i) Any matter then under consideration by the Council (without written notice);

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(ii) The Council’s powers or duties or any matter which affects the Borough, if notice of the question in writing has been given to the Proper Officer by 10.00 am one clear day prior to the date of the Council Meeting (excluding the Annual Meeting at which such questions are not permitted in any event) for example, on Tuesday for a Thursday meeting).

If the matter relates to an Executive function, the Proper Officer will convey the question to the Cabinet (Executive) Leader and/or the relevant Member of the Cabinet (Executive).

If the matter relates to a Council Committee function, the Proper Officer will convey the question to the Chairman of that Committee.

If the matter relates to an Overview and Scrutiny Committee function the Proper Officer will convey the question to the Chairman of the Overview and Scrutiny Committee; or

(iii) Urgent business (the Mayor to decide if the matter is of sufficient urgency to be raised).

(b) Questions will not contain imputations of motives or reflections of a personal character on any member of the Council’s staff.

(c) Every question will be put and answered without discussion.

(d) An answer may take the form of:

(i) A direct oral answer; or

(ii) Where the desired information is contained in a publication of the Council, a reference to that publication; or

(iii) Where the reply to the question cannot conveniently be given orally, a written answer to the Member who asked the question and those Members who wish to receive a copy.

(e) The Member who raised the original question may ask one supplementary question on the subject of the original question.

(f) One other Member may ask a supplementary question subject to the same rules.

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(g) The form and content of reply to an original or a supplementary question will be at the discretion of the Member giving the reply, unless in respect of an original question a written request has been received specifying a specific form of reply or replies. The Member to whom the question is addressed may decline to give a full, or any reply, if in the opinion of that Member to do so would involve an unreasonable amount of Officer time and cost.

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11. Motions on Notice

11.1 Notice

Except for motions which can be moved without notice under Rule 12, written notice of every motion, signed by the Member(s) giving the notice, must be delivered to the Proper Officer not later than noon on the Friday preceding the meeting (when the meeting is to be held on a Thursday), or similar period when the meeting is to be held on any other weekday (Saturday and Sunday inclusive). These will be entered in a book open to public inspection.

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(s), in writing, that s/he/they propose to move it at a later meeting or withdraw it.

11.3 Scope

Motions must be about matters for which the Council has a responsibility or which affect the Borough.

12. Motions without Notice

The following motions may be moved without notice:

(a) to appoint a Chairman 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 something to an appropriate body or individual;

(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;

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(k) to adjourn a debate;

(l) to adjourn a meeting;

(m) to suspend a particular Council Procedure rule;

(n) to exclude the public and Press in accordance with the Access to Information Rules;

(o) to not hear further a Member named under Rule 19.3 or to exclude them from the meeting under Rule 19.4;

(p) to give the consent of the Council where its consent is required by this Constitution;

(q) to extend the time limit for speeches;

(r) that the meeting become a Committee of the Council;

(s) that the meeting of the Council be resumed;

(t) to determine the time and date of an adjourned meeting;

(u) to put the motion in parts to the vote.

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.

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 the Proper Officer before it is discussed.

13.3 Seconder’s Speech

When seconding a motion or amendment, a Member may reserve their speech until later in the debate.

13.4 Content and Length of SpeechesSpeeches must be directed to the question under discussion or to a personal explanation or point of order. No speech may exceed five minutes without the consent of the Mayor.

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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 a previous amendment is not carried or the motion has been amended since s/he last spoke (see 13.6 (d) and (e) below);

(c) if the Members first speech was on an amendment moved by another Member, to speak on the main issue (whether or not the amendment on which s/he spoke was carried) (see 13.10 below);

(d) in exercise of a right of reply (see 13.9 below);

(e) on a point of order (see 13.13 below); and

(f) by way of personal explanation (see 13.14 below).

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.

(b) Only one amendment may be moved and discussed at any one time. No further amendment may be moved until the amendment under discussion has been disposed of. A Member may, however, give notice of a further amendment (see, however, 13.7(c) below).

(c) The Chairman may permit two or more amendments to be discussed together if this is likely to help the proper conduct of the business BUT each amendment must be voted on separately.

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(d) If an amendment is not carried, other amendments to the original motion may be moved.

(e) 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.

(f) After an amendment has been carried, the chairman will read out the amended motion before accepting any further amendments, or if there are none, put it to the vote.

13.7 Alteration of Motion

(a) A Member may when moving a motion of which she/he has given notice alter it with the consent of the meeting and the other signatories. The meeting’s consent will be signified without discussion.

(b) A Member may alter a motion which s/he 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 s/he 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 – Proposer of Motion Only

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.

13.10 Right of Reply – Upon Amendment to Motion

At the end of a debate on an amendment to a motion the order in which Members may speak is as follows:

(a) the mover of the amendment may respond to comments made during the debate;

(b) the Chairman of the relevant Committee or Leader or appropriate Cabinet (Executive) Member, if that Member has not already spoken in the debate otherwise than in accordance with Rule 13(12) and 13(13);

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(c) the mover of the original motion who shall not otherwise speak on the amendment.

NB Other than as provided for at (i) above the mover of an amendment has no right of reply.

13.11 Motions Which May be Moved During Debate

When a motion is under debate, no other motion may be moved except the following procedural motions:

(a) to withdraw a motion;

(b) to amend a motion;

(c) to proceed to the next business;

(d) that the question be now put;

(e) to adjourn a debate;

(f) to adjourn a meeting;

(g) that the meeting become a Committee of the Council;

(h) that the meeting of the Council be resumed;

(i) to exclude the public and Press in accordance with the Access to Information Rules; and

(j) to not hear further a Member named under Rule 19.3 or to exclude them from the meeting under Rule 19.4.

13.12 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 the next business" is seconded and the Mayor thinks the item has been sufficiently discussed, s/he will give

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the mover of the original motion a right of reply and then put the procedural motion to the vote.

(c) If a motion that "the question be now put" is seconded and the Mayor thinks the item has been sufficiently discussed, he will put the procedural motion to the vote. If it is passed he will give the mover of the original motion 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 will put the procedural motion to the vote without giving the mover of the original motion the right of reply.

13.13 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 Procedure Rules or the law. The Member must indicate the rule or law and the way in which he considers it has been broken. The ruling of the Mayor on the matter will be final.

13.14 Personal Explanation

A Member may make a personal explanation at any time. A personal explanation may only relate to some material part of an earlier speech by the Member (whether or not made at the meeting) 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.

13.15 Motions on Expenditure

Any motion, other than a motion to approve the recommendation of the Cabinet (Executive), which if carried would materially increase the expenditure upon any service under the management of the Cabinet (Executive), or materially reduce the revenue of the Executive, or would involve capital expenditure, shall, when proposed and seconded, stand adjourned without discussion to the next meeting of the Cabinet (Executive), which shall consider it at its next meeting.

NB: This Procedure Rule does not apply to the meeting covered to consider the Council Tax for the next year.

13.16 Motions Affecting Persons Employed by the Council

(a) If any question arises on the Appointment, Promotion, Dismissal, Salary, Superannuation, Conditions of Service or conduct of any Council employee, the question must be referred forthwith to the Head of Paid Service. Procedure Rules relating to staff refer. (Part

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4 Rules of Procedure – General Procedure Rules – Procedural Decisions not contained within the General Procedure Rules).

NB: The above does not apply so as to prevent consideration of a report from the Head of Paid Service, Director or Service Manager concerning the Appointment, Promotion, Dismissal, Salary, Superannuation, Conditions of Service or Conduct of any Council employee.

(b) Procedures for the dismissal of the Head of the Authority’s Paid Service, Chief Finance Officer (Section 151 Officer) and Monitoring Officer are as set out in the Local Authorities (Standing Orders) (England) Regulations 2001, (as amended). (See Part 4 Rules of Procedure – General Procedure Rules – Procedural Decisions not contained within the General Procedure Rules.)

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 the Council within the past six months cannot be moved unless the notice of motion is signed by at least 17 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 the Council in the past six months cannot be moved unless the notice of motion or amendment is signed by at least 17 Members. Once the motion or amendment is dealt with, no one can propose a similar motion or amendment for six months.

NB: These Procedure Rules shall not apply to motions moved upon a recommendation of the Cabinet (Executive) or Overview and Scrutiny Committee or of a Committee of the Council.

15. Voting

15.1 Majority

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

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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, regardless of whether he has used his first vote. There will be no restriction on how the Mayor chooses to exercise a casting vote.

NB: See, however, the note to General Procedure Rule 1.1 (b).

15.3 Method of Voting

Voting at Council Meetings shall normally be undertaken by the electronic voting system, or by a show of hands.

15.4 Recorded Vote

(a) If a Member so requests before the Chairman begins to take the vote, and the request is supported by six other Members ie a total of seven (who show their support by standing) s/he may request a recorded vote.

(b) In the event of the electronic voting system being out of service then:

(i) the Proper Officer will call the name of each Member;

(ii) the Member will respond, for or against the motion or amendment or by abstaining and

(iii) the Proper Officer will record each Member’s response.

15.4A Recorded Vote of Budget Decisions

Immediately after any vote is taken at a budget decision meeting there must be recorded in the minutes of the proceedings of that meeting the names of the persons who cast a vote for the decision or against the decision or who abstained from voting.

NB: “budget decision” means a meeting at which it –

(i) makes a calculation (whether originally or by way of substitute) in accordance with any of sections 31A, 31B, 34 to 36A, 42A, 42B, 45 to 49, 52ZF, 52ZJ of the Local Government Finance Act 1992 (5); or

(ii) issues a precept under Chapter 4 of Part 1 of that Act,

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and includes a meeting where making the calculation or issuing the precept as the case may be was included as an item of business on the agenda for that meeting.

References to a vote are references to a vote on any decision related to the making of the calculation or the issuing of the precept as the case may be.

This is a mandatory standing order under the Local Authorities (Standing Orders) (England) Regulations 2001.

15.5 Right to Require Individual Vote to be Recorded

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

NB: This is a mandatory standing order under the Local Authorities (Standing Orders) Regulations 1993.

15.6 Voting on Appointments

If there are more than two people nominated for any position to be filled and there is not a clear majority of votes in favour of one person, then the name of the person with the least number of votes will be taken off the list and a new vote taken. The process will continue until there is a majority of votes for one person.

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 aspect 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.

NB: This is a mandatory standing order under the Local Authorities (Standing Orders) Regulations 1993.

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16.3 Form of Minutes

Minutes will contain all motions and amendments in the exact form and in the order in which 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.

18. Exclusion of Public

Members of the public and Press may only be excluded either in accordance with the Access to Information Rules in Part 4 of this Constitution or Procedure Rule 21 (Disturbance by Public).

19. Members' Conduct

19.1 Standing to speak

When a Member speaks at Full Council s/he 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 (see 13.13 and 13.14 respectively above).

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

If a Member persistently disregards the ruling of the Mayor by behaving improperly or offensively or deliberately obstructs business, 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 a Member continues to behave improperly after a motion that s/he ‘Not be Heard Further’ (see 19.3 above) 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.

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19.5 General Disturbance If there is a general disturbance making orderly business impossible, the Mayor may adjourn the meeting for as long as s/he thinks necessary.

20. Disturbance by the Public

20.1 Removal of the Public

If a member of the Public interrupts proceedings, the Mayor will warn the person concerned. If that person continues 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. Declarations of Interest

21.1 A Member with a Disclosable Pecuniary Interest or Other Significant Interest in a matter to be considered, or being considered at a meeting must:

(a) disclose the interest; and

(b) explain the nature of that interest at the commencement of that consideration or when the interest becomes apparent (subject to paragraph 21.5 below); and unless they have been granted a dispensation;

(c) not participate in any discussion of, or vote taken on, the matter at the meeting; and

(d) withdraw from the meeting room whenever it becomes apparent that the business is being considered; and

(e) not seek improperly to influence a decision about that business.

21.2 A Member with an Other Significant Interest, may attend a meeting 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. The Member will withdraw from the meeting room immediately after making representations, answering questions or giving evidence.

21.3 Where a Member has declared a Disclosable Pecuniary Interest or Other Significant Interest in a matter under discussion (unless a dispensation has been granted as referred to in paragraph 1. of this Standing Order), chooses to participate in the discussion and vote, the Chairman will refuse to count the 'vote' of the Member concerned. The Chairman may apply the rules in Council Procedure Rules relating to 'disorderly conduct'.

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21.4 The Chairman may request that a Member declare a Disclosable Pecuniary Interest or an Other Significant Interest and, if appropriate, leave the meeting room, should they have reason to believe that the provisions of the Code of Conduct and/or this Standing Order are being breached.

21.5 Where a Disclosable Pecuniary Interest or an Other Significant Interest has been agreed by the Monitoring Officer as being a Sensitive Interest, the Member need only disclose the existence of the interest but not its nature.

21.6 This Standing Order applies to a Cabinet member acting alone under portfolio powers and to a ward Member who discharges functions at ward level.

22. Suspension and Amendment of Council Procedure Rules

22.1 Suspension

All of these Council Rules of Procedure except Rule 15.4A, 15.5 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.

22.2 Amendment

Any motion to add to, vary or revoke these General Procedure Rules will, when proposed and seconded, stand adjourned without discussion to the next ordinary meeting of the Council unless already on the agenda.

23. Application to Committees and Sub-Committees

All the General Procedure Rules apply to meetings of Full Council. None of the rules, save for Rule 15.4A and 21, apply to meetings of the Cabinet (Executive). Only Rules 6, 7, 8, 9, 12 (a to d) and (f to p), 13.1 to 13.3, 13.6 to 13.8, 13.11, 13.14 and 13.16, 14, 15.1, 15.2, 15.4A, 15.5 and 15.6, 16.1, 16.2, 17, 18, 19.3 to 19.5, 20 and 21 apply to meetings of Committees and Sub-Committees, save that General Procedure Rules 13.1, 13.2, 13.6 (b) and (d), 13.11 and 14 do not apply to the Planning Committee as the procedure followed by the Committee in relation to voting has been amended (Minute No. 120/08/11 refers), and in this case references to the Mayor should be interpreted as ‘Chairman’.

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Part 4Rules of Procedure -General Procedure Rules – Index


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General Procedure Rules – Index

Index Procedural Rule

Accuracy of Minutes 16.1

Adjournment 8

Allocation of Seats 1.2 (c)

Alteration of Motion 13.7

Amendment of Council Procedural Rules 22.2

Amendment to Motion – Right of Reply – Procedure 13.10

Amendments to Motion Procedure 13.6

Annual Meeting of Council 1

Application to Committees and Sub-Committees 23

Appointment of Members to Cabinet (Executive) 1.1 (g)

Appointment of Members to Outside Bodies 1.2 (e)

Appointments – Voting 15.6

Cabinet (Executive) – appointment of Members 1.1 (g)

Casting Vote – Mayor 15.2

Chairing Meetings of the Council 7

Clearance of Part of Meeting Room 20.2

Closure Motions 13.12

Committees – Appointment of Members 1.2

Committees – Decide which to Establish 1.2 (a)

Committees – Size and Terms of Reference 1.2 (b)

Conduct of Members 19

Content and Length of Speeches 13.4

Council – Annual Meeting 1

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Council – Ordinary Meetings – Procedure 2

Declarations of Interest 21

Debate – Motion which may be moved 13.11

Debate – Rules 13

Delegation Scheme – Agreement of 1.1 (j)

Deputy Leader – Note of Appointment 1.1 (h)

Deputy Mayor – Election 1.1 (c)

Disturbance – General 19.5

Disturbance by the Public 20

Election of Leader 1.1 (f)

Elect Person to Preside if Mayor/Deputy Mayor not present 1.1 (a)

Employees of the Council – Motions Affecting 13.16

Exclusion of Public 18

Exempt/Confidential Information 2 (c)

Expenditure – Motion 13.15

Extension of Time Limit for Speeches 12 (q)

Extraordinary Meetings of the Council 3

Extraordinary Meetings – Business 3.2

Extraordinary Meetings – Procedure for Calling 3.1

General Disturbance at a Meeting 19.5

Leader of Council – Election 1.1 (f)

Majority 15.1

Mayor – Election 1.1 (b)

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Mayor Standing During a Meeting 19.2

Mayor’s Announcements 1.1 (e)

Mayor’s Casting Vote 15.2

Meetings of the Council – Annual Meeting 1

Meetings of the Council – Timing and Business 1.1

Member Not to be Heard Further 19.3

Member to Leave the Meeting 19.4

Members’ Conduct 19

Method of Voting 15.3

Minutes 16

- Form of 16.3

- No Requirement to Sign 16.2

- Signing 1.1 (d) and 16.1

Motion – Alteration 13.7

Motion – Proposer only – Right of Reply 13.9

Motion – Right of Reply – Procedure Upon Amendment 13.10

Motion – Right to Require in Writing 13.2

Motion – When a Member may Speak again 13.5

Motion – Withdrawal 13.8

Motion of Amendment – Procedure 13.6

Motion to Rescind a Previous Decision 14.1

Motion Similar to One Previously Rejected 14.2

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Motions – Affecting Persons Employed by the Council 13.16

Motions – Closure 13.12

Motions – Expenditure 13.15

Motions – Scope 11.3

Motions – Set out in Agenda 11.2

Motions on Notice – Deadline for the Receipt 11.1

Motions which may be Moved during Debate 13.11

Motions without notice 12

No Speeches until Motion Seconded 13.1

Notice of and Summons to Meetings 6

Notice Periods Required to Call a Meeting 6

Order of Response to Questions from Members 2 (j)

Ordinary Meetings of Council – Procedure 2

Outside Bodies – Appointment of Members 1.2 (e)

Outside Bodies – Receiving Names 1.2 (d)

Overview and Scrutiny Committee – Appointment 1.1 (i)

Personal Explanation 13.14

Persons Employed by the Council – Motions Affecting 13.16

Petitions by the Public 9.1

Point of Order 13.13

Previous Decisions and Motions 14

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Procedural Decisions Not Contained Within These Council Procedural Rules

3.3

Programme of Meetings 1.1 (k)

Public – Exclusion 18

Public – Removal 20.1

Public Participation Scheme 9

Question be now put 12 (j)

Questions by Members 10

Questions by the Public 9.2

Quorum 8

Record of Attendance 17

Recorded Vote 15.4

Recorded Vote of Budget Decisions 15.4A

Recording of Individual Vote 15.5

Removal of Member of the Public 20.1

Rescind Previous Decision – Motion of 14.1

Right of Reply – Procedure Upon Amendment to Motion 13.10

Right of Reply – Proposer of Motion Only 13.9

Right to Require Individual Vote to be Recorded 15.5

Rules of Debate 13

Scheme of Substitutes – Council 1.2 (c)

Seconder’s Speech 13.3

Selection of Councillors on Committees and Outside Bodies 1.2

Six Month Rule 14.1

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Speaking at Meetings – Public 9.3

Special Council Meetings 4

- Publicity 4.4

- Purpose and Procedure 4.1 and 4.2

- Timing 4.3

Speech – Content and Length 13.4

Standards Committee – Appointment 1.1 (i)

Standing to Speak 19.1

Summons to and Notice of Meetings 6

Supplementary Question at Council 10 (e)

Suspension of Council Procedure Rules 22.1

Time and Place of Meetings 5

Voting 15

Voting on Appointments 15.6

When a Member may Speak again on a Motion 13.5

Withdrawal of a Motion 13.8

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Part 4 Rules of Procedure - General Procedure Rules -Appendix 1 -Procedural Decisions not contained within the General Procedure Rules

Appendix 1Procedure Rule 3.3 Refers

Procedural Decisions not Contained within the General Procedure Rules

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Part 4 Rules of Procedure -

General Procedure Rules -Appendix 1 -

Procedural Decisions not contained within the General Procedure Rules

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Procedure Rules Relating to Staff

A. Appointment and Dismissal of Staff

NB: Please also see Terms of Reference for the Appointments Committee (Part 3, Appendix 4) which deals with arrangements for the appointment of a Chief Executive (Head of Paid Service), Monitoring Officer, Chief Finance Officer (Section 151), Directors and Heads of Service.

1) The appointment and dismissal of, and taking of disciplinary action against, a Member of staff of the Authority must be discharged, on behalf of the Authority, by the Head of Paid Service or by an Officer nominated by him.

2) Paragraph (1) above shall not apply to the appointment or dismissal of, or disciplinary action against:-

(a) the Officer designated as the Head of the Authority’s Paid Service, or the Monitoring Officer or Chief Finance Officer (Section 151).

(b) A Non-Statutory Chief Officer, namely

(i) a person for whom the Head of the Authority’s Paid Service is directly responsible;

(ii) a person who, as respects all or most of the duties of his/her post, is required to report directly or is directly accountable to the Head of the Authority’s Paid Service; and

(iii) any person who, as respects all or most of the duties of his post, is required to report directly or is directly accountable to the Local Authority themselves or any Committee or Sub-Committee of the Authority.

(c) A Deputy Chief Officer, namely a person who, as respects all or most of the duties of his post, is required to report directly or is directly accountable to one or more of the Statutory or Non-statutory Chief Officers.

(d) Assistants for political groups.

3) (1) Where a Committee, Sub-Committee or Officer is discharging, on behalf of the Authority, the function of the appointment or dismissal of an Officer designated as the

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Head of the Authority’s Paid Service, Monitoring Officer and Chief Financial Officer (Section) the Authority must approve that appointment before an offer of appointment is made to him/her or, as the case may be or must approve dismissal before Notice of Dismissal is given to him/her.

(2) Where a Committee or a Sub-Committee of the Authority is discharging, on behalf of the Authority, the function of the appointment or dismissal of any Officer referred to in Paragraph 2 (b) to (d) (above) at least one Member of the Cabinet (Executive) must be a Member of that Committee or Sub-Committee.

4) (1) “Appointor” means in relation to the appointment of a person as an Officer of the Authority, the Authority or, where a Committee, Sub-Committee or Officer is discharging the function of appointment on behalf of the Authority, that Committee, Sub-Committee or Officer, as the case may be.

(2) An offer of an appointment as an Officer referred to in sub-paragraphs (b) (i) (ii) (iii) or (c) of paragraph 2 must not be made by the appointor until

(a) the appointor has notified the Proper Officer of the name of the person to whom the appointor wishes to make the offer and any other particulars which the appointor considers are relevant to the appointment;

(b) the Proper Officer has notified every Member of the Cabinet (Executive) of the Authority of:

(i) the name of the person to whom the appointor wishes to make the appointment

(ii) any other particulars relevant to the appointment which the appointor has notified to the Proper Officer; and

(iii) the period within which any objection to the making of the offer is to be made by the Cabinet (Executive) Leader on behalf of the Cabinet (Executive) to the Proper Officer; and

(c) either

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(i) the Cabinet (Executive) Leader has, within the period specified in the Notice under sub-paragraph (b) (iii), notified the appointor that neither he nor any other Member of the Cabinet (Executive) has any objection to the making of the offer.

(ii) the Proper Officer has notified the appointor that no objection was received by him within that period from the Cabinet (Executive) Leader; or

(iii) the appointor is satisfied that any objection received from the Cabinet (Executive) Leader within that period is not material or is not well-founded.

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5) (1) “Dismissor” means, in relation to the dismissal of an Officer of the Authority, the Authority or, where a Committee, Sub-Committee or another Officer is discharging the function of dismissal on behalf of the Authority, that Committee, Sub-Committee or other Officer as the case may be.

(2) Notice of the dismissal of an Officer referred to in sub-paragraph (b) (i) (ii) (iii) or (c) of paragraph 2 must not be given by the dismissor until:

(a) the dismissor has notified the Proper Officer of the name of the person who the dismissor wishes to dismiss and any other particulars which the dismissor considers are relevant to the dismissal;

(b) The Proper Officer has notified every Member of the Cabinet (Executive) of the Authority of:

(i) the name of the person who the dismissor wishes to dismiss.

(ii) any other particulars relevant to the dismissal which the dismissor has notified to the Proper Officer; and

(iii) the period within which any objection to the dismissal is to be made by the Cabinet (Executive) Leader on behalf of the Cabinet (Executive) to the Proper Officer; and

(c) Either

(i) the Cabinet (Executive) Leader has, within the period specified in the Notice under sub-paragraph (b) (iii), notified the dismissor that neither he nor any other Member of the Cabinet (Executive) had any objection to the dismissal.

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(ii) the Proper Officer has notified the dismissor that no objection was received by him within that period from the Cabinet (Executive) Leader; or

(iii) the dismissor is satisfied that any objection received from the Cabinet (Executive) Leader within that period is not material or is not well-founded.

6) Nothing in paragraph 1 shall prevent a person from service as a Member of any Committee or Sub-Committee established by the Authority to consider an appeal by:

(a) Another person against any decision relating to the appointment of that other person as a member of staff of the Authority; or

(b) A member of staff of the Authority against any decision relating to the dismissal of, or taking disciplinary action against, that member of staff.

NB 1 The power to approve the appointment or dismissal of the Head of the Authority’s Paid Service, Monitoring Officer, Chief Finance Officer (Section 115) shall be exercised by the Full Council. Neither courses of action may be delegated to a Committee or Sub-Committee.

NB 2 “Disciplinary Action” in relation to a member of staff of a Local Authority means any action occasioned by alleged misconduct which, if proved, would according to the usual practice of the Authority, be recorded on the member of staff’s personal file, and includes any proposal for dismissal of a member of staff for any reason other than redundancy, permanent ill-health or infirmity of mind or body, but does not include failure to renew a contract of employment for a fixed term unless the Authority has undertaken to renew such a contract.

“Member of Staff” means a person appointed to or holding a paid office or employment.

(The Local Authorities (Standing Orders) (England) Regulations 2001)

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B. Disciplinary Action Against The Head Of The Authority’s Paid Service, The Monitoring Officer, and/or The Chief Finance (151) Officer (“Relevant Officers”)

A relevant Officer may not be dismissed by the Council unless

(a) the procedure set out in Schedule 3 to the Local Authorities (Standing Orders) (England) Regulations 2001 (as amended) is complied with and

(b) the dismissal is voted for by at least two-thirds of the membership of the Council.

Plans and Strategies

C. Cabinet (Executive) Draft Plans and Strategies

1) Where the Cabinet (Executive) has submitted a Draft Plan or Strategy to the Authority for its consideration and, following consideration of that Draft Plan or Strategy, the Authority has any objections to it, the Authority must take the action set out in paragraph 2.

2) Before the Authority:

(a) amends the Draft Plan or Strategy;

(b) approves, for the purpose of its submission to the Secretary of State or any Minister of the Crown for his approval, any plan or strategy (whether or not in the form of a draft) of which any part is required to be so submitted; or

(c) adopts, (with or without modification) the Plan or Strategy,

It must inform the Cabinet (Executive) Leader of any objection which it has to the Draft Plan or Strategy and must give to him instructions requiring the Cabinet (Executive) to reconsider, in the light of those objections, the Draft Plan or Strategy submitted to it.

3) Where the Authority gives instructions in accordance with paragraph 2), it must specify a period of at least five working days beginning on the day after the date on which the Cabinet (Executive) Leader receives the instructions on behalf of the Cabinet (Executive), within which the Cabinet (Executive) Leader may:-

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(a) submit a revision of the Draft Plan or Strategy as amended by the Cabinet (Executive) (the “revised Draft Plan or Strategy”), with the Cabinet’s (Executive) reasons for any amendments made to the Draft Plan or Strategy, to the Authority for the Authority’s consideration; or

(b) inform the Authority of any disagreement that the Cabinet (Executive) has with any of the Authority’s objections and the Cabinet’s (Executive) reasons for any such disagreement.

4) When the period specified by the Authority, referred to in paragraph 3), has expired, the Authority must, when:-

(a) amending the Draft Plan or Strategy or, if there is one, the revised Draft Plan or Strategy;

(b) approving, for the purpose of its submission to the Secretary of State or any Minister of the Crown for his approval, any Plan or Strategy (whether or not in the form of a Draft or Revised Draft) of which any part is required to be so submitted; or

(c) adopting, (with or without modification) the plan or strategy,

take into account any amendments made to the Draft Plan or Strategy that are included in any revised Draft Plan or Strategy, the Cabinet’s (Executive) reasons for those amendments, any disagreement that the Cabinet (Executive) has with any of the Authority’s objections and the Cabinet’s (Executive) reasons for that disagreement, which the Cabinet (Executive) Leader submitted to the Authority, or informed the Authority of, within the period specified.

5) Where before 8th February in any financial year, the Authority’s Cabinet (Executive) submits to the Authority for its consideration in relation to the following financial year:-

(a) estimates of the amounts to be aggregated in making a calculation (whether originally or by way of a substitute) in accordance with any of Sections 32 to 37 or 43 to 49, of the Local Government Finance Act 1992;

(b) estimates of other amounts to be used for the purposes of such a calculation;

(c) estimates of such a calculation; or

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(d) amounts required to be stated in a precept under Chapter IV of Part 1 of the Local Government Finance Act 1992,

and following consideration of those estimates or amounts the Authority has any objections to them, it must take the action set out in paragraph 6.

6) Before the Authority makes a calculation (whether originally or by way of substitute) in accordance with any of the sections referred to in paragraph 5(a), or issues a precept under Chapter IV of Part 1 of the Local Government Finance Act 1992, it must inform the Cabinet (Executive) Leader of any objections which it has to the Cabinet’s (Executive) estimates or amounts and must give to him instructions requiring the Cabinet (Executive) to reconsider, in the light of those objections, those estimates and accounts in accordance with the Authority’s requirements.

7) Where the Authority gives instructions in accordance with paragraph 6, it must specify a period of at least five working days beginning on the day after the date on which the Cabinet (Executive) Leader receives the instructions on behalf of the Cabinet (Executive) within which the Cabinet (Executive) Leader may:-

(a) submit a revision of the estimates or amounts as amended by the Cabinet (Executive) (“revised estimates or amounts”), which have been reconsidered in accordance with the Authority’s requirements, with the Cabinet’s (Executive) reasons for any amendments made to the estimates or amounts, to the Authority for the Authority’s consideration; or

(b) inform the Authority of any disagreement that the Cabinet (Executive) has with any of the Authority’s objections and the Cabinet’s (Executive) reasons for any such disagreement.

8) When the period specified by the Authority, referred to in paragraph 7, has expired, the Authority must, when making calculations (whether originally or by way of substitute) in accordance with the sections referred to in paragraph 5(a), or issuing a precept under Chapter IV of Part 1 of the Local Government Finance Act 1992, take into account;

(a) any amendments to the estimates or amounts that are included in any revised estimates or amounts

(b) the Cabinet’s (Executive) reasons for those amendments;

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(c) any disagreement that the Cabinet (Executive) has with any of the Authority’s objections; and

(d) the Cabinet’s (Executive) reasons for that disagreement,

(which the Cabinet (Executive) Leader submitted to the Authority, or informed the Authority of, within the period specified).

D. Sealing and Authentication of Documents

1) The Common Seal of the Council shall not be affixed to any document unless the sealing has been authorised by a resolution of the Council, the Cabinet (Executive) or of a Committee, Sub-Committee or Officer acting in pursuance of delegated powers.

Law of Property Act 1925 - Section 74

2) A resolution of the Council authorising the acceptance of any tender, the purchase, sale, letting, or taking of any property, the issue of any stock, the presentation of any petition, memorial or address, the making of any rate precept upon the Council Tax Collection Fund or contract, or any other matter or thing shall be a sufficient authority for sealing any document necessary to give effect to or in consequence of that resolution.

3) The Seal shall be attested by one Member and one Officer being:-

(a) the Mayor or Deputy Mayor of the Council (or in their absence the Leader of the Council or Deputy Leader of the Council) and,

(b) the Head of Legal and Democracy or another practising solicitor employed as such or the Chief Executive.

4) An entry of every sealing of a document shall be made and numbered consecutively in a book provided for that purpose (which shall also indicate the authority for such sealing) and shall be signed or initialled by the persons who shall have attested the Seal.

5) In cases of urgency, if any Member is not available readily to attest the Seal in accordance with sub-paragraph (3)(a) above then the Head of Legal and Democracy or other duly authorised Officer may attest alone.

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Political Balance

Appendix 2Procedure Rule 1 – 2 (iii) Refers

Political Balance

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Part 4 Rules of Procedure - General Procedure Rules -Appendix 2 -Political Balance

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Political Balance

Political Balance on Committees

1. Introduction

The Local Government and Housing Act 1989 (as amended) provides a statutory basis for the rights of minority groups to secure representation upon Council Committee and Sub-Committee meetings (including joint bodies to which the Council nominates Members) in proportion to their respective political strengths within the Council.

Regulations made under the Act lay down procedures for the constitution of Groups and the expressions of wishes of those Groups and individual Members who wish to join or leave any particular Group or form any further Group as the case may be. The Regulations provide for the Council to review the allocation of seats to political groups (ie., to secure political balance) in certain circumstances which are explained in this note.

The key issues to note are the requirements upon individual Members to indicate a wish to be a Member of any particular Group or cease to be a Member of any Group, and to note the role of the Leader or the majority of Members in any Group in allocating seats on Council Committees and Sub-Committees to Group Members. This is of particular importance following elections of the whole Council but may also be relevant when individual Members change Groups or constitute a further Group or upon an election of a new Member during a Municipal Term when overall political balance may be affected or may be required to be reviewed.

Accordingly, this note aims to explain:-

what a political group is

when the Council must review the political balance of its Committees etc.

how seats on various Committees should be allocated in accordance with the Act and Regulations

what steps you should take when joining or leaving a Group or upon any changing composition of the Group or its leadership.

2. What Is A Political Group?

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By definition a political group needs to be comprised of two or more Members who have indicated by notice to the Corporate Director (Law and Governance) that they wish to constitute a named group, such notice also to indicate the identity of the Leader of the Group. On an optional basis, that notice may also indicate the name of the Deputy Leader. The notice must be signed by all Members who wish to form the Group.

The Regulations allow for Groups which are described in substantially similar terms to be treated as a single group for the purposes of determining the allocation of seats.

Once formed, changes in leadership and membership can be made by further notice to the Head of Legal and Democracy. The wishes of the Group can be made known by the Leader or a majority of Group Members unless it relates to a change in Leader in which event the notice must be signed by the majority of the Group.

The Regulations may provide particular support for those Members who have been elected, say, as independent, Council Tax payers' representatives etc., who may wish to combine as an "independent" group. It will not, as a matter of course, entitle Members of such a Group to seats on every Committee or Sub-Committee or even a majority of them unless the Group is sizeable.

3. The Duty to Review Allocation

The Council has given delegated authority to the Head of Legal and Democracy to agree provisionally the Political Balance of the Authority with Group Leaders.

NB: The Final Calculation has to be approved by the Full Council and is submitted to the Annual Meeting of the Council for adoption.

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Political Balance

Following provisional agreement of the Political Balance Calculation, Groups are notified of the allocations they are entitled to as a whole and on individual Committees etc. To assist the Council in operating as soon as possible after the whole Council Elections the Council has further delegated authority to the Head of Legal and Democracy, in liaison with Group Leaders, to appoint Members to the Selection and Constitutional Review Committee and to convene a meeting of the Committee. That meeting receives details of Members appointed by Group Leaders to the seats allocated on Committees etc. and recommends the appointment of Committee Chairmen and Vice-Chairmen etc. More details of the role of the Selection and Constitutional Review Committee and the Head of Legal and Democracy in the period between the whole Council Elections and the Annual Meeting of the Council are contained within the Terms of Reference of the Committee and the Scheme of Delegations in Part 3 of this Constitution.

The Political Balance Calculation and review will occur:-

As soon as practicable after the Head of Legal and Democracy receives notice of the constitution of a political group, or a change in membership of any group where such notice is delivered at least one month after the previous review.

As soon as practicable after the Head of Legal and Democracy receives from any newly elected Member a notice of membership of any political group accompanied by a further notice specifically requesting a review of political balance provided that a review has not taken place within one month of the election.

The wishes of the various political groups on the Council as to seat allocation will normally be expressed by the Leader of the political groups to the Head of Legal and Democracy. The Leaders of the Groups will identify those Members to whom seats are to be allocated on the various Committees etc., in accordance with the allocation to each political group settled by Group Leaders upon advice from the Head of Legal and Democracy.

4. The Principles Of Allocation

The Council is bound to allocate seats on its Committees etc., in accordance with the following overriding principles which were laid down in the Act:-

where there is more than one group, all the seats must not be allocated to the same political group

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the majority of seats must be allocated to the group with the majority on the Council

the number of seats on the total of all the Committees etc., allocated to each political group should bear the same proportion to the proportions on the full Council

the number of seats on each individual Committee etc., of the Council allocated to each political group bears the same proportion on the full Council.

Clearly, there will be occasions when a precise mathematical allocation cannot be implemented. On such occasions Group Leaders work with the Head of Legal and Democracy to agree a satisfactory arrangement in the interests of the Council as a whole. The objective in those circumstances is to have overall regard to the principles.

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Political Balance

5. What Steps Should a Member Take?

On the formation of a political group, a Member should sign (in common with others) the notice of constitution of a group which is then to be delivered to the Head of Legal and Democracy (see above).

If at any time a Member wishes to change Groups or simply cease to be a Member of any Group then notice should be given to the Head of Legal and Democracy.

Obviously a Member ceases to be a member of a political group when they cease to be a Member of the Council. Alternatively, a Member shall cease to be considered as a Member of a Group if the majority of the Members of the Group state that they no longer wish that person to be treated as a Member of it.

When a Member changes Groups a notice signed by that Member must be given to the Head of Legal and Democracy, countersigned by the Leader/Deputy Leader or majority of Members of the Group which that Member wishes to join.

If the Member wishes to constitute a new political group, then a notice must be given signed by two or more Members which should also indicate the name of the Leader of that Group.

It should be noted that if different wishes are expressed by the Leader, Deputy Leader or majority of Members of any Group, then it is the wish expressed by the majority of Members that shall prevail. If a Group fails to express any wish in relation to an appointment within the period of three weeks from the date on which the Group was notified, then the Council may make such appointment as it thinks fit from the Members of the Group entitled to the seat(s).

Save where the appointment is for a fixed term, the Council is bound to act in accordance with the Group's wishes as to termination of allocation of a seat to any particular Member. It should be noted that whilst political groups are now able to nominate and re-nominate their appointees to Committees etc., the duty still remains that of the Council to give effect to such nominations as soon as reasonably practicable after those wishes have been expressed. This normally occurs via meetings between Group Leaders and the Head of Legal and Democracy and the Selection and Constitutional Review Committee which makes a number of recommendations to the Council.

The Head of Legal and Democracy retains pro forma documents for completion by any individual Member or Members of a Group for the purpose of giving notice under any of the provisions of the Regulations as described.

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Appendix 3Procedure Rules 1.2 (iv) and 3.3 Refer

Procedural Decisions Relating to Committees etc.

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Procedural Decisions Relating to Committees etc

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Part 4 Rules of Procedure - General Procedure Rules -Appendix 3 -Procedural Decisions Relating to Committees etc

A. Appointment of Committees etc

(1) The Selection and Constitutional Review Committee held immediately prior to the Annual Meeting of the Council shall recommend to the Council:-

(a) the number of Overview and Scrutiny Committees and Sub-Committees to be constituted for the ensuing year.

NB: For the year 2017/2018 the following Committees and Sub-Committees were constituted:-

Committees Sub-Committees

Overview and Scrutiny None

(b) the constitution of the following Committees and Groups for the ensuing year.

Planning

Investigation and Disciplinary Committee

Selection and Constitutional Review

Licensing and Health and Safety

Appointments

NB: The requirements of the Local Government (Committees and Political Groups) Regulations 1990 apply to the membership of the above Committees.

Audit

Appeals

Licensing Sub-Committee

Standards (including a Hearing Panel)

NB: The Council has agreed that the requirements of the Local Government (Committees and Political Groups) Regulations 1990 should not apply to the

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membership of the Appeals and Licensing Sub-Committees and Standards Committees.

Task Groups

the Overview and Scrutiny Committee is able to establish broadly balanced Task Groups to consider items referred to it.

(c) the constitution of such other Committees etc as are necessary to carry out the work of the Council.

NB (i) At any time other Committees or Sub-Committees necessary to carry out the work of the Council may be constituted.

(ii) The Cabinet (Executive) and the Overview and Scrutiny Committee and any Council Committee may also appoint and delegate its powers and duties or those of one of its Sub-Committees to such additional Sub-Committees as are considered necessary.

Sections 101 and 102 of the Local Government Act 1972

(d) the appointment of Chairmen and Vice-Chairmen of the Committees and Sub-Committees etc the constitution of which are recommended pursuant to (1)(a) and (b) above.

(2) Each Appeals Committee and Licensing Sub-Committee shall normally comprise a maximum of three Members to be chosen by the Proper Officer from the appointed membership of the Committee. Wherever reasonably practicable, the Proper Officer shall, where appropriate, reflect the political balance of the Council in the composition of those Members. A detailed guidance note for the conduct of hearings at Licensing Sub-Committee meetings is included under Part 3, Appendix 4.

(3) The terms of reference of Committees shall subject to (1) above be determined at the Annual Meeting of the Council in relation to Council functions and by the Cabinet (Executive) in relation to executive functions (subject to the power of any Committee or Sub-Committee to delegate any power in accordance with Section 101 of the Act).

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(4) Delegations to Committees shall be determined from time to time by the Council in relation to Council functions. The Council will also receive reports from the Cabinet (Executive) in relation to the delegation of executive functions to Cabinet (Executive) Committees and to Officers.

(5) The Selection and Constitutional Review Committee held immediately prior to the Annual Meeting of the Council shall recommend to the Cabinet (Executive) which Members of the Borough Council are to be appointed to membership of the Joint Transportation Board;

(a) Joint ArrangementsJoint Transportation Board

NB: The Joint Transportation Board cannot be politically balanced due to the manner in which the Kent County Council makes its appointments. The Council has agreed that its representatives will be appointed in accordance with the Local Government (Committees and Political Groups) Regulations 1990. Appointments have to be made by the Cabinet (Executive) and in the years the Borough Council is to appoint the Chairman or Vice-Chairman of the Board, the identity of such Member.

B. Appointment of Members to Committees etc

(1) Group Leaders upon the Council shall notify the Proper Officer of the Members of their Groups who are to be appointed to membership of the Committees etc to be constituted pursuant to A above, in accordance with the allocation of seats to groups as notified to the Group Leaders by the Proper Officer across all Committees etc of the authority.

Local Government (Committees and Political Groups) Regulations 1990

(2) In allocating Members to seats Group Leaders should attempt to ensure that every Member of their Group is allocated at least one seat on an Overview and Scrutiny Committee and Council Committee, subject to the need to ensure compliance with the provisions of the Local Government (Committees and Political Groups) Regulations 1990.

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(3) An ex officio Member is appointed to the Planning Committee by virtue of the office held and not by his/her selection as an individual. The ex officio Member shall have the right to attend such meetings, to speak and to propose or second any motion but shall not have the right to vote on any matter. The ex officio Member is not permitted to act as a substitute for any other Member of his/her political group who is absent from a meeting at which s/he attends as a substitute.

(4) An appointment of a Member to any Committee shall expire at the next Annual Meeting of the Council or such lesser period as the Council or Group Leader may from time to time determine.

Section 102(2) of the Local Government Act 1972 and the Local Government (Committees and Political Groups) Regulations 1990

C. Appointment of Substitute Members of Committees etc

The Council’s “Scheme of Substitutes” as set out in Appendix (4) to these Procedure Rules will apply to the Council’s Committees and Sub-Committees established to consider ‘Council Functions’ and also to meetings of an Overview and Scrutiny Committee and their Sub-Committees, Task Groups and Forums etc. It does not apply to the Cabinet (Executive) or Area Forums/Committees.

D. Calling Extraordinary Meetings

The Chairman of a Committee or Sub-Committee may call an Extraordinary Meeting of the Committee or Sub-Committee. An Extraordinary Meeting may also be called on the requisition of at least three Members of a Committee or at least two Members of a Sub-Committee, delivered in writing to the Proper Officer.

E. Person Presiding at Committees, etc

(1) The Council may appoint, from among the voting Members, a person to preside at meetings of a Committee, Sub-Committee, Group or Forum and a person to preside in the absence of the first person.

(2) If any appointment possible under the previous paragraph is not made, the Committee, Sub-Committee, Group or Forum at its first meeting after the Annual Meeting of the Council shall, from among their voting Members, appoint a person to preside at their meetings, and may, in the same way, appoint a person to preside in the absence of the first person.

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(3) If the persons appointed under the previous paragraphs of this Procedure Rule are absent from any meeting of the Committee, Sub-Committee, Group or Forum concerned then the Committee or Sub-Committee Group or Forum shall appoint, from among the voting Members present (including substitute Members), a person to reside at that meeting.

(4) If it is necessary for the Committee, Sub-Committee, Group or Forum to appoint a person to preside, the Proper Officer shall call on a Member of the Committee, Sub-Committee, Group or Forum to move that a voting Member of the Committee, Sub-Committee, Group or Forum shall take the chair.

(5) If discussion arises, the Proper Officer shall exercise the powers of the person presiding to regulate that discussion, and to maintain order at the meeting.

(6) The motion, and any amendments, shall be put to the meeting in accordance with Procedure Rule 15 (6) (voting on appointments).

(7) If there are equal numbers of votes for and against a motion, the Chairman will have a second or casting vote, regardless of whether he has used his first vote. There will be no restriction on how the Chairman chooses to exercise a casting vote.

F. Meetings of Committees etc

(1) Right of Member Attendance etc.

(a) A Member may attend any meeting but, unless appointed to the Committee, Sub-Committee, Group or Forum or as a substitute Member shall not vote and, save as provided in (b) below, may only speak with the permission of the Chairman.

(b) The Cabinet (Executive) Leader and/or the Portfolio Holder who have within their portfolio an item the subject of consideration at an Overview and Scrutiny Committee may speak as of right on such matters subject to the Chairman of the Committee agreeing the order of speakers.

(c) The Chairman of any Committee, Sub-Committee, Group or Forum may attend to present the Minutes or reports from their respective Committee, Sub-Committee, Group or Forum and speak with the consent of the Chairman.

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NB: It is considered best practice in relation to (a), (b) and (c) above for the Member to give prior notice to the Chairman of their intention to attend a meeting and to speak as appropriate.

(2) Quorum

The Quorum for meetings of the Cabinet (Executive) the Overview and Scrutiny Committee and other Committees, Sub-Committees, Groups and Forums are as specified in the Cabinet (Executive) and Overview and Scrutiny Committee Procedure Rules and as contained in the individual Terms of Reference of the other Committees, Sub-Committees, Groups and Forums.

(3) Adjournments

(a) The consideration of any business not transacted at any meeting of the Cabinet (Executive), Committee, Sub-Committee, Group or Forum which becomes inquorate shall be considered on a date and time then fixed by the Chairman or if s/he does not fix a time, at the next ordinary meeting of the Cabinet (Executive), Committee, Sub-Committee, Group or Forum concerned.Paragraph 4(5) and (6) of Schedule 12 subject also to Paragraph 45 of the Local Government Act 1972

(b) Any meeting of the Cabinet (Executive), Committee, Sub-Committee, Group or Forum may be adjourned for misconduct and disturbance pursuant to General Procedure Rules 21.5 and 22.

(4) Inclusion of Items on Agenda by Members and Supply of Agenda

(a) Any Member who gives notice to the Proper Officer (in writing, by fax or e-mail) not later than noon on the Monday preceding any meeting programmed to be held in the following week (or noon on the last working day of the week before the meeting in question in the event of the offices being closed on that day), may request that an item relevant to that meeting and as contained within an Information Digest be considered by the Cabinet (Executive) or other Committee or Sub-Committee to which the item is appropriate.

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(b) Upon receipt of such a request the Proper Officer shall notify the Chairman and Vice-Chairman of the Cabinet (Executive) or the Chairman and Vice-Chairman of the Committee or Sub-Committee concerned (if possible), and despatch a supplementary agenda concerning the item and otherwise comply with the provisions of the Access to Information Rules in Part 4 of this Constitution.

(c) Apart from as provided for in (e) below, any item required by a Member to be considered by the Cabinet (Executive), or a Committee or Sub-Committee shall be notified to the Proper Officer who will decide whether the item shall be referred to the Cabinet (Executive) or other appropriate Committee or Sub-Committee.

(d) The Proper Officer will include an item on the next Agenda of the Cabinet (Executive), or the Committee or Sub-Committee unless the Member concerned otherwise agrees after consultation with the Proper Officer. The Member will provide the Proper Officer with a written report upon such item suitable for circulation with the Agenda.

(e) The Council publishes all the agendas, reports and Minutes of the meetings of the Cabinet (Executive), and all other Committees, Sub-Committees. Groups etc on-line via the Council's website and Members will receive an e-mail alert of when an Agenda or set of Minutes has been published. The following protocol for the operation of the scheme is in place:-

(i) all Members and Officers will be notified by an e-mail alert of when an Agenda or Minutes have been published on the website.

(ii) the Members be only provided with a hard copy of the Agenda and Minutes for the meetings of the Committees/Forums/Task Groups they are appointed. A proviso exists for Members to 'opt out' of the system and continue to receive hard copies if they are not on Broadband or do not have Broadband in their area. (Minute No. 568/5/05 refers).

NB: This does not apply to paper for the Appeals, Appointment Committees or Licensing Sub-Committee, or Standards Committee Panels.

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(iii) Group Leaders be sent a copy of all papers to aid continuity and to allow for the need to pass a copy of the papers to any substitute required to attend meetings.

(iv) for full Council meetings all Members be sent a hard copy of the Summons together with a hard copy of the Minutes to be considered at that meeting.

(v) Members should note the need to ensure that they do not inadvertently divulge or make available to non Council Members exempt or confidential information. All exempt or confidential reports will contain an 'exempt' or 'confidential' watermark.

(vi) The ICT Unit will provide Members with a password to access the on-line system.

(vii) Members should print a hard copy of papers themselves but where the Member considers the length to be excessive they can e-mail Member Services to arrange for a hard copy to be printed.

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Part 4 Rules of ProcedureGeneral Procedure RulesScheme of Substitutes for Members

Appendix 4Procedure Rule 1.2 (iii) Refers

Scheme of Substitutes for Members

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Part 4 Rules of ProcedureGeneral Procedure RulesScheme of Substitutes for Members

Guidance Note - Scheme of Substitutes for Members

This Scheme does not Apply to the Cabinet (Executive) or to any of its Committees or Area Forums

1. Introduction

Following the introduction of the Political Balance Regulations the Council agreed, to adopt a Scheme of Substitutes for Members, so as to ensure that all Groups had the opportunity to be represented at any of the Council’s Committees etc. by the correct proportion of Members.

2. The Scheme

The Scheme provides that when a Member of any Committee, Sub-Committee, Task Group or Forum (but not Area Forum) is unable to attend any meeting of that Committee, Sub-Committee, Task Group or Forum, a substitute Member from the same political group may attend in place of the Member in which event the substitute shall give notice of his attendance as such at the commencement of the meeting.

3. Guiding Principles

The Council has agreed that the following guiding principles shall apply to the Scheme of Substitutes:-

(a) The attendance at a Planning training session is a pre-requisite to being able to act as a substitute at meetings of the Planning Committee (Minute No. 247/9/06 refers).

(b) A substitute Member may only attend if the “permanently appointed” Member cannot.

(c) Attendance by a Member as a substitute at a meeting of any Committee, Sub-Committee, Working Group, Task Group or Forum will be notified by the substitute Member at the commencement of the meeting.

(d) Once a substitute Member has given notice of his attendance at a meeting as such, if the “permanently appointed” Member subsequently attends at that meeting, the “permanently appointed” Member will not be able to take part in proceedings without the express permission of the Chairman of the meeting and under no circumstances will be able to vote, ie. they may not displace the substitute, even if the substitute has left the meeting.

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(e) In the event of the Chairman of a Committee, Sub-Committee, Working Group, Task Group or Forum being absent and appointing a substitute, the substitute may only act as an ordinary Member and will not “assume” any rights of the “permanently appointed” Member to act as Chairman and in such event, the normal rules as to the Vice-Chairman taking the chair will apply. In the absence of both the Chairman and the Vice-Chairman from a meeting, the meeting shall appoint a chairman for the meeting who may be drawn from any Member (including any substitute Member) present and with voting rights.

(f) In the event of the resignation or death of a “permanently appointed” Member, a substitute may be allocated to each Committee, Sub-Committee, Working Group, Task Group or Forum normally attended by that Member but until a by-election has taken place, no permanent appointment to fill the vacancy will be made.

(g) Political groups will each make their own arrangements for implementing the process via their own Officers. Although the Proper Officer or his staff may remind Members (who request that their apologies for absence be submitted for any meeting) that they can appoint a substitute from the same political group, those staff will not find or invite a substitute on the Member’s behalf.

NB: 1. Each Member whether acting as a “permanently appointed” or substitute Member will have all of the responsibilities of membership of the Committee, Sub-Committee, Task Group or Forum and will be equally answerable in law for any decisions made.

2. The co-opted representative(s) of the Ashford Area Committee of the Kent Association of Local Councils on the Ashford Joint Transportation Board; may appoint substitute(s) to attend any meeting they are unable to attend

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Part 4 Rules of Procedure -Access to Information Procedure Rules

Access to Information Procedure Rules

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Access to Information Procedure Rulesa

1. Scope

Executive Arrangements

These rules apply to all meetings of the Council, Overview and Scrutiny Committees, Area Committees (if any), the Standards Committee and Regulatory Committees and meetings of the Cabinet (Executive) (together called meetings).

2. Additional Rights to Information

These rules do not affect any more specific rights to information contained elsewhere in this Constitution or the law.

3. Rights to Attend Meetings

Members of the public may attend all meetings subject only to the exceptions in these rules.

4. Notice of Meeting

The Council will give at least five clear days notice of any meeting by posting details of the meeting at the offices of the Council and publishing the Agenda on the Council's website.

5. Access to Agenda and Reports before the Meeting

The Council will make copies of the agenda and reports open to the public available for inspection at the designated office at least five clear days before the meeting. If an item is added to the agenda later, the Proper Officer shall make the revised agenda (where reports prepared after the summons have been sent out), available to the public as soon as the report is completed and sent to Councillors.

6. Supply of Copies

The Council will supply copies of:

(a) any agenda and reports which are open to public inspection;

(b) any further statements or particulars necessary to indicate the nature of the items in the agenda; and

a Updated in accordance with S.1 No. 2089 2012

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(c) any other documents supplied to Councillors in connection with an item included upon the agenda to any person on payment of a charge for postage and any other costs, if the Proper Officer thinks fit.

7. Access to Minutes etc after the Meeting

The Council will make available copies of the following for six years after a meeting:

(a) the minutes of the meeting or records of decisions taken, together with reasons, for all meetings of the Cabinet (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;

(c) the agenda for the meeting; and

(d) reports relating to items when the meeting was open to the public.

The Proper Officer will produce the minutes of meetings or record of decisions taken or a summary of proceedings as referred to in (a) and (b) above within three working days, but will attempt to produce them within two working days.

8. Background Papers

8.1 List of Background Papers

The author of a report will set out in every report which is not ‘Exempt’ or ‘Confidential’ 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) have been relied on to a material extent in preparing the report but does not include published works or those which disclose ‘Exempt’ or ‘Confidential Information’ (as defined in Rule 10) and in respect of executive reports, the advice of any political adviser or assistant.

8.2 Public Inspection of Background Papers

The Council will make available for public inspection for four years after the date of the meeting one copy of each of the documents on the list of background papers.

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8.2.1 In respect of Cabinet (Executive) meetings:

(a) a copy of a list compiled by the proper officer of the background paper(s) to any report or part of that report, must be included in the report or, as the case may be, part of the report; and

(b) at least one copy of each of the documents included in that list,

must be available for inspection by the public at the offices of the Council and on the Council’s website.

9. Summary of Public's Rights

A written summary of the public’s rights to attend meetings and to inspect and copy documents must be kept at and available to the public at the Council’s main offices. A copy of this document is set out in Appendix 2 to these Procedure Rules.

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. (See 10.3 below)

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. (See 10.4 below). The procedure for Cabinet (Executive) meetings is set out in 10.2.1

Where the meeting will determine any person’s civil rights or obligations, or adversely affect their possessions, Article 6 of the Human Rights Act 1998 establishes a presumption that the meeting will be held in public unless a private hearing is necessary for one of the reasons specified in Article 6.

10.2.1 Requirements to be met before a meeting of the Cabinet (Executive) can move into closed session:- (See also 23 Procedures Prior to Private Meeting).

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At least 28 days before the meeting, a notice must be published at the Council’s offices and on the Council’s website giving notice of the intention to hold the meeting, or part of the meeting, in private. This notice is published as part of the Schedule of Key Decisions.

At least 5 clear working days before the meeting, the Council must publish another similar notice, including a statement of:-

1. the reasons for the meeting being held in private.

2. any representations received requiring the meeting to be held in public.

3. the Council’s responses to such representations.

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 7 categories (subject to any note): Please refer to Part 3, Appendix 4 – Terms of Reference of Council Committees and Delegations – Standards Committee - Hearings – Appendix C for the additional categories which apply in terms of the Standards Committee.

Paragraph 1: Information relating to any individual.

Paragraph 2: Information which is likely to reveal the identity of an individual.

Paragraph 3: Information relating to the financial or business affairs of any particular person (including the Authority holding that information).

Note:- Information falling within Paragraph 3 above is not exempt information by virtue of that paragraph if it is required to be registered under

(a) the Companies Act 1985

(b) the Friendly Societies Act 1974

(c) the Friendly Societies Act 1992

(d) the Industrial and Provident Societies Acts 1965 – 1978

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(e) the Building Societies Act 1986

(f) the Charities Act 1993

Paragraph 4: Information relating to any consultations or negotiations, or contemplated consultations or negotiations, in connection with any labour relations matter arising between the authority or a Minister of the Crown and employees of, or office holders under the authority.

Paragraph 5: Information in respect of which a claim to legal professional privilege could be maintained in legal proceedings.

Paragraph 6: Information which reveals that the authority proposes –

(a) to give under any enactment a notice under or by virtue of which requirements are imposed on a person; or

(b) to make an Order or direction under any enactment.

Paragraph 7: Information relating to any action taken in connection with the prevention, investigation or prosecution of crime.

Note 1: Information is not exempt information if it relates to proposed development for which the Local Planning Authority may grant itself planning permission pursuant to Regulation 3 of the Town and Country Planning General Regulations 1992.

Note 2: Information which:-

(a) Falls within any of paragraphs 1 – 7 above; and

(b) Is not prevented from being exempt by virtue of Note 1 above or the note set out under Paragraph 3 above.

Is exempt information if and so long, as in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.

11. Exclusion of Access by the Public to Reports

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If the Proper Officer thinks fit, the Council may exclude access by the public to reports which in his or her opinion relate to items during which, 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.

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12. Application of Rules to the Cabinet (Executive)

Rules 1 - 21 apply to the Cabinet (Executive) and its Committees. If the Cabinet (Executive) or its Committees meet to take a key decision it will comply with Rules 1 – 11 unless Rule 15 (general exception) or Rule 16 (special urgency) apply. A Key Decision is defined in Article 13.03 of this Constitution.

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 Schedule of Key Decisions) has been published in connection with the matter in question;

(b) at least 28 consecutive days have elapsed since the publication of the Schedule of Key Decisions; and

(c) where the decision is to be taken at a meeting of the Cabinet (Executive) or its Committees, notice of the meeting has been given in accordance with Rule 4 (notice of meetings).

14. The Schedule of Key Decisions

14.1 Period of Schedule of Key Decisions

Under the Local Authorities (Executive Arrangements) (Meetings and Access to Information) (England) Regulations 2012, there is no longer a legal requirement to publish a Forward Plan of Key Decisions, however there is still a requirement to publish details of Key Decisions 28 consecutive days before the meeting they are to be considered at. The Council maintains a live, up to date rolling list of decision items on the Council’s website, and that list will be presented to the Cabinet each month, in its current state, for Members’ information.

14.2 Publicity in Connection with Key Decisions

(1) Where a decision maker intends to make a key decision, that decision must not be made until a document has been published in accordance with paragraph (2), which states:

(a) that a key decision is to be made on behalf of the Council;

(b) the matter in respect of which the decision is to be made;

(c) where the decision maker is an individual, that individual’s name, and title if any and, where the decision maker is a decision-making body, its name and a list of its members;

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(d) the date on which, or the period within which, the decision is to be made;

(e) a list of the documents submitted to the decision maker for consideration in relation to the matter in respect of which the key decision is to be made;

(f) the address from which, subject to any prohibition or restriction on their disclosure, copies of, or extracts from, any document listed is available;

(g) that other documents relevant to those matters may be submitted to the decision maker; and

(h) the procedure for requesting details of those documents (if any) as they become available.

(2) At least 28 consecutive days before a key decision is made, the document referred to in paragraph (1) must be made available for inspection by the public:

(a) at the offices of the Council; and(b) on the Council’s website.

(3) Where, in relation to any matter:

(a) the public may be excluded under rule 10 from the meeting at which the matter is to be discussed; or

(b) documents relating to the decision need not, because of rule 11, be disclosed to the public,

the document referred to in paragraph (1) must contain particulars of the matter but may not contain any confidential, exempt information or particulars of the advice of a political adviser or assistant.

15. General Exception

If a matter which is likely to be a key decision has not been included in the Schedule of Key Decisions, 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 Schedule of Key Decisions and until the start of the first month to which the next Schedule of Key Decisions relates;

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(b) the Proper Officer has informed the Chairman of the relevant Overview and Scrutiny Committee, or if there is no such person, each Member of that Committee in writing, by notice, of the matter to which the decision is to be made;

(c) the Proper Officer has made copies of that notice available to the public at the offices of the Council; and

(d) at least 5 clear days have elapsed since the Proper Officer complied with (a) and (b).

Where such a decision is taken collectively, it must be taken in public unless it is likely that ‘Exempt’ or ‘Confidential Information’ will be disclosed.

NB: For assistance see flowchart at Appendix 1

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 Chairman of the body making the decision, obtains the agreement of the Chairman of the relevant Overview and Scrutiny Committee that the taking of the decision cannot be reasonably deferred. If there is no Chairman of the Overview and Scrutiny Committee, or if the Chairman of the Overview and Scrutiny Committee is unable to act, then the agreement of the Mayor or in his/her absence the Deputy Mayor will suffice.

NB: For assistance see flowchart at Appendix 1

17. Report to Council

17.1 When an Overview and Scrutiny Committee Can Require a Report

If an Overview and Scrutiny Committee thinks that a key decision has been taken which was not:

(a) included in the Schedule of Key Decisions; or

(b) the subject of the general exception procedure; or

(c) the subject of an agreement with an Overview and Scrutiny Committee Chairman or the Mayor or Deputy Mayor of the Council under Rule 16;

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the Committee may require the Cabinet (Executive) to submit a report to the Council within such reasonable time as the Committee specifies. 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 the Chairman or any 5 Members. Alternatively the requirement may be raised by resolution passed at a meeting of the Overview and Scrutiny Committee.

17.2 Cabinet’s (Executive) Report to Council

The Cabinet (Executive) will prepare a report for submission to the next available meeting of the Council. However, if the next meeting of the Council is within 7 days of receipt of the written notice, or the resolution of the Committee, then the report may be submitted to the meeting after that. The report to Council will set out particulars of the decision, the individual or body making the decision, and if the Leader is of the opinion that it was not a key decision the reasons for that opinion.

17.3 Quarterly Reports on Special Urgency Decisions

In any event the Leader will submit quarterly reports to the Council on the executive decisions taken in the circumstances set out in Rule 16 (special urgency) in the preceding three months. The report will include the number of decisions so taken and a summary of the matters in respect of which those decisions were taken.

18. Record of Decisions

After any meeting of the Cabinet (Executive) or any of its Committees, whether held in public or private, the Proper Officer 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. The Proper Officer will produce this record within three working days, but will attempt to produce them within two working days.

19. Cabinet (Executive) Meetings Relating to Matters Which are not Key Decisions

Meetings of the Cabinet (Executive) relating to matters which are not key decisions will be held in public unless it is likely that ‘Exempt’ or ‘Confidential Information’ will be disclosed. The exclusion of the public will, however, only be for such items.

20. Decisions by Individual Members of the Cabinet (Executive)

20.1 Reports Intended to be taken into Account

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Where an individual Member of the Cabinet (Executive) receives a report which s/he intends to take into account in making any key decision, then s/he will not make the decision until at least 3 clear days after receipt of that report.

20.2 Provision of Copies of Reports to the Overview and Scrutiny Committee

On giving of such a report to an individual decision maker, the person who prepared the report will give a copy of it to the Chairman of the Overview and Scrutiny Committee as soon as reasonably practicable, and make it publicly available at the same time.

20.3 Record of Individual Decision

As soon as reasonably practicable after an executive decision has been taken by an individual Member of the Cabinet (Executive) or a key decision has been taken by an Officer, he will prepare, or instruct the Proper Officer to prepare, a record of the decision, a statement of the reasons for it and any alternative options considered and rejected. The provisions of Rules 7 and 8 (inspection of documents after meetings) will also apply to the making of decisions by individual Members of the Cabinet (Executive). This does not require the disclosure of ‘Exempt’ or ‘Confidential Information’ or advice from a political adviser or assistant.

21. Overview and Scrutiny Committee - Access to Documents

21.1 Rights to Copies

Subject to Rule 21.2 below, an Overview and Scrutiny Committee (including its Sub-Committees) will be entitled to copies of any document which is in the possession or control of the Cabinet (Executive) or its Committees and which contains material relating to:-

(a) any business transacted at a meeting of the Cabinet (Executive) or its Committees; or

(b) any decision taken by an individual Member of the Cabinet (Executive).

These rights are additional to those which Members of the Overview and Scrutiny Committee have as Members of the Council.

21.2 Limits on Rights

An Overview and Scrutiny Committee will not be entitled to:-

(a) any document that is in draft form;

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(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 and any such information should remain confidential.

(c) the advice of a political adviser or assistant.22. Additional Rights of Access for Members

22.1 Material Relating to Previous Business

All Members will be entitled to inspect any document which is in the possession or under the control of the Cabinet (Executive) or its Committees unless either (a) or (b) below applies.

(a) it contains ‘Exempt Information’ falling within paragraphs 1, 2, 3, 4, 5 and 7 of the categories of ‘Exempt Information’; or

(b) it contains the advice of a political adviser or assistant.

22.2 Material Relating to Decisions

All Members of the Council will be entitled to inspect any documents (except those available only in draft form) in the possession or under the control of the Cabinet (Executive) or its Committees which relates to any key decision unless paragraph (a) or (b) above applies.

22.3 Nature of Rights

These rights of a Member are additional to any other right s/he may have.

NB: A copy of the ‘Rights of Access to Meetings and Documents by Members of the Council’ is contained in Appendix 2 to these Procedure Rules.

22.4 Access to Exempt Reports

Copies of all final reports (including ‘Exempt Information’) to the Cabinet (Executive), Cabinet (Executive) Committees and Portfolio Holders shall be made available to all Members of the Council at least five clear days in advance of the meeting. Similarly all records of decisions made by the Cabinet (Executive) shall be made available to all Members of the Council.

23. Procedures Prior to Private Meeting

23.1 A decision made by a decision-making body to hold a meeting in private is a prescribed decision for the purpose of section 9GA(5) of the 2000 Act (regulations requiring prescribed information about prescribed decisions).

23.2 At least 28 consecutive days before a private meeting, the decision-making body must:-

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(a) make available at the offices of the Council a notice of its intention to hold the meeting in private; and

(b) publish that notice on the Council’s website.

23.3 A notice under paragraph 23.2 must include a statement of the reasons for the meeting to be held in private.

23.4 At least five clear days before a private meeting, the decision-making body must:-

(a) make available at the offices of the Council a further notice of its intention to hold the meeting in private; and


23.5 A notice under paragraph 23.4 must include:-

(a) a statement of the reasons for the meeting to be held in private;

(b) details of any representations received by the Council about why the meeting should be open to the public; and

(c) a statement of its response to any such representations.

23.6 Where the date by which a meeting must be held makes compliance with this regulation impracticable, the meeting may only be held in private where the decision-making body has obtained agreement from:-

(a) the Chairman of the Overview and Scrutiny Committee; or

(b) if there is no such person, or if the Chairman of the Overview and Scrutiny Committee is unable to act, the Chairman of the Council; or

(c) where there is no Chairman of either the Overview and Scrutiny Committee or of the Council, the Vice-Chairman of the Council,

that the meeting is urgent and cannot reasonably be deferred.

23.7 As soon as reasonably practicable after the decision-making body has obtained agreement under paragraph 23.6 to hold a private meeting, it must:-

(a) make available at the offices of the Council a notice setting out the reasons why the meeting is urgent and cannot reasonably be deferred; and

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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 1 –Urgent ReportsAppendix 1

Flow Chart - Urgent Reports

Access to Information Procedure Rules 15 & 16

NOTE: For Urgent Decisions Outside the Budget or Policy Framework see paragraph 4 of Budget & Policy Framework Procedure Rules.

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Chairman to read out Form of Words re Section 100 B

(4) (b) of Local Government Act 1972 and state why item

is urgent

Yes No

Is the report aKey Decision?

Yes No

Is there time to add to the Agenda before publication

Is there time to add it to the Agenda before it is published

Yes No

Proper Officer shall inform the O&S Chairman and it must be in accordance with (a) to (d) In Rule 15

If all in Rule 15 is undertaken/ complied with then add to

Agenda Report author to include a

statement that this procedure

has been followed

Chairman of the Cabinet (Executive) needs to obtain agreement of Chair of the

O&S committee. If Chair of O&S is unable to act, then

the agreement of the Mayor or in his/her absence the Deputy Mayor is needed

Rule 16 refersReport author to include a

statement that this procedure has been

followed

Item can be added to the Agenda

No further action

Chairman to read out Form of

Words re Section 100 B (4) (b) of Local

Government Act 1972 and state

why item is urgent

Report to Council from the Leader setting out the

number of decisions taken under the Urgency

Provisions and what they were about


Access to Information Procedure Rules -Appendix 2 -

Rights of the Public to Attend Meetings and to Inspect Documents

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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 1 –Urgent Reports

Appendix 2Access to Information Procedure Rule 9 refers

Summary of Rights of the Public to Attend Meetings and to Inspect and Copy Documents under Part V(A) and Part XI of the Local Government Act 1972 (As Amended)

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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 2 -Rights of the Public to Attend Meetings and to Inspect Documents

Summary of Rights of the Public to Attend Meetings and to Inspect and Copy Documents under Part V(A) and Part XI of the Local Government Act 1972 (As Amended)

Access to Meetings

1. Meetings of the Council, the Cabinet (Executive), and their Committees and Sub-Committees are open to the public.

2. The Council has provided facilities for the public who wish to attend these meetings but has found it necessary to limit the numbers to 68 in the case of meetings held in the Council Chamber. On those occasions when the accommodation is insufficient for all the public wishing to attend meetings they may, subject to the discretion of the person presiding at the meeting, be allowed to stand to listen to the debate. This is, however, subject to such persons behaving in an orderly manner and to the numbers of people standing being commensurate with public safety.

Access to Agenda and Connected Reports

3. Copies of agenda and open reports for meetings of the Council, the Cabinet (Executive), and their Committees and Sub-Committees are open for inspection by the public. These documents are available five days before the meeting, or as soon as the meeting is convened, or the item added to the agenda, if that is less than five clear days. A reasonable number of copies of agenda and open reports will be made available for the public present at a meeting. Agenda and open reports will also be available on request for the media.

4. The papers will also be available for inspection (subject to any reasonable delay on account of retrieval) in the Member Services Section at the Civic Centre, Tannery Lane, Ashford, Kent TN23 1PL between the hours of 9.00am and 4.00pm on working weekdays for a period of four years from the date of the meeting. The papers are also available for inspection on the Council's website. Enquirers should ask to speak to a member of staff in the Member Services Section (01233) 330564.

Inspection of Minutes

5. As soon as is reasonably possible after a meeting, a copy of the minutes or a summary of what took place in private will be available for public inspection in the Member Services Section, Civic Centre, Tannery Lane, Ashford, Kent TN23 1PL between the hours of 9.00am and 4.00pm on working weekdays (01233) 330564. This right of inspection exists for six years from the date of the meeting but in reality requests to inspect minutes for periods in excess of that period will not be refused.

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Inspection of Background Papers

6. Members of the public may also inspect a list of the background papers for open reports and a copy of each of the documents included in that list at the Civic Centre. This right is available as soon as the agenda is published and continues for four years from the date of the meeting. Background papers disclosing confidential or exempt information are not open for inspection.

7. Background papers are documents which relate to the subject matter of a report, disclose any fact or matter on which the report is based, and have been relied on to a material extent in preparing the report, but excludes any published work. Requests for inspection of relevant documents should be made to the Officer in whose name the report is prepared.

Publication of Additional Information

8. The Council maintains a register stating the name and address of every Member of the Council and the ward s/he represents and the name and address of every Member of the Cabinet (Executive), and each Committee or Sub-Committee of the Council. The register is open to inspection by the public in the Member Services Section, Civic Centre, Tannery Lane, Ashford, Kent TN23 1PL between the hours of 9.00am and 4.00pm on working weekdays (01233) 330564.

9. The Council also maintains a list specifying powers delegated to its Officers and stating the title of the Officer by whom each of those powers is exercisable. The list is contained in Part 3 of this Constitution.

Financial Documents

10. A Member of the Council has a right to inspect its accounts or the accounts of any Proper Officer.

11. Additionally, at each audit any person interested may inspect the accounts to be audited and all books, deeds, contracts, bills, vouchers and receipts relating to such accounts and make copies.

Documents Deposited with the Council

12. Documents may be required to be deposited with an appointed Officer either by an Act of Parliament or Statutory Instrument, or pursuant to the Standing Orders of either Houses of Parliament. A person interested in any such document may inspect it. Requests should initially be made to the Member Services Section.

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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 2 -Rights of the Public to Attend Meetings and to Inspect Documents

Byelaws

13. A copy of any byelaws made by the Council or any of its predecessor authorities are open to inspection by the public at its offices and any person may purchase a copy for a maximum of 20p. Requests to inspect or purchase copies should be made to the Head of Legal and Democracy.

Fees

14. Although no payment is required for inspecting the lists of background papers or of deposited documents a charge is payable in accordance with the current scale of fees and charges as determined by the Council from time to time for persons wishing to have copies of any document subject, however, to the provision of Paragraph 13 above.

15. A person entitled to inspect documents may make their own extracts from them free of charge.

The Local Government (Inspection of Documents) (Summary of Rights) Order 1986

16. The Secretary of State for the Environment requires reference to the following enactments which confer rights to attend meetings and to inspect, copy and be furnished with documents to be published under Statutory Instrument 1986 No. 854.

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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 2 -Rights of the Public to Attend Meetings and to Inspect Documents - Examples of Statutory Entitlement to Information

Examples of Statutory Entitlement to Information

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Rights of the Public to Attend Meetings and to Inspect Documents-Examples of Statutory Entitlement to Information

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Examples of Statutory Entitlement to Information

Please note that this list does not provide a comprehensive summary of statutory entitlement to information.

1. Education

Curriculum Education (No 2) Act 1986 (Section 17)

Statement of policy in relation to the school curriculum.

Delegated Budgets Education Reform Act (Section 42)

Schemes for delegated budgets for schools and annual statements of the financial provisions for LEA schools.

General Education Act 1980 (Section 8)Information

Information on policies and arrangements relating to and secondary education in an authority's area.

Education Reform Act 1988 (Section 22)

Range of information provided by LEAs and governing bodies on:

the curriculum of maintained schools;

educational provision in schools;

educational achievements of pupils generally at each school.

Government Education (No 2) Act 1986 (Sections 30 and 31)Bodies

Annual reports of governors of LEA maintained schools.

Education (Schools) Act 1992 (Section 16)

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Provides the Secretary of State for Education with power to make regulations requiring governors of LEA maintained schools to make available information to assist parents in choosing schools and increasing public awareness of the quality of education.

Inspection Education Act 1993 (Section 209)

Reports of inspections of schools made under Section 9 of the Education (Schools) Act 1992.

(Section 210)

Statements of action to be take in the light of inspector's report are similarly to be made available.

Religious Education Act 1993 (Section 258)Education

Agenda and reports of standing advisory councils on religious education.

2. Environmental Health

Air Pollution Clean Air Act 1993 (Section 38(5))

A register of information on atmospheric pollution.

Environmental Environmental Information Regulations 1992Information

Environmental information held by a Council.

Food Premises Food Premises (Registration) Regulations 1991

A list of addresses and types of food premises (for example, food manufacturers, restaurants, cafes, certain types of food shops) which are subject to inspection and control in the interests of food hygiene and public safety.

Hazardous Hazardous Substances Act 1990 (Section 28)Substances

A register of applications for hazardous substances consent made to the Council.

Health and The Environment and Safety Information Act 1988Safety

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A register containing information about legal notices which have been served by the Council to improve or stop some activity in the interest of public safety.

Litter Environmental Protection Act 1990 (Section 95)

A register of all land designated as Litter Control Areas, which also contains copies of Street Litter Control notices which have been issued by the Council.

Noise Levels Control of Pollution Act 1974 (Section 64)

A register containing details of noise levels recorded in Noise Abatement Zones.

Pollution Environmental Protection Act 1990 (Section 20)

A register containing applications to authorise certain types of industrial processes which cause pollution.

Private Water Private Water Supplies Regulations 1991Supplies

A register containing details of private water supplies within the authority's area, including the results of all water samples taken.

Radioactive Radioactive Substances Act 1993Substances

A register containing copies of documents relating to the keeping, use, accumulation and disposal of radioactive materials. The documents include applications and certificates of registration issued by the Chief Inspector appointed under the Act.

Waste Environmental Protection Act 1990 (Section 65)Management

A register of licences granted, applications for licences and related information.

3. Finance

Accounts of Local Government Finance Act 1992 (Section 25)Officers

Officers’ accounts which are required to be audited by the Council's auditor.

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Audit Local Government Finance Act 1982 (Section 17 and Section 24)

The annual report and statement of accounts set out the financial aspects of the Council's activities during the financial year (1 April to 31 March) in terms of income and expenditure across the whole range of the authority's work. The auditor's report contains comments on the accounts and the Council's financial procedures, and can include suggestions for changes in procedure.

Statements of Accounts prepared by the authority and reports by the auditor to the authority are available for inspection at any time by local government electors within the authority's area. Also, any elector or any other person with a proven financial or legal interest may inspect the authority's accounts and all books, deeds, contracts, bills, vouchers and receipts relating to the accounts for a period of 15 working days during the course of the annual audit of the authority's accounts.

Council Tax Local Government Finance Act 1992Register

A register listing all domestic dwellings within the authority's area which are subject to assessment for the purposes of the Council Tax.

Local Rating List Local Government Finance Act 1988

A list provided by the Inland Revenue which contains information about the rating assessment levels for all non-domestic properties within the authority's area. The information includes the assessment number, a description of the property, its address and the rateable value.

Members’ The Local Authority (Members' Allowances) Allowances Regulations 1991

Records of payments made to elected Members are open to inspection by local government electors for the area. Additionally, the authority must publish within its own area details of the total sums paid under the scheme.

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4. Highways

Inquiries Highways (Inquiries Procedure) Rules 1976 (Rules Procedure 10(3) and (4))

The authority's statement and supporting document which will be referred to in inquiries relating to the construction and improvement of trunk, special and side roads and associated works.

Maintenance of The Highways Act 1980 Streets

(Section 36(7))

The list of streets in the area which are highways maintainable at the public expense.

(Section 37(5))

Certificates of acceptance of private highways ‘dedicated’ to a local authority, and orders made by the Magistrates' Court having similar effect.

The New Roads and Street Works Act 1991 (Section 53)

The register of street works executed or proposed to be executed in streets in the area.

Noise Insulation Noise Insulation Regulation 1975 (Regulation 6(3))

A list which identifies every building eligible for a noise insulation grant, and every building on which insulation works will be carried out by the highways authority.

Permanent Road Traffic Regulations Act 1984Traffic Orders

Orders dealing with traffic restrictions, parking etc.

Transport The Transport and Works Act 1992 (Section 14)Systems

Documents deposited with the Council by the Secretary of State relating to orders made for the construction or operation of a transport system in the local authority's area.

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5. Housing

Benefits The Social Security Contributions and Benefits Act 1992 (Section 123)

Prescribed homes related benefit schemes.

Consultation Housing Act 1985 (Section 105)

Details of the Council's arrangements for provision of information to, and consultation with, its tenants about the Council's housing activities.

Housing Act 1985 (Section 105(6))

Information supplied by local housing associations about their consultation arrangements with tenants.

Fit Premises Housing Act 1985 (Section 352)

A register containing information about schedules of work which landlords need to carry out to domestic properties to bring than up to an acceptable standard for occupation.

Lettings, Housing Act 1985 Transfers and Exchanges (Section 106(2))

The rules of a local authority for determining priority between applicants for housing and the rules for the transfer of tenants.

(Section 106(3))

The rules of a local authority in relation to dwelling houses let under secure tenancies.

(Section 106(4))

The summary of published information on housing allocation and the set of rules referred to above.

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(Section 106(5))

The particulars that applicants for local authority housing have given themselves and which the authority has recorded as relevant to their application for accommodation.

Lodgings Housing Act 1985 (Section 403)

A register containing details about common lodging houses, including the permitted number of occupiers.

Multiple Housing Act 1985 (Section 349)Occupation

A register containing information about domestic premises which are in multiple occupation, including those with poor sanitary conditions.

Personal Files The Access to Personal Files Act 1987; -Access to Personal Files (Housing) Regulations 1989

Personal information held by an authority in connection with its housing functions.

6. Miscellaneous

Amusements Gaming Act 1968 (Section 34) with Prize Machines Information about licences for fruit machines (known

as Section 34 Permits) is available to the public (fruit machines in public houses, restaurants or clubs which are licensed by the Magistrates or the Gaming Board are not included).

Annual Report Local Government, Planning and Land Act 1980 (Section 2)

The authority's annual report and financial statement.

Byelaws Local Government Act 1972 (Section 236)

Copies of byelaws made by the Council on a variety of subjects in the fields of public order and public health.

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Committee Local Government Act 1972 (as amended by Minutes and the Local Government Act 2000)Reports etc

(Section 100B))

Allows access to agendas and connected reports of The Council, the Cabinet (Executive), Committees and Sub-Committees, and requires five clear days open for inspection (except for reports not to be discussed in public).

(Section 100(C))

The minutes or a summary of what took place in private session from the date of the meeting (the right continues for six years).

(Section 100(D))

A list of background papers for any report and a copy of any document listed.

Constitution Local Government Act 2000

The Council’s Constitution

Delegated Local Government Act 1972 (Section 100)Powers

Local authority functions may be delegated from the Cabinet (Executive), the Council and any of its Committees and Sub-Committees to council Officers. Where such powers are delegated for a period of more than six months, they are recorded in a register.

Elections The Representation of the People Act 1983

(Section 9)

A register of persons who are eligible to vote in elections.

(Section 89(i))

Returns or declarations and accompanying documents relating to election expenses sent by a candidate of a parliamentary or local government election to the council.

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Local Government Act 1972 (Section 60(2)(c), 60(4)(b) and 60(5)(b))

Draft proposals, recommendations, modifications or decisions containing changes in electoral arrangements made by the Local Government Commission are available for inspection.

Employees The Local Government (Publication of Manpower Information) (England) Regulations 1983 (Regulation 2(1))

Quarterly written statements prepared by the Council showing the numbers of employees.

Local Charities Charities Act 1993 (Section 76)

An index containing such information as the names of the trustees, the purpose of the charity and the accounts of the charity.

Ombudsman Local Government Act 1974 (Section 30(4))Reports

Reports of investigations of maladministration by the Ombudsman (available for public inspection for a period of three weeks following notice to that effect in a local newspaper).

Pecuniary Local Authority - Members Interests Interests

A register setting out the information which Members give on their interests.

Reservoirs The Reservoirs Act 1975 (Section 2(2))

The register of large, raised reservoirs in the local authority's area.

Standards of Local Government Act 1992 (Section 1)Performance

A set of indicators for local authority services determined by the Audit Commission, against which authorities have to measure their performance and publish the results.

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Local Government Act 1992 (Section 7)

Information published by the Audit Commission in respect of contraventions of the directions made under Section 1.

Taxis Town Police Clauses Act 1847

A register containing information about the owners and drivers of taxis, and the period of the licences granted.

Local Government (Miscellaneous Provisions) Act 1976 (Section 51)

A register containing information about the drivers of private hire vehicles (these vehicles differ from taxis (hackney carriages) in that they may not ply for hire but must be pre-booked).

Tenders Local Government Act 1992 (Section 10)

The specification of any work tendered by the Council is available for inspection throughout the period during which the work is carried out.

Young Offenders The Criminal Justice Act 1982 (Section 21(1))

Any scheme which specifies arrangements for the activities of young offenders by the imposition of a supervision order and requirements that may be included in that order.

7. Planning and Estates

Advertisements Town and Country Planning (Control of Advertisements) Regulations 1992

A register of applications for consent to display advertisements and the decisions of the authority.

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Allotments Allotments Act 1908 (Section 28)A document setting out the rules and conditions relating to the letting of statutory allotments

Buildings of Planning (Listed Buildings and Conservation Special Areas) Act 1990 (Section 2)Architectural and Historic Interest A list of buildings within the authority's area which

have been classified as being of special architectural or historic interest.

Common Land The Commons Registration Act 1965 (Section 3(1) and 3(2))

A register containing details of all common land, town and village greens and ownership rights over them.

Compulsory Compulsory Purchase by Non Ministerial Purchase Acquiring Authorities (Inquiry Procedure) Rules

1990

Where the Council has made a Compulsory Purchase Order in relation to any particular piece of land, the Order and statement of case supporting it is available for public inspection for three months from the date the Order is made.

The Compulsory Purchase by Public Authorities (Inquiries Procedure) Rules 1976 (Rules 4(6) and (7))

The statements of the local authority in respect of the purchase of land and the documents which the authority intends to refer to in evidence at the inquiry.

Conservation Planning (Listed Buildings and Conservation Areas Areas) Act 1990

A map and street gazetteer showing which properties are within conservation areas.

Construction/ The Local Government Planning and Land Act Maintenance 1980 (Section 18(3))

The authority's annual report on construction or maintenance work.

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Enterprise Zones Paragraph 3(5) of Schedule 32

The enterprise zone planning scheme.

Footpaths and The Wildlife and Countryside Act 1981 Bridleways

(Section 57(5))

The definitive maps and statements showing public rights of way along footpaths, bridleways and public paths.

(Paragraphs 3(8)(a) of Schedule 15)

Documents which the authority took into account in preparing an order to modify the definitive map after the publication of the modification notice and before the expiration of the period specified in the notice.

Generating The Electricity Generating Stations and Overhead Stations/ Lines (Inquiry Procedures) Rules 1987 (Rule 5(4))Overhead Lines

Pre-inquiry statements and supporting documents in connection with an application by the Electricity Board for consent to construct or extend a generating station, or consent to close certain overhead electric lines.

Hazardous The Planning (Hazardous Substances) Act 1990 Substances (Section 28)

A register containing information about planning applications for premises which are used for the storage and processing of hazardous substances.

Land Charges Local Land Charges Act 1975

A register containing entries relating to property within the authority's area as required by the Land Charges Act 1975.

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Land Holdings Local Government (Publication of Information about Unused and Underused Land) (England) Regulations 1992

A register containing details of all land held by the Council which is either not being used at all or is. not being used for the purpose for which it was originally acquired.

Local Plans The Town and Country Planning (Structure and Local Plans) Regulations 1982

(Regulation 4 (applicable to Councils outside Greater London))

Plans or other documents which have been made public by the authority when preparing a structure or local plan.

(Regulation 36)

Any associated documents referred to in a notice given or served under the Regulations.

(Regulation 37)

Copies of the structure or local plan once operative.

(Regulation 38)

Copy of the structure or local plan and any other document which has been available for inspection during the preparation of the plan.

(Regulation 39)

A register containing brief details of any structure or local plan which has been made available for public inspection, any action taken in connection with any such plan, the date on which the plan became operative and proposals for the alteration, repeal or replacement of any structure or local plan and any action taken in connection with the proposals.

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The Town and Country Planning (Local Plans for Greater London) Regulations 1983: (Regulation 4, 22, 23, 24 and 25(4))

Similar rights to those outlined in the Town and Country Planning (Structure and Local Plans) Regulations 1982 in relation to local plans prepared by London Borough Councils and the City of London only.

The Planning and Compensation Act 1991 (Section 40(2))

The local plan or proposal for its alteration for a limited period prior to its final determination.

Planning Town and Country Planning Act 1990 (Section Permission 69(5))

A register containing planning applications and their results.

Town and County Planning Act 1990 (Section 188) (3)

A register of enforcement notices (served where there is a breach of planning control) and stop notices (served to prohibit any activity complained of in an enforcement notice).

The Town and Country Planning (Inquiry Procedure) Rules 1974 as amended by the Town and Country Planning Appeal (Determination by Appointed Persons) (inquiries Procedures) Rules 1974: (Rule 7(3) and (4))

The authority's inquiry statement by the applicants and parties objecting to the application.

The Town and Country Planning (Enforcement) (Inquiries Procedures) Rules 1981: (Rule 6(2), (3) and (4))Documents which the Council intends to refer to or put in evidence at an inquiry held for the purpose of appeals against enforcement notices, listed building enforcement notice and appeals in respect of applications for established use certificates.

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Trees Town and Country Planning (Tree Preservation Order) Regulations 1969

A register containing information about and copies of Orders made by the Council to protect trees within the authority's area.

Town and Country Planning Act 1990 (Section 198)

A register containing applications for consent to works under tree preservation orders and the decisions on such applications.

Town and Country Planning Act 1990 (Section 214)

A register containing details of notifications by persons intending to carry out acts affecting trees in conservation areas and the subsequent decisions of the Council.

8. Social Services

Childcare Children’s Act 1989Services

(Schedule 2, Part 1)

Information about an authority's own services and those of other organisations (including day care and child-minding services; residential care and services to children with disabilities).

(Section 19(6))

Outcomes of reviews of the provision of day care and child-minding services, together with any proposals.

(Section 71)

A register of child-minders in the authority's area.

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(Section 26(8))

Complaints procedures in relation to the provisions of the Act.

Children Act 1989: Guidance and Regulations 1991

Guidance to social services departments on the general duty under the Act to provide information to parents and children on services available.

Community Care National Health Service and Community Care Act 1990: (Section 46(1))

Annual community care plans.

Complaints Procedures

Authorities were required to establish complaints procedures in relation to community care by April 1991 and to publicise their contents widely. Details must be made available to residents of residential homes in all sectors

Sick and Chronically Sick and Disabled Persons Act 1970Disabled Persons

Information about services of social services departments published "from time to time".

Disabled Persons (Services, Consultation and Representation) Act 1986

Information for disabled persons about other services provided by the authority or other organisations which are relevant to their needs.

Exempted InformationIt is important that the public have realistic expectations about the access to information policy adopted by the Council. Information may have to be withheld for good reasons and the basis on which it may be withheld is stated in the Access to Information Procedure Rules as contained in Part 4 of this Constitution.

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The Local Government Association has examined the approach taken by Central Government towards exemptions in its own Code of Practice, but considered that those provisions would not be appropriate if applied to local government. On this basis the Council applies the categories of exempt information set out in Schedule 12A to the Local Government Act 1972 (as amended) to requests for information that fall outside the scope of the Act (at present, the Act only relates to agendas, reports and background papers).

However, in applying these exempt categories the Council attempts to limit the occasions on which they are used to the minimum (see Section 10.4 of the Access to Information Procedure Rules as contained in Part 4 of this Constitution).

Freedom of Information Act 2000

General Entitlement to Information

There is a general right of access to all recorded information held by public authorities which applies to any written request for information whether it mentions Freedom of Information or not. It is the duty of a public authority to provide advice and assistance to those seeking information. Information which is already required to be made available must continue to be made available.

Specific Provisions

The authority has 20 days to respond to a written request for information and a fee may be charged for this. The authority has produced a Publication Scheme which is a guide to information the authority publishes or intends to publish. Information accessible through the publication scheme is exempt, since it is already publicly available.

Exemptions

There are 23 exemptions listed in FOI 2000 of which the following 8 are absolute, meaning that any information in these categories is automatically exempt:

National security Defence Public security The prevention, investigation, detection and prosecution of criminal offences or of

breaches of the ethics for regulated professions An important economic or financial interest of a member state or of the European

Union, including monetary, budgetary and taxation matters The protection of the data subject or of the rights and freedom of others

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A public interest test must be applied to the remainder of these exemptions – information must be released if the public interest is greater in disclosing than not disclosing. Information covered by other access to information acts eg Data Protection or Environmental Information is also exempt.

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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 3 -Scheme of Public Participation

Appendix 3General Procedure Rule 9 Refers

Scheme of Public Participation

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NB: This Scheme does not apply to a Meeting of the Overview and Scrutiny Committee or its Sub-Committees as they have their own arrangements for consulting with the public as detailed in the Overview and Scrutiny Procedure Rules, nor does it apply to Meetings of the Licensing Sub-Committee.

1. Introduction

The public has always had the right to attend meetings of the Council and its Committees and Sub-Committees to listen to the debate. However, to enhance the public’s ability to contribute to the democratic process a comprehensive Public Participation Scheme is in place. The Scheme is wide ranging and successful and has in its various forms been in operation from 1995. To allow the Scheme to operate fairly and effectively there are a few simple rules which should be followed. Set out within this note are the details of how the scheme works in practice and how the scheme is applied to Parish Councils and to the public. The procedure note has been split into the following sections:-

General Rules Applicable to All Schemes (Para 2)

Types of Public Participation (Para 3)

1. Petitions (Para 3(a))

2. Questions (Para 3.2(b))

3. General Comments (Para 3(c))

Procedure for speaking at meetings of the Planning Committee in relation to Planning Applications (Para 4)

Summary of Rights (Para 5)

Administration of the Scheme (Para 6)

2. General Rules Applicable to all Schemes

(a) All requests to take part at meetings, in accordance with the Council’s Public Participation Scheme should be submitted in writing on the relevant form available from the Proper Officer or separately in writing provided that contact details and the question in full or a clear statement of the nature of the proposed comments are given. The Council’s website also has a facility allowing the public to register to speak on line.

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(b) The following written notice must be given in respect of the scheme to the Proper Officer:-

(i) For Petitions, Questions and Comments at any meeting other than Planning Committee or the Overview & Scrutiny Committee – 10.00 on the last working day before the meeting date.

(ii) For the Planning Committee by 14:00 on the day of the meeting.

The above deadlines do not apply in respect of urgent items placed before Committees in accordance with Section 100b(4)(b) of the Local Government Act 1972.

(c) Length of speech – in support of petitions, questions and general comments - this will be a maximum of 3 minutes, except with the Chairman’s approval.

(d) The scheme does not allow the speaker to enter into any debate.

(e) In all cases the Chairman will determine the order in which the petitions are presented, questions asked or comments made.

3. Types of Public Participation (Excluding the Scheme as it applies to the Planning Committee)

(a) Petition Scheme for Ashford Borough Council

A Introduction

A1 This is the Petitions Scheme for Ashford Borough Council made under Section 11 (1) of the Local Democracy, Economic Development and Construction Act 2009. (‘The Act’)

A2i The Scheme was approved at the full meeting of the Ashford Borough Council on 21st October 2010 and is available on the Authority’s website:- (www.ashford.gov.uk)

A3 The purpose of the Scheme is to establish a clear process for petitions submitted to the Council to be handled in accordance with the legislation (Sections 10 – 22 of the Act).

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It covers,

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how people who live, work or study in the Authority’s area can organise or sign a petition and secure a statutory response

how specific responses can be triggered by achieving prescribed levels of signatory support

who will do wha t and to what performance standards

how petition organisers can seek a review of the Council’s response

A4 The officer responsible for this Petitions Scheme, and its operation is Keith Fearon, Member Services Manager whose contact details are as follows:-.

Mr K Fearon, Member Services Manager, Ashford Borough Council, Civic Centre, Tannery Lane, Ashford, Kent, TN23 1PLTel – 01233 330564 E-mail [email protected]

A5 The Council will promote the Scheme, both within the public sector organisations responsible for delivering local services and also beyond in the wider community.

B About Petitions in Ashford

B1 The Council and its Partners recognise the need to help citizens communicate their needs and concerns about issues in the local area. Petitions have a long tradition, and can be useful in suggesting levels of support for various propositions, so the Council will encourage their use in appropriate circumstances, and will offer advice to interested persons as to how best to make use of this Scheme in order to achieve their aims.

Such advice may be forthcoming from different departments of the Council, but enquiries should, in the first instance be directed to Keith Fearon.

B2 The Council places importance on the opportunity offered by petitions, to seek solutions and agreements to issues identified by Petition Organisers. If this can be accomplished before the period set aside for the petition, then the Council may seek agreement with the Petition Organiser to withdraw the relevant petition.

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mailto:[email protected]


B3i Petitions to this Authority should be about matters relating to one of its functions. However, the Kent County Council will consider Petitions relating to improvements ‘in the economic, social or environmental well-being of the area to which any of its partner authorities could contribute’ and its Scheme will specify which organisations can be regarded as Partner Authorities for these purposes.

B3ii Potential Petition organisers who need advice as to whether it would be appropriate to address a Petition to the County Council will be offered guidance. At first instance, the relevant contact point should be the person specified in Paragraph A4

C Submission of Petitions

C1 Petitions may be submitted to the Authority in the following ways:-

On paper

In person

By email

In every case, a Petitions Organiser must identify his or her self and provide such details as will assist the Council or other service providers to make contact to discuss the petition.

If the lead signatory wishes to relinquish their role then another signatory can, and must, be elected as lead signatory

C2i The Council will formally acknowledge and respond to such Petitions as meet the criteria shown in Paragraph 3 of this Section.

C2ii The Council will issue a formal acknowledgement within 10 working days of its receipt.

C2iii In all cases, formal acknowledgements will indicate how the Council proposes to handle the issue, and where appropriate, to outline what it may be possible for the Authority to do in response

C3 To be a valid Petition, and trigger the provisions of the statutory ‘duty to respond’, a Petition must:-

Be initiated by Petition Organiser whose details have been supplied to the Council

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Relates to the Council’s functions or to wider issues applicable to the areas served by the County Council

Not be vexatious or abusive

Not related to matters excluded from the Scheme. These include any matter relating to individual planning or licensing decisions, for which other established processes exist.

Obtain a minimum of 50 valid signatories, including verifiable details that they live, work or study in the Council area.

Not be a duplicate or near-duplicate of a similar petition received or submitted under 12 months ago

C4 To ensure the Council understands the level of local support for a Petition, it reserves the right to seek to verify each signature appended to a Petition. This can be significant when establishing whether a Petition has obtained the requisite number of signatures to trigger specific processes.

D Responding to Petitions

D1 Upon receipt or submission, the Council will assign the Petition to a Responding Officer, who will take responsibility for investigating the issue and advise on the action to be taken by the Authority.

The name of the Responding Officer will be notified to the Petitions Organiser at the time of the acknowledgement.

D2 Among the actions the Council may undertake are one or more of the following:-

Taking the action requested in the Petition

Considering the Petition at a Council Meeting

Holding an Inquiry

Commissioning relevant research

Organising a public meeting

Mounting a wider public consultation

Meeting with the Petition Organiser or representatives of signatories

Providing a written response outlining the Council’s views on the subject

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Referring the issue to the Council’s Overview & Scrutiny Committee OR

Referring the issue to the relevant Committee

Consulting statutory partners and local service providers

Instigating discussions with the voluntary and community sectors

Make representations to Commercial or other Interests

D3 Under normal circumstances, the Council will expect to provide the Petition organiser with a response detailing which of the actions specified in D2 or other initiatives it intends within 28 days of receipt of a paper Petition.

D4i If a Petition has, or acquires 1500 valid signatures, the issue will be debated at a full Council Meeting to which all elected members are invited

D4ii At such a meeting, the Petition Organiser or someone nominated on his or her behalf will have the right to speak about the petition, normally for up to 10 minutes; reasonable advance notice will be provided to ensure that any preparation can be undertaken in time

D4iii The Chairman of the Meeting will decide upon the amount of time to allow for the debate on the Petition, and will take account of the degree of public interest in the issue, the level of support given to the Petition and the number of elected members wishing to express their views on the subject.

D4iv The Council accepts that it will not normally be sufficient for such a meeting merely to ‘take note’ of the Petition and that there should be a decision taken as to what other steps (including but not restricted to the actions specified in Paragraph D2) should also be taken as a response.

D4v The Petitions Organiser will be formally notified of the decision taken at the Council meeting. This will take place within 5 working days.

D5i Petitions may request that a senior Council Officer be required to appear and give evidence on an issue for which he or she is responsible. If such a Petition has, or acquires 750 valid signatures, the Council will organise such a meeting, though it reserves the right to substitute a more appropriate person for the name referred to in the Petition.

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D5ii Those Officers who may be called to give evidence in this way as a result of a Petition consist of the Chief Executive, Directors and Heads of Service.

D5iii The Petition Organiser will be given reasonable notice of the meeting, and although able to attend, will not normally be able to participate in the meeting. The meeting Chairperson will normally be prepared to consider suggested lines of questioning from the Petition Organiser or signatories.

D5iv If in the opinion of the Council, an issue raised in a petition seeking to call a Senior Officer to account would be better considered through the attendance of relevant Senior Officers from a Partner Authority, the Council may, at its discretion request that such an individual be invited to give evidence to the Overview and Scrutiny Committee.

D5v Following the meeting at which the Senior Officer appears and gives evidence, the Overview and Scrutiny Committee will prepare a Report and/or make recommendations. These will be sent to the Authority’s Chief Executive and to the Leader of the Council, and a copy sent to the Petition Organiser. Unless the issue raises matters of confidentiality, the Council will normally publish this document on the Council’s website.

D5vi References to ‘threshold’ numbers of signatures in paragraphs C3, D4i and D5i confer a clear entitlement under the provisions of this Scheme. However, the Council accepts that there are situations where issues may be of considerable significance to a small number of stakeholders, but where the absolute number of signatures for a petition may be less appropriate a measure of relevant support.

In these circumstances the Scheme Administrator is authorised to substitute for the thresholds in the paragraphs referred to above, revised numbers that take account of the specifics of the case. When this occurs, the entitlements operate as for the rest of this Scheme.

D6i At the end of the process of considering the Petition, a relevant Chief Officer will formally write to the Petition Organiser with a formal response. This communication will normally outline the steps taken by the Council to consider the issue and will refer to the involvement (where applicable) of the Authority’s elected members.

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The letter will also identify the Responding Officer who handled the issue and highlight his or her involvement where appropriate.

This Formal Response will be despatched within 90 days of receipt or submission of a Petition, and a copy will be published both on the Council website and easily accessible from the relevant pages of the ePetitions facility

E Reviewing the Results

E1 If a Petitions Organiser is not satisfied with the Council’s response to the Petition, he or she may request a Review

Such a request should be made in writing within 28 days of the despatch of the Formal Response to the Petitions Organiser.

E2 Upon receipt of such a Request the Scheme Administrator will identify a Reviewing Officer from among Senior Officers at the Council. This Officer will be given wide scope to reconsider whether the Authority should, in all the circumstances take additional steps to respond to the Petition. This will normally include reference to the Overview & Scrutiny Committee which will itself consider the adequacy of the initial response.

On some occasions, such as where the initial response took the form of the Overview & Scrutiny Committee’s taking evidence from a Senior Officer, it may be inappropriate for the same Committee to review the issue. In consultation with the Scheme Administrator, the Reviewing Officer will ensure that a suitable alternative process is followed to engage elected members in reviewing the Petition.

E3 At the end of the process of reviewing the Petition, the Council’s Monitoring Officer will formally write to the Petition Organiser to inform him or her of the results of the Review. This communication will normally outline the process followed to establish whether the initial response had been adequate and outline any additional steps taken by the Council as part of the Review. It will also refer to the involvement (where applicable) of the Authority’s elected members.

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The letter will also identify the Reviewing Officer who handled the issue and highlight his or her involvement where appropriate.

This Review Response will be despatched within 28 days of receipt or the request for Review, and a copy will be published both on the Council website and easily accessible from the relevant pages of the ePetitions facility

(b) Questions

(i) Must be from residents of the Borough.

(ii) Must be relevant to the powers and duties of the Council, the Cabinet (Executive) or terms of reference of the relevant Committee or Sub-Committee.

(iii) Must relate to an item on the Agenda.

(iv) Only one person will be allowed to speak per item on the agenda.

(c) General Comments.

(i) Must relate to an item on the Agenda.

(ii) Not normally more than two speakers will be allowed per agenda item.

4. Procedure for Speaking at Meetings of the Planning Committee

(a) Views to be confined to planning issues only. (An information leaflet is available from the Proper Officer which may help you to consider your comments).

(b) Questions may not be asked. No requests for site visits. No speeches other than on items for decision, excluding speeches in support of or against the taking of Enforcement Action.

(c) No more than one person will be allowed to speak in support or against an item, in addition to the Parish Council(s) and Community Forum(s) affected.

(d) The order of speakers will normally be objector, supporter and where appropriate the Parish Council(s) and Community Forum(s) affected.

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(e) There is no requirement to hear both sides’ views on the item.

5. Summary of Rights

Petitions

Members of the public and/or a duly authorised representative of a Parish Council can submit or speak to a petition at meeting of the Cabinet (Executive) in relation to executive functions or meetings of the Council or any Committee in relation to Council functions.

Questions

Members of the public and/or a duly authorised representative of a Parish Council can ask a question at meetings of the Cabinet (Executive), in relation to executive functions or meetings of the Council or any of its Committees or Sub-Committees in relation to functions of the Council and which relates to an item on the agenda for that meeting.

Comments

Members of the public and/or a duly authorised representative of a Parish Council can comment on items on the Agenda for meetings of the Cabinet (Executive), in relation to executive functions or meetings of the Council or any of its Committees and Sub-Committees.

Planning Committee

Members of the public and/or a duly authorised representative of a Parish Council or Community Forum may address the Planning Committee on an agenda item subject to the detailed rules as described in Paragraph 4 above.

6. Administration of the Scheme

The operation and administration of the scheme is undertaken by the Proper Officer, (Corporate Director (Law and Governance)), Civic Centre, Tannery Lane, Ashford. Telephone 01233 330564 for further details about how the Scheme operates, or for advice upon which is the most appropriate Committee or Sub-Committee to deal with your request.

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Rights of Access to Meetings and Documents by Councillors

Appendix 4Access to Information Procedure Rule 22.3 refers


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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 4 -Rights of Access to Meetings and Documents by Councillors

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1. A Councillor possesses certain rights conferred by law e.g. s/he is entitled to attend Council, the Cabinet (Executive) Committee and Sub-Committee meetings without hindrance; and, if s/he can show a “need to know” in relation to a particular item of business, s/he can claim a common law right to attend the meeting of Groups, and Forums.

2. A Member may attend any meeting but, unless appointed to the Committee, Sub-committee, Group or Forum or as a substitute Member, shall not vote and save as provided in (3) below, may only speak with the permission of the Chairman.

3. The Executive Leader and /or Portfolio Holder who have within their portfolio an item the subject of consideration at an Overview and Scrutiny Committee may speak as of right on such matters subject to the Chairman of the Committee agreeing the order of speakers.

4. The rights of Councillors to documents emanate from statute and common law - by far the most important being a Councillor's common law rights.

5. Case law on the subject highlights two themes which are often in conflict, namely, the corporate responsibilities and duties of Members of the Council to the Council as a whole and the duties and responsibilities of Councillors as representatives of a wider range of community interest which they are elected to represent.

Common Law Rights

6. In principle, a Member has a right to inspect documents addressed to the Council upon the basis that a Member is under a duty to keep him/herself informed of Council business which relates to their role as an elected representative and which they have a "need to know". Accordingly, if the motive for seeing a document is indirect, improper or ulterior then access can be quite properly barred. So too, a Member does not have a "roving commission" through Council paperwork. In practice this means that if a Councillor is a Member of a Committee then s/he has the right to inspect documents relating to the business of that Committee, if not a Member of that Committee then the Councillor must show cause why the sight of them is necessary to perform his/her duties.

7. The entitlement of a Committee Member to have access to relevant documents at the particular Committee is stronger than that of a non-Member but as indicated it is not an absolute right and improper/indirect/ulterior motives would be a bar to access.

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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 4 -Rights of Access to Meetings and Documents by Councillors

8. A Member of a Committee is normally entitled to see documents relating to the work of a Sub-Committee of that Committee or if the Councillor is a Member of another Committee the administration of which relates to the activities of the relevant Sub-Committee.

9. Where there is a right of access, that right would seem to override the duties of confidentiality owed to third parties only so far as is necessary to give effect to that right. The information should still be dealt with on a confidential basis.

Statute

10. Section 100(f) of the Local Government Act 1972 (As amended) provides additional statutory rights for Members in respect of documents in the possession or under the control of the Council which contains material relevant to business to be transacted at a Council Committee or Sub-Committee meeting. If the particular Member could not establish a "need to know" at common law then the Proper Officer of the Council would be entitled to withhold access if the documents fell within the categories of exempt information within paragraphs 1, 2, 3, 4, 5 and 7 of Schedule 12A to the Act.

11. Procedure Rules provide that requests for information should normally be made to the Proper Officer of the Council (the Corporate Director (Law and Governance)) although it is not unusual for Members to approach the relevant Officer direct - only having recourse to the Proper Officer or the Chief Executive if there is a need to clarify the particular rights of access in relation to the material concerned.

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Access to Information Procedure Rules -Appendix 5

Guidance on Audio & Visual Recordings of Meetings

Appendix 5Access to Information Procedure Rule 3(b) refers

Procedure/Guidance Note – Filming, Photographing or making an Audio Recording of Proceedings at Meetings

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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 5 -Guidance on Audio & Visual Recordings of Meetings

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Access to Information Procedure Rules -Appendix 5

Guidance on Audio & Visual Recordings of Meetings

Procedure/Guidance Note – Filming, Photographing or making an Audio Recording of Proceedings at Meetings

Members of the public are allowed to reporta at all meetings of the Authority which are open to the public to enable those not present to see or hear the proceedings either as they take place (or later) and to enable the reporting of those proceedings. In order to ensure effective management of meetings held in public at which rights are being exercised, the following procedures will be adopted.

1. The filming, photographing or making an audio recording of proceedings of meetings of the Authority and its Committees and Sub-Committees and the executive and its committees whilst those meetings were open to the public is permitted.

2. Those persons wishing to film, photograph, or make an audio recording of proceedings should give prior notification in writing or by telephone to the Member Services Manager or the Chairman of the Committee of their intentions to film or record prior to the commencement of the meeting.

3. The filming, photographing or audio recordings should only be made from the designated public seating area and with the knowledge of the Chairman of the meeting. Also:-

(a) filming, photography or audio recordings should not be disruptive and distracting to the good conduct of the meeting and recording devices must be set in silent mode.

(b) no flash or additional lighting is permitted.

(c) filming, photography or audio recordings should normally be taken from one fixed position and must not obstruct others from observing proceedings.

(d) attendees would be advised at the start of the meeting that is being filmed, photographed or audio recorded.

(e) a person undertaking the filming or audio recording shall respect any request from members of the public that they do not wish to be filmed.

(f) there shall be no oral commentary permitted in the Meeting Room.

a ‘reporting’ means –(a) Filming, photography or making an audio recording of proceedings at a meeting.(b) Using any other means of enabling persons not present to see or hear proceedings at a

meeting as it takes place or later; or(c) Reporting or providing commentary on proceedings at a meeting orally or in writing so that the

report or commentary is available as the meeting takes place or later to persons not present.The Openness of Local Government Bodies Regulations 2014

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Part 4 Rules of Procedure -Access to Information Procedure Rules -Appendix 5Guidance on Audio & Visual Recordings of Meetings

4. The Chairman of the meeting shall instruct that filming, photographing or audio recordings be stopped where:-

(a) During those parts of the meeting when the press and public have been excluded due to the nature of the business being discussed i.e. either exempt or confidential matters.

(b) There is a public disturbance or suspension/adjournment of the meeting.

(c) The recording has become disruptive or distracting to the good order and conduct of the meeting.

(d) Continued recording is against the wishes of an individual.

Use of Recordings by Third Parties

The Council will expect those filming or audio recording the proceedings to abide by (a) and (b) below:-

(a) Any published filming or audio recording should be accompanied by a statement of when and where the filming and audio recording was made, the context of the discussion that took place and a clear identification of the main speakers and their role or title.

(b) Those undertaking the filming or recordings must not edit the recording in a way that could lead to misinterpretation or misrepresentation of the proceedings or comments made by attendees.

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Financial Procedure Rules


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Part 4 Rules of Procedure -Financial Procedure Rules

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Contents

Page Nos

1. Introduction (Background, Legislation, Scope and Review, Interpretation)..........................................................................................

2. Accounting Records and Procedures......................................................

3. Asset Management.................................................................................

4. Audit........................................................................................................

5. Banking Arrangements............................................................................

6. Budget Process.......................................................................................

7. Budgetary Control...................................................................................

8. Code of Conduct for Employees..............................................................

9. Contracts for Works, Goods and Services..............................................

10. Corporate Credit Cards...........................................................................

11. Corporate Governance and Risk Management.......................................

12. External Funding.....................................................................................

13. Financial Limits Relating to Contracts, Financial Procedure Rules and Budget Thresholds.................................................................

14. Hospitality Register.................................................................................

15. Income.....................................................................................................

16. Insurance.................................................................................................

17. Partnerships and Other External Works..................................................

18. Payment of Invoices................................................................................

19. Petty Cash Accounts and Cash Floats....................................................

20. Procurement of Work, Goods and Services............................................

21. Protection of Private Property in the Temporary Custody of the Authority / Lost Property..........................................................................

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Page Nos

22. Reports with Financial Implications.........................................................

23. Retention of Financial Records...............................................................

24. Salaries, Wages and Members’ Allowances...........................................

25. Security...................................................................................................

26. Sponsorship............................................................................................

27. Stock, Stores and Controlled Stationery..................................................

28. Taxation...................................................................................................

29. Travelling and Subsistence.....................................................................

30. Treasury Management............................................................................

31. Write-offs of Income, Stocks, Furniture and Equipment..........................

Appendix 1: Glossary ............................................................................

Appendix 2: Financial Limits and Budget Thresholds............................

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1. Introduction

Background

1.1Financial Procedure Rules are designed to maintain an acceptable standard of financial administration. They must be available to and followed by all Officers, Members and agents acting for the Council. Together with Standing Orders they regulate the conduct of the Council’s business.

1.2To help you understand the terminology used in the Financial Procedure Rules a Glossary of Terms is attached at Appendix A.

1.3The contents are set out in alphabetical order for ease of reference.

Legislation

1.4Section 151 of the Local Government Act 1972 requires every local authority “to make arrangement for the proper administration of their financial affairs and secure that one of their Officers has responsibility for the administration of those affairs” The Council has appointed the Corporate Director (Finance and Economy) as the Section 151 Officer and the Accountancy Manager as the designated deputy.

1.5Section 114 of the Local Government Finance Act 1988 requires the Officer appointed under Section 151 to report to the Authority and the external auditor:

1.5.1 If it appears to him/her that the Authority, the Cabinet, Portfolio Holder, Committee, or Officers of the Authority or Joint Committee on which the Authority is represented:

i Has made or is about to make a decision which involved or would involve the Authority incurring expenditure which is unlawful.

ii Has taken, or is about to take a course of action which, if pursued to its conclusion, would be unlawful and likely to cause a loss or deficiency on the part of the authority.

iii Is about to enter an item of account, the entry of which is unlawful.

1.5.2 Make a report under this section if it appears to him/her that the expenditure of the Authority incurred (including expenditure it proposes to incur) in a financial year is likely to exceed the resources (including sums borrowed) available to meet that expenditure.

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1.6 The Accounts and Audit Regulations 2011 (as amended) reiterate the responsibilities of the ‘Section 151 Officer’ with regard to accounting records and maintenance of proper accounting practices. These regulations place the responsibility for the maintenance of an adequate and effective system of internal audit on the Authority as a whole.

1.7 Section 76 of the Local Government and Housing Act 1989 requires the Council to take corrective action if there is likely to be a deficit on the Housing Revenue Account.

Scope and Review

1.8 It is the responsibility of Heads of Service to ensure that all staff in their departments are aware of their responsibilities according to the Financial Procedure Rules and other regulatory documents (eg the Anti-Fraud and Corruption Policy, the Money Laundering Policy) and comply with them.

1.9 Failure to follow the Financial Procedure Rules and Standing Orders will be reported to the Corporate Director (Finance and Economy) immediately and, if serious, to the Cabinet and may be treated as a disciplinary offence.

1.10 Financial Procedure Rules also apply to agents and consultants acting for the Council and services carried out under agency arrangements or partnerships, unless specifically exempted by the relevant Head of Service and the Corporate Director (Finance and Economy).

1.11 All Members and Officers have a general responsibility for taking reasonable action to provide for the security of assets under their control, and ensuring that the use of these resources is legal, is properly authorised and provides value for money.

1.12 The Corporate Director (Finance and Economy) is responsible for maintaining a continuous review of these regulations and submitting any changes necessary to Full Council for approval.

Interpretation

1.13 On a day-to-day basis, queries should be directed to the Head of Finance and IT.

1.14 All references to Heads of Service relate to the Chief Executive, Directors, and all other Heads of Service.

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2. Accounting Records and Procedures

2.1The Section 151 Officer is responsible for keeping the Council’s accounts in accordance with statutory requirement.

2.2Heads of Services shall consult the Corporate Director (Finance and Economy) before changing any accounting procedures, financial records or the implementation or development of computer systems that involve a financial operation or produce output that may influence the allocation of resources.

2.3The following principles will apply in accounting procedures:

2.3.1 Calculating, checking and recording of sums due to or from the Council will be separated as completely as possible from their collection or payment.

2.3.2 Officers responsible for examining and checking cash transaction accounts will not process any of these transactions.

2.4 The Principal Accountant is responsible for ensuring financial and management accounting information is available for all services administered by the Council in either computer screen or hard copy format.

2.5 The Council’s statutory accounts will be prepared in accordance with the Accounts and Audit Regulations 2003 (as amended) and the current Code of Practice on Local Authority Accounting in Great Britain.

2.6 The Principal Accountant shall have overall control of the closing of the Council’s accounts and preparation of the Council’s Statement of Accounts. Heads of Service shall comply with the closing of accounts timetable and guidance issued by the Principal Accountant.

3. Asset Management

3.1The Head of Corporate Property and Projects shall be responsible for preparing the Property Strategy (which incorporates the Asset Management Plan). Responsibility for the management of assets is shared between the relevant Heads of Service.

3.2The Head of Legal and Democracy will maintain a register of all land and property owned or leased by the Council, and shall have custody of all title deeds and keep them under secure arrangements.

3.3Disposal of surplus land and buildings to be carried out in accordance with the approved Disposals and Acquisitions Policy.

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3.4The Principal Accountant is responsible for maintaining the Council’s Asset Register to reflect acquisitions, capital expenditure and disposals as appropriate.

4. Audit

Internal Audit

4.1 In accordance with the Accounts and Audit Regulations 2011 (as amended), the Council shall maintain an adequate and effective system of internal audit of its accounting records and of its system of internal control in accordance with the proper practices in relation to internal control, and any Officer or Member shall:-

4.1.1 Make available to Internal Audit such documents that relate to the Council’s accounting and other records that appear to be necessary for the purpose of the audit; and

4.1.2 Supply Internal Audit with such information and explanation as is considered necessary to Internal Audit for the purpose.

4.2 Internal Audit operates in accordance with the Code of Practice for Internal Audit in Local Government in the United Kingdom, published by CIPFA and with Terms of Reference and the Audit Strategy, which are endorsed by the Audit Committee.

4.3 Internal Audit is provided through the Mid Kent Internal Audit Partnership. The Head of Audit Partnership has the right of access directly to the Section 151 Officer, the Chief Executive, the Chair of the Audit Committee, and the Leader of the Council.

4.4The scope for Internal Audit is the ‘entire control environment’. This means that the scope for Internal Audit includes all the Council’s own operations, resources, services and also its responsibilities in relation to other bodies. In order to turn this generic description into actual subjects for audit, the Head of Audit Partnership uses a Risk Assessment Method which allows all high risk subjects to be identified. Although this process inevitably identifies the Council’s fundamental financial systems as being ‘high risk’, other non financial systems and functions are also identified as important areas for review by Internal Audit.

4.5A three-year Strategic Plan will be created by the Head of Audit Partnership, which will be endorsed by the Audit Committee. A one-year Operational Plan will be created each year from the Strategic Plan. The Head of Audit Partnership will report the work performed against the Plan to the Audit Committee on a six-monthly basis.

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Preventing Fraud and Corruption

4.6The Council will not tolerate fraud and corruption in the administration of its responsibilities whether from inside or outside the Authority.

4.7The Head of Audit Partnership shall maintain the Council’s Corporate Anti-Fraud and Corruption policy. A copy of the Council’s Anti-Fraud and Corruption Policy is available to all staff on the Council’s Intranet.

4.8 It is the duty of all Officers and Members who are aware of any financial irregularity to follow the Corporate Anti-fraud and Corruption Policy.

Whistleblowing

4.9The Council has a Whistleblowing Charter to enable employees to raise their concerns at an early stage and in the right way.

4.10 This Charter is available on the Council’s intranet.

Money Laundering

4.11 It is the Council’s policy to do all it can to prevent, wherever possible, the organisation and its staff being exposed to money laundering, to identify the potential areas where it may occur, and to comply with all legal and regulatory requirements, especially with regard to the reporting of actual or suspected cases.

4.12 The Council has nominated the Head of Audit Partnership as the Money Laundering Reporting Officer and the Corporate Director (Finance and Economy) to be the deputy.

4.13 The Anti-Money Laundering Policy is available on the Council’s Intranet.

Unofficial Funds

4.14 Directors and Heads of Services are responsible for ensuring the proper administration of unofficial funds, that is any funds associated with Council business, supervised or managed by Council Officers but not part of the Council’s funds (e.g. Mayor’s accounts, Trust Funds etc).

4.15 The Corporate Director (Finance and Economy) will be notified of any unofficial funds and give advice on keeping and auditing them.

4.16 Any Officer holding unofficial funds will produce an accurate account in writing of all financial transactions, with associated supporting documentation.

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5. Banking Arrangements

5.1The Corporate Director (Finance and Economy), as the appointed S151 Officer, has overall responsibility for the sound operation of the Council’s Bank Accounts. This is delegated for day to day operations to the Exchequer Manager.

5.2The Corporate Director (Finance and Economy) will review the Council’s banking arrangement at least every 5 years.

5.3The Corporate Director (Finance and Economy) and other Officers approved in writing by the Corporate Director (Finance and Economy) each have authority, in accordance with the mandate given to the bank, to sign and be accepted as satisfactory signatures for any other purpose in connection with the Council’s Bank Accounts. The Exchequer Manager shall maintain a register all such Authorised Officers.

5.4Cheques and electronic payment instructions for amounts of £20,000 and above require two authorising signatures.

5.5All bank accounts are to be reconciled to the cash book by the end of the following month to which they relate.

6. Budget Process

Introduction

6.1The Corporate Director (Finance and Economy) shall have overall responsibility for the co-ordination and preparation of the Council’s Budget (ie Capital, General Fund Revenue and Housing Revenue Account Budgets).

6.2Each year the Corporate Director (Finance and Economy) will prepare timetables for the preparation, submission and approval of the Medium Term Financial Forecast, Capital Programme, Prudential Indicators and detailed Revenue Budgets.

6.3All budgets will be prepared in accordance with the Budget and Policy Framework Procedure Rules.

Capital Programme

6.4The definition for capital expenditure is taken from the Capital Finance Regulations 2003 (as amended), in summary expenditure is deemed to be capital when it relates to:

Purchase or construction of an asset; Enhancement of an asset;

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Grants for capital purposes.

6.5The Corporate Director (Finance and Economy) will prepare a draft capital programme, which includes all capital schemes undertaken by the Council regardless of funding. The programme will be submitted to the Cabinet for approval together with the estimate of resources available.

6.6 The Corporate Director (Finance and Economy) will submit to the Cabinet a set of Prudential Indicators outlining the revenue impact of the capital programme as part of the Budget Report.

Medium Term Financial Plan

6.7In conjunction with the Management Team the Corporate Director (Finance and Economy) shall prepare recommendations for the Council’s Budget Strategy to be considered by the Cabinet.

6.8Heads of Service will prepare information needed to produce the Medium Term Financial Plan for each of their services.

6.9A Budget Forecast shall be presented to the Cabinet each autumn.

6.10 The Cabinet will consider this and determine the overall level of resources to be made available, and the limits within which the detailed budgets can be prepared.

6.11 A Draft Budget shall be presented to the Cabinet in December of each year.

Detailed Revenue Budget

6.12 Heads of Service will prepare budget estimates of income and expenditure for the next financial year in accordance with the timetable as specified by the Corporate Director (Finance and Economy).

6.13 These estimates will reflect the Medium Term Financial Plan and the decision of the Cabinet as detailed above.

6.14 Each budget will be cash limited, and any minor variations in spending will be met from the approved budget.

6.15 The Corporate Director (Finance and Economy) will report the detailed draft Revenue Budget to Management Team for consideration and approval. This will subsequently be submitted to the Cabinet as part of the budget report.

Budget Scrutiny Process

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6.16 The Cabinet’s draft budget proposals will be referred to the Overview and Scrutiny Committee in December each year for examination and consideration.

6.17 The Overview and Scrutiny Committee shall report to the Cabinet on the outcome of its deliberations before the final budget report is submitted to the Cabinet in February.

Approval of Annual Revenue Budget

6.18 By the 1st March each year the Council shall determine the Revenue and Capital Budgets, Prudential Indicators, Housing Rents and Council Tax levels for the year beginning on the following 1st April.

7. Budgetary Control

Introduction

7.1Once the Council agrees the Budget, responsibility for its implementation passes to the Cabinet, with responsiblity for ensuring compliance with the Council’s overall Budget. Cabinet must ensure that wherever appropriate and necessary corrective action is taken in accordance with the Council’s Budgetary Control Procedures.

7.2The Cabinet shall recommend to the Council any amendments to the Budgetary Control Procedure as part of its Budget proposals.

Authority for Incurring Expenditure

Normal Revenue Expenditure

7.3The Chief Executive, Directors, Heads of Service, and their duly Authorised Officers may incur expenditure on items already approved specifically or generally within the Council’s Budget or Capital Programme, provided no overspending or under-recovery will occur.

7.4Heads of Service have operational responsibility for the Budget and shall manage the budgets at their disposal and be accountable to the Cabinet for performance. Budget resources are to be deployed to deliver agreed service objectives and priorities.

7.5Delegation to duly Authorised Officers is necessary for practical purposes. These delegations form lines of accountability, which should be clear, well communicated and regularly reviewed. They also provide control through appropriate levels of authorisation and separation of duties.

7.6Heads of Service will provide the Corporate Director (Finance and Economy) with details of all financial delegations made to Officers.

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7.7Where an urgent spending decision (e.g. Civil Emergency, Legal Imperative or other such service critical events) is required, in excess of £100,000, the Chief Executive may authorise such expenditure as is necessary, with the approval of the Chairman of the Overview and Scrutiny Committee. This must be ratified at a later date by the Cabinet. Under no other circumstances should expenditure be incurred without appropriate provision put in place first. Further guidance is available in Section 4 of the Budgetary and Policy Framework Procedure Rules.

The Authority to Use Reserves

7.8All other uses of reserves to fund expenditure will need approval by the Cabinet with the exception of:

the Management Team, in either exceptional and urgent cases where this might be justified or where an amount may be needed to deal with some other service issue including investment to achieve greater efficiency may deploy reserves up to the value of £100,000 in each case. In all cases where the flexibility is applied the Chief Executive must liaise with the Leader of the Council, the relevant Portfolio Holder and the Corporate Director (Finance and Economy) (as Chief Financial Officer) and must report any application of reserves to the Cabinet as part of the budget monitoring cycle.

The use of this flexibility is for exceptional circumstances and not to be routinely applied, and in all cases the use of the delegation must be consistent with the council’s business plan priorities. It is a requirement to review this delegation each year as part of the budget cycle.

In cases where a request is made by a Portfolio Holder to the relevant Head of Service, or where a Head of Service after consulting the relevant Portfolio Holder identifies a relevant need to resolve an issue urgently or to address immediate community concerns regarded of sufficient priority and where other budgets are not available then a Head of Service has delegated authority to spend up to £5,000 on any one occasion without Management Team or Cabinet approval. The use of this delegation is subject to the following:

a) Use of the delegation is not intended as a general supplementary spending power

b) Consideration must first be given to the use of budgets within the responsibility of the Head of Service, or after consultation with another Head of Service where a budget may be available to address the need

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c) That consideration must be given to any relevant processes in place to determine resource allocation priorities (for example the Single Grants Gateway) and therefore consultation with the relevant officer must take place

d) That the Corporate Director (Finance and Economy) is notified of the use of the delegation so that it may be reported in the next available Budget Monitoring Report

e) That an overall cap of £100,000 on the use of the delegation applies and when this is reached the Cabinet will conduct a full review of the application of the delegation.

The Head of Paid Service, following consultation with the Head of HR and Customer Services be delegated to approve staff termination costs (redundancy payments and payments in lieu of notice and other compensation) associated with reductions in staffing, which are supported by the Joint Consultative Committee and the relevant Portfolio Holder. This delegation would not cover the approval of pension fund compensation costs relating to any early retirement cases on the grounds of redundancy or efficiency as these must be approved by the Full Council. Information explaining the use of the delegation must be included in Budget Monitoring Reports to the Cabinet . Staff severance costs, where not funded by immediate revenue savings would be met from reserves, for which an amount is set aside.

Budget Monitoring

7.9The Corporate Director (Finance and Economy) is responsible for providing appropriate financial information to enable the Budget to be monitored effectively. They must monitor expenditure and income against budget allocations and produce a Budget Monitoring Statement which is to be reported to the Management Team and quarterly to the Cabinet.

7.10 A provisional outturn report shall be submitted to the Cabinet by no later than the 30th June each year to include material variances at service.

7.11 It is the responsibility of Heads of Service to control income and expenditure within their cash limit and to monitor performance. They should take any action necessary to avoid exceeding their budget allocation and alert Finance to any problems.

7.12 The Management Team or Cabinet shall be entitled to require corrective action to be taken to deal with either a forecast or known overspending or to accommodate a new demand that is considered important or unavoidable.

7.13 Corrective actions may take the form of a re-allocation of budgets (virement) or the suspension or deletion of other planned expenditure.

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7.14 Where overspendings arise and where there is no evidence of corrective action having been considered or taken, the Corporate Director (Finance and Economy) shall be entitled to recommend to the Cabinet that the overspending be corrected from within the following year’s Budget.

7.15 The Cabinet has the ability to transfer from the General Fund Balance any amount which would not take the balance below the minimum level, determined each year by the Council at its Budget setting meeting, so as to compensate for pressure, but only as a final measure once all other possibilities for corrective action have been considered.

7.16 The Management Team has flexibility to apply reserves up to the value of £100,000 per occasion to compensate for exceptional cost pressures or where investment is required to enable longer term revenue savings to be made. The Corporate Director (Finance and Economy) (as s151 Officer) should approve any application of reserves by the Management Team and should ensure that any actions of the Management Team are reported to the Cabinet in the next Budget Monitoring Report.

Virements

7.17 The Cabinet will always consider proposals for new initiatives other than those brought forward under the delegations.

7.18 Virements must be within the same fund i.e. virements cannot be made between the HRA and General Fund. It may be possible to vire from Revenue Budgets to the Capital Programme in certain circumstances.

7.19 Officers shall be entitled to vire within revenue Budget Heads up to an amount of £100,000 without reference to the Cabinet subject to virements under £50,000 being made in consultation with the Corporate Director (Finance and Economy) and between £50,000 and £100,000 being approved by Management Team in consultation with the relevant Portfolio Holder and the Portfolio Holder for Finance and IT.

7.20 In excess of £100,000 Officers shall be entitled to vire within Budget Heads only after reference to and with the agreement of the Cabinet.

7.21 The Management Team may approve virements between capital projects; of up to 10% of the budget or £100,000, whichever is the lesser. The Cabinet shall approve all other capital virement proposals outside of these limits.

7.22 Proposals to be financed by virement that involve on-going future years’ costs must be matched by on-going savings.

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7.23 Where a Head of Service is unable to find a compensatory saving within their own budget, Management Team should consider options to find other suitable virements.

Carry Forward of Resources at Year End

7.24 Limited carry over of underspent Revenue Budgets to the next financial year will be possible under the following conditions:

7.24.1 The Budget carry forward scheme will only apply once all overspending in the year have been contained within the overall budget level set for the year.

7.24.2 Carry forwards are only permitted on Budget Heads that are under the direct control of the Head of Service.

7.24.3 Carry forwards can only be used to finance one-off types of expenditure.

7.25 All requests with justifications for carry forwards are to be submitted to the Corporate Director (Finance and Economy) by the end of April following the end of the financial year, these will then be summarised and submitted to Management Team for approval. The summary will then be included for information as part of the Final Outturn report submitted to the Cabinet.

7.26 The Corporate Director (Finance and Economy) shall be permitted to carry forward to a following Financial Year the Budget provision remaining for any capital project.

8. Code of Conduct for Employees

8.1The Code of Conduct for Employees applies to and will be followed by all Officers. A copy of the Code of Conduct is available to all staff on the Council’s intranet.

9 Contracts for Works, Goods and Services

Standing Orders

9.1Heads of Service will ensure compliance with the Council’s Standing Orders for Contracts.

9.2As far as practicable, Financial Procedure Rules apply to works entered into on behalf of a body from whom the Council has accepted delegated powers, or for whom the Council acts as an agent. The requirements of any such body should be followed if they differ from these Financial Procedure Rules or Contract Procedure Rules.

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9.3In the case of contracts entered into by the Council and supervised by consultants, any agreement with the latter should include a requirement to comply with the Council’s Financial Procedure Rules and Contract Procedure Rules.

Tenders

9.4A satisfactory Financial Reference and evidence of appropriate insurance will be obtained for the successful tenderer for all contracts over £150,000 in value.

9.5No contract will be entered into unless the relevant Head of Service is confident of the tenderer’s ability to complete the contract.

9.6Guidance on accepting tenders both within and exceeding the budget is contained in Section 9 of Contract Procedure Rules.

Contract Payments

9.7Heads of Service, or their named representatives, shall be responsible for issuing interim payment certificates, which show the value of works to date, the amounts previously paid, retention to be held and indicating an appropriate level of liquidated damages (if any).

Variations

9.8Guidance on Variations to tenders is contained in Section 10 of Contract Procedure Rules

Final Account

9.9Final certificates shall be issued in all cases.

9.10 The appropriate Head of Service or duly Authorised Officer will be fully responsible for the accuracy of the final account supporting such final certificate.

9.11 Claims from contractors for matters not clearly within the terms of any existing contract will be referred to the Head of Legal and Democracy to consider the Council’s legal liability and, where necessary, to the Corporate Director (Finance and Economy) for financial consideration before a settlement is reached.

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10. Corporate Credit Cards

10.1 The Exchequer Manager has responsibility for the issue of Corporate Credit Cards. This will only be done on the written request of the appropriate Head of Service. The credit limit is at the sole discretion of the Exchequer Manager.

10.2 Corporate Credit Cards may only be used for Council business and in no circumstances used for personal purposes.

10.3 Corporate Credit Cards must only be used in accordance with the Guidance notes for the use of Credit Cards, issued by the Exchequer Manager, available on the Intranet.

10.4 All payments made must be supported by the appropriate documentation and properly certified by an Authorised Officer.

10.5 Any misuse of a Corporate Credit Card will result in the card being withdrawn and if significant could lead to disciplinary action.

11. Corporate Governance and Risk Management

11.1 The Council has approved and adopted a Code of Corporate Governance, which is consistent with the principles of the CIPFA/SOLACE Framework ‘Delivering Good Governance in Local Government’.

11.2 The Council issues an Annual Governance Statement on a yearly basis, which is signed by both the Leader and the Chief Executive. This is a formal statement that confirms that the Council has ensured that its business is conducted in accordance with the law and proper standards, and that public money is safeguarded and properly accounted for, and used economically, efficiently and effectively.

11.3 Management Team is responsible for ensuring that Council’s Risk Management Policy is regularly kept under review and that all corporate risks are identified, assessed and appropriate controls are put in place as part of the corporate governance/risk management process.

11.4 Heads of Services are responsible for ensuring that business risks, specific to their area of responsibility, are identified, assessed and that appropriate controls are put in place as part of the corporate governance/risk management process in accordance with the Council’s Risk Management Policy.

11.5 A copy of the Council’s Risk Management Policy is available on the Council’s Intranet.

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12. External Funding

12.1 External funding is potentially a very important source of income, but funding conditions need to be carefully monitored to ensure they are compatible with the aims and objectives of the Council.

12.2 The Principal Accountant shall be responsible for preparation of claims for Government grants and subsidies, and the Corporate Director (Finance and Economy) shall be responsible for their authorisation.

12.3 Heads of Service may claim other grants and contributions subject to any match funding required being first approved by the Cabinet (in relation to executive functions) or the Council or other relevant Council Committee (in relation to Council functions).

12.4 Funding should only be sought to meet the priorities approved in the Council’s Corporate Plan and Budget Framework approved by Full Council.

12.5 Heads of Service shall ensure that:

12.5.1 Conditions of funding and any statutory requirements are complied with.

12.5.2 The responsibilities are clearly understood.

12.5.3 The project progresses in accordance with the agreed project plan and conditions.

12.5.4 All expenditure is properly incurred and accounted for.

12.5.5 All claims for funds are made by the due date.

12.5.6 Future revenue implications are included within the Medium Term Financial Plan.

12.5.7 Appropriate exit strategies exist.

12.5.8 The Corporate Director (Finance and Economy) is informed of all bidding for external funds.

12.5.9 That all the necessary records are kept to substantiate claims for audit purposes.

12.6 The Corporate Director (Finance and Economy) shall ensure that all funding awarded by external bodies is received and properly recorded in the Council’s accounts and that all audit requirements are completed with.

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12.7 The responsible Officer for each externally funded revenue scheme will provide the Corporate Director (Finance and Economy) before the start of each financial year, the estimates for the next Financial Year broken down over heads of expenditure. Performance against these estimates will be reported as part of the Council’s Revenue Budget monitoring arrangements.

12.8 Capital schemes supported by external funding will be monitored and reported as part of the Council’s Capital Programme monitoring arrangements.

13. Financial Limits Relating To Contracts, Financial Procedure Rules And Budget Thresholds

13.1 Financial limits will be reviewed on an annual basis after taking account of an inflation index and Management Team’s comments and any legislative changes.

13.2 Key Decision Thresholds (KDTs) are required for the purpose of determining whether decision to be taken by the Cabinet should appear in the Schedule of Key Decisions. Key Decisions which the Cabinet may resolve, may then be the subject of formal scrutiny. KDTs are to be reviewed annually.

13.3 Changes to the financial limits, including the virement limits and budget thresholds, will be reported to Members annually with the Revenue Budget report.

13.4 The Procurement Officer shall, in consultation with the Head of Legal and Democracy, and the Corporate Director (Finance and Economy), review the financial limits in the Contract Procedure Rules at least every five years and report any recommendations to the Cabinet which will make recommendations to the Full Council

13.5 A list of the current financial limits are attached at Appendix 2.

14. Hospitality Register

14.1 The Council has a policy for the treatment and recording of hospitality offered to Officers. Officers are required to record all such offers within the Hospitality Register. Failure to do so may result in disciplinary action.

14.2 Heads of Service must record in the Hospitality Register their approval of all offers of hospitality, including whether it is accepted or declined. All declarations are to be included within the Council’s disclosures on transparency.

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14.3 Further guidance is available in Conditions of Service available on the Council’s Intranet.

15. Income

Setting Fees and Charges

15.1 The Corporate Director (Finance and Economy), in consultation with Heads of Service, will be responsible for advising the Cabinet on the fixing of fees and charges for services, except for Building Control Fees and Taxi and Hackney Carriage Licence Fees, which will be reported by the appropriate Head of Service.

15.2 Fees and charges will be reviewed at least annually.

15.3 In respect of services where charges apply or may apply in circumstances where services are obliged through regulations to achieve cost recovery or where other market led factors influence the service and its charging structure, the relevant Head of Service has the discretion to determine appropriate service fees and charges after consulting with the Corporate Director (Finance and Economy) and the relevant Portfolio Holder.

Collection of Income Due

15.4 The Corporate Director (Finance and Economy) and the Exchequer Manager are responsible for paying all monies received into the Council’s bank, normally not later than the next day of business.

15.5 Individual Officers shall be responsible for any monies received by them on behalf of the Council. They must follow the procedures for paying in, receipting and accounting which have been agreed between their Head of Service the Corporate Director (Finance and Economy) and the Exchequer Manager.

15.6 All receipts, tickets and similar documents or stationery dealing with receipt of monies will be subject to the approval of the Head of Finance and IT and the Exchequer Manager.

15.7 Every sum received by a Council Officer will be immediately acknowledged by the issue of an official receipt, ticket or vouchers, except for cheques and bank transfers where the Corporate Director (Finance and Economy) and the Exchequer Manager may agree other arrangements.

15.8 Heads of Services will inform the Corporate Director (Finance and Economy) and the Exchequer Manager of all contracts, agreements, grant claims etc. that will result in the Council receiving money. This ensures that the cash can be identified when it is received.

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15.9 The payment kiosks machine will be reconciled at least once every two months to confirm the accuracy of the balance of the change float held.

15.10 All monies received by the Council on behalf of a third party, will be accounted for and paid to that third party without delay, or in accordance with any agreement or instruction by the Corporate Director (Finance and Economy) and the Exchequer Manager, after deduction of any amounts due in respect of commission or other allowance due to the Council.

15.11 All systems that record income will be reconciled monthly to the Council’s financial management system by the end of the following month to which they relate.

15.12 Personal cheques shall not be cashed out of money held on behalf of the Council, except in accordance with the approval of the Head of Finance and IT and the Exchequer Manager.

Invoicing of Income Due

15.13 Heads of Service shall be responsible for ensuring that debtors’ invoices are raised promptly for credit income due to the Council in respect of their services.

15.14 The Revenues and Benefits Manager shall maintain the Council’s Corporate Debt Recovery Policy and all debt recovery will be carried out in accordance with that policy and related procedures. A copy of the Council’s Corporate Debt Recovery Policy is available on the Council’s Intranet.

15.15 Credit terms for all sundry debts due to the Council shall be 14 days, unless agreed otherwise with the Revenues and Benefits Manager.

15.16 Details of Officers authorised to cancel and amend sundry debts will be sent to the Revenues and Benefits Manager, together with specimen and authority limits. The Revenues and Benefits Manager will maintain a register of all such Authorised Officers and ensure it is used by debtor staff to authenticate all credit notes and cancellations requested.

15.17 Court action will only be taken following consultation with the relevant Head of Service.

15.18 At the end of each Financial Year Heads of Service will notify the Corporate Director (Finance and Economy) of all income due before the end of the Financial Year but not yet invoiced, in accordance with the closure timetable issued.

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16. Insurance

Under the direction of the Corporate Director (Finance and Economy) the following will apply:

Insurance Cover

16.1 The Insurance Officer shall be responsible for the Council’s insurance portfolio including claims handling, keep a register of insurances and ensure that the Council’s insurance arrangements are reviewed each year.

16.2 Before the annual renewal of insurance cover, the Insurance Officer will provide Heads of Services as necessary with a summary of all current insurances to check and review their adequacy.

16.3 Fidelity guarantee insurance will be arranged for all Council employees and Members, although the extent of cover will differ according to responsibilities.

16.4 Where there is any doubt that a proposed action is covered by insurance, the Head of Service will consult the Insurance Officer before entering into any contractual commitment.

Insurance Claims

16.5 Heads of Service shall inform the Insurance Officer without delay all new risks, changed or deleted risks and events that might lead to an insurance claim, either by the Council or against the Council.

16.6 Heads of Service will respond to queries in respect of claims relating to their services without delay. For some types of claim the Council is required to respond within fixed deadlines and these must be adhered to, to protect the Council’s interests.

16.7 No Officer will admit liability, take any action or enter into any correspondence admitting liability on behalf of the Council.

17. Partnerships and Other External Works

17.1 Where the Council enters into a partnership or shared service arrangement with another organisation, the appropriate Head of Service will be responsible for:

17.1.1 Submitting a fully costed business plan to the Corporate Director (Finance and Economy) for checking and to Management Team or the Cabinet for approval as appropriate.

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17.1.2 Ensuring that before entering into agreements with external bodies, a risk appraisal has been prepared.

17.1.3 Ensuring that such agreements and arrangements do not impact adversely upon the services provided by the Authority.

17.1.4 Ensuring that all agreements are properly documented.

17.1.5 Providing appropriate information to the Corporate Director (Finance and Economy) to enable a note to be entered into the Council’s Statement of Accounts concerning material items.

17.2 The Corporate Director (Finance and Economy) and Head of Legal and Democracy shall be consulted on any proposal to externalise a Council service (in whole or in part) involving competitive tendering, negotiation or any other form of financial arrangement. All proposals will then be forwarded to Management Team for approval and where appropriate submitted to the Cabinet.

17.3 The Corporate Director (Finance and Economy) shall be consulted on any in-house bid in response to an invitation to tender before it is submitted. All proposals will then be forwarded to Management Team for approval and where appropriate submitted to the Cabinet.

18. Payment of Invoices

18.1 The Exchequer Manager is responsible for examining and verifying invoices when they are input into the invoice register. Where an order has been raised and the goods or services receipted by the appropriate Authorised Officer and the invoice matches the order, payment will be made, any exceptions will be returned to originating Officers for certification.

18.2 Details of Officers authorised to sign such certifications will be sent to the Exchequer Manager by each Head of Service, together with specimen signatures and authority limits, in accordance with the delegations granted under the Financial Procedure Rules relating to Budgetary Control. The Exchequer Manager will maintain a register of all Authorised Officers and ensure that this information is properly reflected in the Financial Management System.

18.3 When certifying an invoice for payment the officer is confirming that the payment is correct in all respects including:

18.3.1 The work, goods or services, to which the account relates have been received, carried out, examined and approved.

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18.3.2 The prices, extensions, calculations, trade discounts, other allowances, credits and tax are correct and agree with the Official Order or contract.

18.3.3 The relevant expenditure has been properly incurred and is within the approved budget.

18.3.4 Appropriate entries have been made in inventories, stores records or other records as required,

18.3.5 The account has not been previously passed for payment and is a proper liability of the Council.

18.3.6 The correct expenditure code has been inserted in respect of each item.

18.4 Where an invoice is found to be incorrect, e.g. because of an addition error, the VAT is incorrectly calculated or the invoice is not addressed to the Authority, it should be returned to the supplier with an explanatory note. Handwritten amendments should not be made to an invoice as this may invalidate the recovery of VAT.

18.5 It is the individual Officer’s responsibility to make any investigations he/she deems necessary before giving that certification.

18.6 Invoices for payment shall be passed to the Exchequer Manager without delay. All payments will be processed for payment 28 days from date of the invoice unless alternative terms are required and explicitly stated. Payment made outside the agreed payment terms can incur statutory interest (8% above bank base rate).

18.7 Heads of Service will notify the Corporate Director (Finance and Economy) of all outstanding expenditure relating to the previous Financial Year in regard to goods and services received in that Financial Year, in accordance with the agreed Closure Timetable.

19. Petty Cash Accounts And Cash Floats

19.1 The issue and use of petty cash and cash floats will under the overall control of the Corporate Director (Finance and Economy).

19.2 Use of petty cash will be kept to a minimum and limited to expenses which are unavoidable or conveniently payable in this manner. They will not include items over £30 unless agreed by the Corporate Director (Finance and Economy).

19.3 Vouchers must be obtained to support all items of expenditure and must be presented, together with the standard summary of expenditure form, duly coded and authorised for reimbursement.

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19.4 Income received on behalf of the Council will not be paid into a petty cash account.

19.5 Officers responsible for petty cash accounts and cash floats will give the Corporate Director (Finance and Economy) an annual certificate for each account balance in accordance with agreed Closure Timetable.

20. Procurement of Work, Goods and Services

Procurement Strategy

20.1 Heads of Service are expected to ensure that all procurement activities comply with the Procurement Procedures and Contracts Standing Orders.

20.2 The Procurement Strategy is available on the Council’s Intranet.

Official Orders

20.3 Heads of Service shall be responsible for purchase orders issued by their staff. By placing an order, the member of staff commits the Council to a contract. Therefore, it is important to establish that there is sufficient budget to fund the purchase prior to placing the order.

20.4 All orders will be issued through the Financial Management System except in agreed circumstances, such as for supplies of gas and electricity services, petty cash purchases or where a formal contract is to be prepared.

20.5 If it is not practicable to issue an Official Order when the order is placed, one will be completed immediately afterwards by the Officer placing the order, and marked ‘Confirmation of telephone or verbal order’.

Goods Receipts

20.6 Official Orders will be goods receipted by the Officer responsible for the works or receiving the goods. When an Officer receipts goods and services he/she is confirming that the order is correct in all respects and may be paid. The checks to be made will include:

20.10.1 That the work, goods or services, to which the account relates have been received, carried out, examined and approved.

20.10.2 That the price, extensions, calculations, trade discounts, other allowances, credits and tax is correct and agrees with the Official Order or contract.

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20.10.3 That the relevant expenditure has been properly incurred and is within the relevant budget.

20.10.4 That appropriate entries have been made in inventories, stores records or other records as required.

20.10.5 That the account has not been previously passed for payment and is a proper liability of the Council.

20.10.6 That the correct expenditure code has been inserted in respect of each item

20.11 It is important to provide separation of duties between Officer raising and goods receipting orders.

Use of Consultants

20.12 Guidance on the Use of Consultants is annexed to the Council’s Contract Procedure Rules.

Use of Agency Staff

20.13 Guidelines on proper procurement of temporary agency staff can be found on the Council’s Intranet.

Contracts

20.14 Contract Procedure Rules set out the procedures for inviting and accepting quotations and tenders.

21. Protection of Private Property in the Temporary Custody of the Authority/Lost Property

21.1 Heads of Service will ensure that details of any lost property is recorded before removal, that two Officers certify the accuracy of the record, and that items are held securely until disposal.

21.2 Heads of Service will obtain proof of ownership prior to the release of property.

21.3 Heads of Service will agree how to dispose of unclaimed items with the Head of the Internal Audit Partnership.

22. Reports with Financial Implications

22.1 The Corporate Director (Finance and Economy) shall be responsible for advising the Cabinet .and Council Committees on the financial implications of reports presented to them.

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22.2 Report authors shall seek input from the Corporate Director (Finance and Economy) and IT when preparing reports that have any financial implications.

23. Retention of Financial Records

23.1 The Corporate Director (Finance and Economy) and Exchequer Manager will retain records which substantiate the Council’s Statement of Accounts, Value Added Tax returns, Construction Industry Tax returns and Government Grant claims for the relevant statutory periods.

23.2 The Council has received dispensation from HM Revenues and Customs to hold scan images in lieu of hard copy documents.

23.3 Heads of Service will retain records which substantiate grant claims made by them and any evidence required in connection with likely future claims which may be made by or against the Council.

24. Salaries, Wages and Members’ Allowances

24.1 The Head of HR and Customer Services shall be responsible for paying salaries, wages and other emoluments to Council employees; for making deductions for income tax, national insurance and superannuation and paying these to the relevant authorities and for maintaining the necessary records.

24.2 The process for submittingTimesheets and expenses claims is detailed in the conditions of service.

24.3 Heads of Service will notify the Head of HR and Customer Services immediately of all appointments, resignations, or other events affecting terms of employment or pay, including all sick absences, honorariums, accidents on or off duty, or special leave without pay.

24.4 Heads of Service will consult the Head of HR and Customer Services on the appropriate pay level for new or changed posts.

24.5 The Head of HR and Customer Services will make payments to any Member entitled to claim allowances in accordance with the Council’s scheme for allowances.

25. Security

General

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25.1 Heads of Service are responsible for the security of buildings, stocks, the Head of the Internal Audit Partnership will be consulted where security may be failing or where special security arrangements may be needed.

25.2 Maximum limits for cash holding will be agreed with the Head of the Internal Audit Partnership and not exceeded without his permission.

25.3 Keys to safes, cash boxes, strong rooms and security systems will be held by those responsible at all times. The loss of any such keys must be reported to the appropriate Head of Service immediately.

Data Protection and Information Security

25.4 Heads of Service are responsible for the security and privacy of information held within their services and for ensuring compliance with Data Protection, Copyright and Computer Misuse Acts. The Council’s Information Security Policy, the Internet Acceptable Use Policy and Email Acceptable Use Policy are available on the Council’s Intranet.

26. Sponsorship

26.1 Where an outside organisation wishes to sponsor or is asked to sponsor a Council activity, whether by invitation, tender, negotiation or voluntarily, the basic conventions concerning acceptance of gifts and hospitality applies, as detailed in the Code of Conduct for Employees.

26.2 Offers of Sponsorship must be discussed with the Corporate Director (Finance and Economy) to ensure that the correct record keeping processes and consideration is given for the proper accounting, tax and banking arrangements for any arrangements.

27. Stock, Stores and Controlled Stationery

Accounting arrangements

27.1 Heads of Service shall be responsible for the secure custody of any stock, stores and controlled stationery held within their services and for the recording, issuing and accounting arrangements.

27.2 Stocktaking should take place at the end of each Financial Year and at other times if the Head of Service or Internal Audit deems it appropriate. The Head of Service or duly Authorised Officer involved will ensure that the stocktake is undertaken by sufficient senior and other impartial Officers to secure an independent and reliable result. A signed stock certificate as at the 31st March each year will be provided to the Corporate Director (Finance and Economy) in accordance with the agreed Closure Timetable issued.

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27.3 Volumes of stock, stores and controlled stationery held will not exceed reasonable requirements and will be reviewed periodically by each Head of Service or duly Authorised Officer concerned.

27.4 The term ‘controlled stationery’ includes documents which have a financial value such as tickets, vouchers, permits and documents which can be used to obtain cash, goods or services such as cheques, Official Orders, etc.

Inventories

27.5 Heads of Service shall be responsible for the safe custody of property used within their services. All property (other than land and buildings) shall be, as far as practical, marked effectively as Council property and recorded on an inventory maintained by the Head of Service.

27.6 Council property may not be removed unless on Council business and with the agreement of the relevant Head of Service.

27.7 All items on the inventory will be checked annually by Services and any significant discrepancies reported to the Head of the Internal Audit Partnership.

Disposals

27.8 Subject to Standing Orders, Directors and Heads of Service may authorise the disposals of items of stores, furniture and equipment below a market value of £5,000 per item or category of items.

27.9 Disposal of more valuable items requires the consent of the Management Team.

28. Taxation

28.1 Tax issues are very complex and the penalties for incorrectly accounting for tax are severe. It is important for all Officers to be aware of their roles and responsibilities so if in doubt, Heads of Service should consult the Corporate Director (Finance and Economy), the Head of the Internal Audit Partnership or Head of HR and Customer Services for advice.

28.2 Any liability for costs including any penalties and interest charged for incorrect tax treatment will be passed on to services.

28.3 The council has access to external advisory services that should be used, in consultation with the Corporate Director (Finance and Economy), to advise on the tax implications of council activities.

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Construction Industry Taxation Scheme

28.4 The Corporate Director (Finance and Economy) is responsible for maintaining all records, making all deductions and returns as required by HM Revenues and Customs under the Construction Industry Taxation Scheme.

28.5 Heads of Service are responsible for ensuring that tax liabilities and returns can be correctly completed by:

28.5.1 Ensuring that orders/contracts for works of a building maintenance or construction nature (as defined under the Construction Industry Scheme) are only placed with contractors who hold and have supplied a current and valid card or certificate entitling them to be paid for works of this type under this scheme; and

28.5.2 Correctly identifying the value of labour subject to tax on any invoice where a tax deduction is necessary.

Value Added Tax (VAT)

28.6 The Corporate Director (Finance and Economy) is responsible for maintaining all records, accounts and claims as directed by the Value Added Tax Act 1983 (as amended).

28.7 The Corporate Director (Finance and Economy) will take responsible steps to ensure that the payment documentation provided by all suppliers of goods, works or services conforms to the requirements of a proper VAT invoice.

28.8 Each Officer responsible for raising invoices on behalf of the Council will ensure within reason that the Council has complied with the relevant Value Added Tax legislation regarding the supply of its services.

28.9 For services where VAT supplies are classified as Exempt under VAT regulations, Officers will ensure that all activities are fully evaluated for VAT purposes and any tax implications are identified before any expenditure is committed or contractual arrangements made.

28.10 The Corporate Director (Finance and Economy) will prepare the VAT partial exemption calculation at least once a year.

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Income Tax and National Insurance

28.11 Heads of Service are responsible for ensuring that liabilities to account for Income Tax and National Insurance can be correctly and accurately accounted for within the Council’s Accounts in accordance with HM Revenues and Customs and Contributions Agency Regulations. This will include:

28.11.1 Ensuring that all payments to staff (other than those for which a dispensation is held) are made via the Council’s payroll system.

28.11.2 Ensuring that any taxable benefits arising from payments made/ benefits in kind supplied to and on behalf of staff is notified to the Head of HR and Customer Services for inclusion on P11D and similar returns.

28.11.3 Ensuring that all persons employed by the Authority are added to the Council’s payroll.

28.11.4 Confirming that suppliers of labour other than employees (e.g. consultants) are not liable to deduction of Income Tax and National Insurance as if they were an employee, i.e. by obtaining evidence of Schedule D employment or CIS status.

29. Travelling and Subsistence

29.1 The processes for these items are contained within the Council’s Conditions of Service

29.2 Summary details may be covered by the Council’s disclosures on transparency.

30. Treasury Management

30.1 This Council has adopted CIPFA’s Code for Treasury Management in Local Authorities.

30.2 The code requires that the Council shall determine a Treasury Management Policy setting out its strategy and procedures for Treasury Management and set the Council’s Prudential Indicators. The policy shall be reviewed once a year and adopted by full Council.

30.3 All money in the Council’s possession shall be aggregated for Treasury Management purposes under the overall control of the Head of Finance and IT and delegated to the Accountant responsible for Treasury Management on a day to day basis.

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30.4 Day to day decisions on borrowing, investment (including the review of the list of the Council’s current short and long term investment counterparties, with particular reference to their credit rating) and financing, including use of Capital Receipts, Reserves and Leasing are delegated from the Council to the Corporate Director (Finance and Economy) (or through him to his Officers) within the agreed Treasury Management Policy.

30.5 The Corporate Director (Finance and Economy) will make all investment of Council’s funds in the name of the Council, unless the Council has authorised its investments to be made by an outside agent, when they should be in the name of Trustees for the Council. All investments will be in accordance with the statutory framework and the approved Treasury Management Policy.

30.6 All loans to the Council will be negotiated the by the Corporate Director (Finance and Economy) on and paid direct by the lender or his agent into the Council’s bank account.

30.7 The Corporate Director (Finance and Economy) is authorised to borrow temporarily pending receipts of money from Business Rates, Loans, Council Tax, Government Grants and other income properly due to the Council, within the limit agreed by the Council each year. This is delegated on a day to day basis to the Accountant responsible for Treasury Management.

30.8 The Corporate Director (Finance and Economy) will keep under review the borrowing limit and will advise the Council accordingly.

30.9 The Corporate Director (Finance and Economy) will report to the Cabinet .not less than once each financial year on the activities of the Treasury Management operation, and on the exercise of Treasury Management powers delegated to them.

31. Write-Offs of Income, Stocks, Furniture and Equipment

31.1 The Corporate Director (Finance and Economy), following consultation with the relevant Head of Service, may write off amounts which he is satisfied cannot be collected provided that they do not total more than £1,000 for any one debtor. A summary of the amounts written off shall be periodically reported to the Cabinet.

31.2 The Head of Housing may write off amounts owed by former tenants of Housing Revenue Account Properties provided that the procedures approved by the Council have been followed and the Corporate Director (Finance and Economy) has approved the list. A summary of the amounts written off shall be periodically reported to the Cabinet.

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31.3 Amounts due to the Council (other than former HRA tenants’ debtors and amounts below £1,000) shall require the approval of the Head of Housing and the Cabinet (in relation to executive functions) or the relevant Council Committee (in relation to Council functions) prior to be written off.

31.4 The Head of Health Parking & Community Safety or Officers authorised by them may waive Penalty Charge Notices issued to motorists in the Council’s car parks or in designated on-street parking areas and may waive Parking Offence Notices issued to motorists parking in restricted areas, where an acceptable reason for non-payment is supplied.

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Financial Procedure Rules -Appendix 1 -

Glossary

Appendix 1

Glossary

Accrual A sum included in the final accounts to cover income or expenditure attributable to that year but for which payment was not received/made during that year.

Agency Services Services which are performed for another authority or public body, where the principal (the authority responsible for the service) reimburses the agent (the authority doing the work) for the cost of the work carried out.

Appointed Auditors External auditors of local authorities appointed by the Audit Commission. In Ashford’s case, this function is carried out by the Commission’s own audit staff.

Audit Commission An independent body, established under the Local Government Finance Act 1982. The Audit Commission is responsible for appointing external auditors to Local Authorities and setting standards for those auditors, carrying out national studies to promote economy, efficiency and effectiveness in the provision of Local Authority services and defining comparative indicators of Local Authority performance that are published annually.

Budget A statement of the Authority’s plans for revenue and capital expenditure and income over a specified period of time.

Budget Head A specific area of activity where expenditure may be incurred or income collected.

Budget Requirement The estimated Revenue expenditure on General Fund services that needs to be financed from the Council Tax after deducting income from Fees and Charges, certain specific grants and any Funding Reserves.

Capital Expenditure Spending on the acquisition, construction, enhancement or replacement of tangible assets (such as land, buildings or major items of equipment), which will be used or benefit providing services for a number of years.

Capital Financing Funds used to pay for capital expenditure.Capital Receipts The proceeds from the disposal of land or other assets.

Capital Receipts can be used to finance new Capital Expenditure within the rules set down by the Government, but they cannot be used to finance Revenue Expenditure.

CIPFA The Chartered Institute of Public Finance and Accountancy is the leading professional accountancy body for public services in the UK. CIPFA has responsibility for setting good practice accounting standards for local government.

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Part 4Rules of Procedure -Financial Procedure Rules -Appendix 1 -Glossary

Collection Fund A statutory fund maintained by a billing authority, which is used to record local taxes and non-domestic rates collected by the authority, along with payments to precepting authorities, the national pool of non-domestic rates and its own general fund.

Contingent Liability A potential liability at the Balance Sheet date. If the liability cannot be estimated reasonably accurately, it must be disclosed as a note to the accounts.

Council Tax The main source of local taxation to local authorities, Council Tax is levied on all domestic households within the Council’s area.

Council Tax Benefit Assistance provided to adults on low incomes to help them pay their Council Tax bill. The cost of Council Tax benefit is wholly met by Government Grant.

Creditors Money owed by the Council to others.Debtors Money owed to the Council by others.Deferred Charges Expenditure that does not result in the creation of a fixed

asset but is classified as Capital Expenditure for Capital Control.

Fidelity Guarantee Insurance against fraudulent losses. General Fund The main revenue fund of the authority. Day-to-day

spending on services is met from the Fund. Spending on the provision of housing, however, must be charged to a separate Housing Revenue Account.

Government Grant Sums paid by central Government towards either specific service or in aid of services generally.

Gross Expenditure The total cost of providing the Council's services before taking into account income from Government grants and Fees and Charges for services.

Housing Benefit The allowance to persons on low income (or none) to meet, in whole or part, their rent. Benefit paid to the authority's own tenant is known as rent rebate and that paid to private sector tenants as rent allowance.

Housing Revenue Account (HRA)

Account which sets out the expenditure and income arising from the provision of housing. The HRA is funded by specific housing grants and rents payable by the Council’s tenants.

HRA Subsidy A Government grant paid to some housing authorities towards the cost of providing, managing and maintaining dwellings and paying Housing Benefit to tenants.

Internal Audit A specialist section of the Council that examines, evaluates and reports on the adequacy of internal control systems and the proper, economic, efficient and effective use of resources.

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Glossary

National Non-Domestic Rate (NNDR)

A levy on businesses, based on a national rate in the pound set by the Government multiplied by the 'rateable value' of the premises they occupy. NNDR is collected by billing authorities on behalf of Central Government and then redistributed among all Local Authorities and Police Authorities on the basis of population.

Net Expenditure Gross expenditure minus specific service income, (but before deduction of Revenue Support Grant).

Outturn Actual income and expenditure in a Financial YearPension Fund An employees' pension fund maintained by an authority,

or group of authorities, in order to make pension payments on retirement of participants. It is financed from contributions from the employing authority, the employee and investment income. Ashford participates in a pension fund that covers all Kent authorities.

Precept The levy made by precepting authorities on billing authorities, requiring the latter to collect income from Council Taxpayers on their behalf. County Councils, Police Authorities, Fire & Rescue Authorities and Parish Councils are precepting authorities.

Private Finance Initiative (PFI)

A Central Government initiative which aims to increase the levels of funding available for public services by attracting private sources of finance. The PFI is supported by a number of incentives to encourage authorities' participation.

Provisions Amounts set aside for specific liabilities or losses which are likely or certain to be incurred, but the amounts or the dates on which they will arise are uncertain. The value of the Provision must be the best estimate of the likely liability or loss.

Rateable Value The annual assumed rental value of a commercial property, to which rate poundages are applied to arrive at the Non-Domestic Rate payable.

Reserves Amounts set aside to meet general, rather than specific future expenditure. These include “Earmarked Reserves” (to be spent on specific services or functions) and “General Reserves” (or 'Balances') which every authority must maintain as a matter of prudence. Sums may be put into or taken from Reserves at the Council’s discretion.

Revenue Contributions to Capital

The financing of Capital Expenditure directly from Revenue.

Revenue Expenditure The day-to-day running costs of providing services.Revenue Support Grant (RSG)

A grant paid by Central Government to aid Local Authority services in general, as opposed to specific grants, which may only be used for a specific purpose.

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Part 4Rules of Procedure -Financial Procedure Rules -Appendix 1 -Glossary

Section 137 Expenditure Section 137 of the Local Government act 1972 (as amended) enables the Council to spend on services for which it has no specific powers, but which benefits some or all of the Authority’s residents.

Specific Grants Grants from Central Government which may only be used for a specific purpose.

Treasury Management Management of the Council’s Cash Balances on a daily basis, to obtain the best return while maintaining an acceptable level of risk.

Virement The transfer of funds between budget heads.

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Financial Limits and Budget Thresholds

Appendix 2Financial Limits Relating to Contracts, Financial Procedure Rules and Budget Threshold - 2015/16

Contract Procedure Rules

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Part 4Rules of Procedure -Financial Procedure Rules -Appendix 2 -Financial Limits and Budget Thresholds

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Section Item Value £

5.5 Payments requiring two authorised signatures >£20,000

6 The limits for tendering in the EU:Supplies (Goods) and Services

Works

£164,176

£4,104,394

7.19 Virement: approvals

Heads of Service

Management Team with Portfolio holder consultation

Cabinet

< £50,000

Between £50,000 and £100,000

>£100,00019.2 Petty Cash limit on individual items £30

27.8 Approval for disposal of stores, furniture and equipment

Head of Service

Management Team

< £5,000

> £5,000

31.1 Approval for Write offs:

Corporate Director (Finance and Economy)

Members

Up to £1,000 per individual debtor

> £1,000

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Part 4 Rules of Procedure -Financial Procedure RulesAppendix 2 -Financial Limits and Budget Thresholds

Budget Thresholds

Key Decision Thresholds are:

a. £100,001 (or greater) for all Revenue Services.b. £100,000 (or greater) or 10% of net project costs, whichever is

lower, for Capital Schemes.c. £100,000 for decisions relating to redundancy and other termination

payments (excluding pension costs).

Flexibility to Deploy Reserves:

1. Management Team has the flexibility to deploy up to £100,000 of reserves in either exceptional and urgent cases where this might be justified or where an amount may be needed to deal with some other service issue including investment to achieve greater efficiency. In all cases where the flexibility is applied the Chief Executive must liaise with the Leader of the Council, the Portfolio Holder for Finance and IT and the Corporate Director (Finance and Economy) (as Chief Financial Officer) and be required to report any application of reserves to the Cabinet as part of the budget monitoring cycle.

2. There is a stated presumption that the use of this flexibility is for exceptional circumstances and not routinely applied, and in all cases the use of the delegation must be consistent with Business Plan priorities.

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Part 4 Rules of Procedure -Financial Procedure RulesAppendix 2 -Financial Limits and Budget Thresholds

Budget and Policy Framework Procedure Rules

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Part 4 Rules of Procedure -Budget and Policy Framework Procedure Rules


1. The Framework for Executive Decisions

The Council will be responsible for the adoption of its Budget and Policy Framework as set out in Article 4. Once a budget or a Policy Framework is in place, it will be the responsibility of the Cabinet (Executive) to implement it.

2. Process for Developing the Framework

The process by which the Budget and Policy Framework shall be developed is:

(a) In each year before a plan/strategy/budget needs to be adopted, the Cabinet (Executive) will publish initial proposals for the Budget and Policy Framework, having first canvassed the views of local stakeholders as appropriate, in a manner suitable to the matter under consideration. Details of the Cabinet’s (Executive) consultation process shall be included in relation to each of these matters in the Schedule of Key Decisions and published at the Council’s main offices and on its web site. Any representations made to the Cabinet (Executive) shall be taken into account in formulating the initial proposals, and shall be reflected in any report dealing with them. If the matter is one where the Overview and Scrutiny Committee has carried out a review of existing policy and has recommended to the Cabinet (Executive) or Full Council that a policy be developed or adopted, then the outcome of that review or recommendations will be reported to the Cabinet (Executive) and considered in the preparation of initial proposals.

(b) The Cabinet’s (Executive) initial proposals shall be referred to the Overview and Scrutiny Committee for further advice and consideration. The proposals will be referred by sending a copy to the Proper Officer who will forward them to the chairman of the Overview and Scrutiny Committee. If there is no such chairman, a copy must be sent to every Member of that Committee. The Overview and Scrutiny Committee shall canvass the views of local stakeholders if it considers it appropriate in accordance with the matter under consideration, and having particular regard not to duplicate any consultation carried out by the Cabinet (Executive). The Overview and Scrutiny Committee shall report to the Cabinet (Executive) on the outcome of its deliberations. The Overview and Scrutiny Committee shall have one month to respond to the initial proposals of the Cabinet (Executive), unless the Cabinet (Executive) considers that there are special factors that make this timescale inappropriate. If it does, it will inform the Overview and Scrutiny Committee of the time for response when the proposals are referred to it.

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(c) Having considered the report of the Overview and Scrutiny Committee, the Cabinet (Executive) if it considers it appropriate, may amend its proposals before submitting them to the Council Meeting for consideration. It will also report to Council on how it has taken into account any recommendations from the Overview and Scrutiny Committee.

(d) The Council will consider the proposals of the Cabinet (Executive) and may adopt them, amend them, refer them back to the Cabinet (Executive) for further consideration, or substitute its own proposals in their place. In considering the matter, the Council shall have before it the Cabinet’s (Executive) proposals and any report from the Overview and Scrutiny Committee.

(e) The Council’s decision will be publicised in accordance with Article 4 and a copy shall be given to the Leader. The Notice of Decision shall be dated and shall state either that the decision shall be effective immediately (if the Council accepts the Cabinet’s (Executive) proposals without amendment) or (if the Cabinet’s (Executive) proposals are not accepted without amendment), that the Council’s decision will become effective on the expiry of 5 working days after the publication of the Notice of Decision, unless the Leader objects to it in that period.

(f) If the Leader objects to the decision of the Council, he shall give written notice to the Proper Officer to that effect prior to the date upon which the decision is to be effective. The written notification must state the reasons for the objection. Where such notification is received, the Proper Officer shall convene a further meeting of the Council to reconsider its decision and the decision shall not be effective pending that meeting.

(g) Five clear days notice of the Council meeting will be given. At that Council meeting, the decision of the Council shall be reconsidered in the light of the objection, which shall be available in writing for the Council.

(h) The Council shall at that meeting make its final decision on the matter on the basis of a simple majority. The decision shall be made public in accordance with Article 4, and shall be implemented immediately.

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

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3. Decisions Outside the Budget or Policy Framework

(a) Subject to the provisions of paragraph 5 (virement) the Cabinet (Executive) Committees of the Cabinet (Executive) individual Members of the Cabinet (Executive) and any Officers, Area Committees or Joint Arrangements discharging executive functions may only take decisions which are in line with the Budget and Policy Framework. If any of these bodies or persons wishes to make a decision which is contrary to the Policy Framework, or contrary to or not wholly in accordance with the budget approved by the Full Council, then that decision may only be taken by the Council, subject to 4 below.

(b) If the Cabinet (Executive) Committees of the Cabinet (Executive) individual Members of the Cabinet (Executive) and any Officers, area committees 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 (Section 151) Officer as to whether the decision they want to make would be contrary to the Policy Framework, or contrary to or not wholly in accordance with the budget. If the advice of either of those Officers is that the decision would not be in line with the existing budget and/or Policy Framework, then the decision must be referred by that body or person to the Council for decision, unless the decision is a matter of urgency, in which case the provisions in paragraph 4 (Urgent Decisions Outside the Budget and Policy Framework) shall apply.

4. Urgent Decisions Outside the Budget or Policy Framework

(a) The Cabinet (Executive) a Committee of the Cabinet (Executive) an individual Member of the Cabinet (Executive) or Officers, Area Committees or Joint Arrangements discharging executive functions may take a decision which is contrary to the Council’s Policy Framework or contrary to or not wholly in accordance with the budget approved by Full Council if the decision is a matter of urgency. The decision may only be taken, however, if:

(i) it is not practical to convene a quorate meeting of the Full Council; and

(ii) the chairman of the Overview and Scrutiny Committee agrees that the decision is a matter of urgency.

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The reasons why it is not practical to convene a quorate meeting of full Council and the chairman of the Overview and Scrutiny Committee’s consent to the decision being taken as a matter of urgency, must be noted on the record of the decision. In the absence of the chairman of the Overview and Scrutiny Committee the consent of the Mayor and in the absence of both the Deputy Mayor will be sufficient.

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

5. Virement

(a) The Council shall have the ‘Budget Heads’ as listed in the Appendix 1 to the Financial Procedure Rules in Part 4 of this Constitution. The rules also specify the limits within which monies between budgetary allocations, including contingency heads, may be moved (vired). These limits will be reviewed annually at the Budget Setting Meeting of the Full Council.

The criteria and general principles within which virements can be made are also specified within the rules.

(b) Steps taken by the Cabinet (Executive) a Committee of the Cabinet (Executive) an individual Member of the Cabinet (Executive) or Officers, Area Committees or Joint Arrangements discharging executive functions to implement Council policy shall not exceed those budgets allocated to each Budget Head. Except that:

(i) Such bodies or individuals are encouraged to manage resources flexibly and are permitted to vire across Budget Heads from areas of underspending to areas of overspending or to accommodate new initiatives subject to the detailed virement procedures as contained in the Council’s Financial Procedure Rules (Rule 2 refers).

(ii) The Cabinet (Executive) have the ability to transfer from balances which will form part of the annual budget, any amounts which would not take balances below a minimum level to be determined each year by the Council. The limits currently applied are contained in the Financial Procedure Rules. (Rule 2 (b) refers).

Beyond that limit, approval to any virement across Budget Heads shall require the approval of the full Council.

6. In-Year Changes to Policy Framework

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Appendix


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The responsibility for agreeing the Budget and Policy Framework lies with the Full Council, and decisions by the Cabinet (Executive), Committees of the Cabinet (Executive) an individual Member of the Cabinet (Executive) or Officers, Area Committees or Joint Arrangements discharging executive functions must be in line with it. No changes to any policy and strategy which make up the Policy Framework may be made by those bodies or individuals except those changes:

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

(b) Necessary to ensure compliance with the law, ministerial direction or Government guidance;

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

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

(a) Where the Overview and Scrutiny Committee is of the opinion that an Cabinet (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 (Section 151) Officer.

(b) In respect of functions which are the responsibility of the Cabinet (Executive), the Monitoring Officer’s report and/or Chief Finance (Section 151) Officer’s report shall be to the Cabinet (Executive) with a copy to every Member of the Council. Regardless of whether the decision is delegated or not, the Cabinet (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 (Section 151) Officer conclude that the decision was a departure, and to the Overview and Scrutiny Committee if the Monitoring Officer or the Chief Finance (Section 151) Officer conclude that the decision was not a departure.

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Appendix


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(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 (Section 151) Officer is that the decision is or would be contrary to the Policy Framework or contrary to or not wholly in accordance with the budget, the Overview and Scrutiny Committee may refer the matter to Council. In such cases, no further action will be taken in respect of the decision or its implementation until the Council has met and considered the matter. Five clear days notice of the Council meeting will be given of the request by the Overview and Scrutiny Committee. At the meeting it will receive a report of the decision or proposals and the advice of the Monitoring Officer and/or the Chief Finance (Section 151) Officer. The Council may either:

(i) Endorse a decision or proposal of the Cabinet (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 Cabinet (Executive) to reconsider the matter in accordance with the advice of either the Monitoring Officer or the Chief Finance (Section 151) Officer.

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Part 4 Rules of ProcedureCabinet (Executive) Procedure Rules

Cabinet (Executive) Procedure Rules

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Part 4 Rules of Procedure -Cabinet (Executive) Procedure Rules


1. How Does The Cabinet (Executive) Operate?

1.1 Who May Make Executive Decisions?

The arrangements for the discharge of executive functions are set out in the Executive arrangements adopted by the Council. The arrangements may provide for executive functions to be discharged by:

(a) the Cabinet (Executive) as a whole;

(b) a Committee of the Cabinet (Executive);

(c) an individual Member of the Cabinet (Executive);

(d) an Officer;

(e) an Area Committee;

(f) Joint Arrangements; or

(g) another Local Authority.

1.2 Delegation by the Leader

At the Annual Meeting of the Council, the Leader will present to the Council a written record of delegations made by him and agreed by the Cabinet (Executive) for inclusion in the Council’s Scheme of Delegation at Part 3 to this Constitution. The document presented by the Leader will contain the following information about executive functions in relation to the coming year:

(a) the names, addresses and wards of the Councillors elected to the Cabinet (Executive);

(b) the extent of any authority delegated to Cabinet (Executive) Members individually, including details of the limitation on their authority;

(c) the terms of reference and constitution of such Cabinet (Executive) Committees as the Leader or Cabinet (Executive) appoints and the names of Cabinet (Executive) Members appointed to them;

(d) the nature and extent of any delegation of executive functions to Area Committees, any other authority or any Joint Arrangements and the names of those Cabinet (Executive) Members appointed to any Joint Committee for the coming year; and

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(e) 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 Cabinet (Executive) or a Committee of the Cabinet (Executive) or an individual Member of the Cabinet (Executive) is responsible for an executive function, they may delegate further to an Area Committee, Joint Arrangements or an Officer.

(b) Unless the Council directs otherwise, if the Leader delegates functions to the Cabinet (Executive), then the Cabinet (Executive) may delegate further to a Committee of the Cabinet (Executive) or to an Officer.

(c) Unless the Leader directs otherwise, a Committee of the Cabinet (Executive) to which 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.

1.4 The Council’s Scheme of Delegation and Executive Functions

(a) Subject to (b) below the Council’s Scheme of Delegation will be subject to adoption by the Council and may only be amended by the Council. It will contain the details required in Article 7 and set out in Part 3 of this Constitution.

(b) If the Leader is able to decide whether to delegate executive functions, he may amend 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 Proper Officer and to the person, body or Committee concerned. The notice must set out the extent of the amendment to the Scheme of Delegation, and whether it entails the withdrawal of delegation from any person, body, committee or the Cabinet (Executive) as a whole. The Proper Officer will present a report to the next ordinary meeting of the Council setting out the changes made by the Leader.

(c) Where the Leader seeks to withdraw delegation from a Committee, notice will be deemed to be served on that Committee when he has served it on its Chairman.

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1.5 Conflicts of Interest

(a) Where the Leader has a conflict of interest this should be dealt with as set out in the Council’s Code of Conduct for Members in Part 5 of this Constitution.

(b) If every Member of the Cabinet (Executive) has a conflict of interest this should be dealt with as set out in the Council’s Code of Conduct for Members in Part 5 of this Constitution.

(c) If the exercise of an executive function has been delegated to a Committee of the Cabinet (Executive), an individual Member or an Officer, and a conflict of interest arises then the function will be exercised in the first instance by the person or body by whom the delegation was made and otherwise as set out in the Council’s Code of Conduct for Members in Part 5 of this Constitution.

1.6 Cabinet (Executive) Meetings – When and Where?

The Cabinet (Executive) shall determine its own calendar of meetings. Meetings are currently held monthly on a Thursday during the evening. The Cabinet (Executive) shall meet at the Council’s main offices or another location to be agreed by the Leader.

1.7 Public or Private Meetings of the Cabinet (Executive)?

Meetings of the Cabinet (Executive) will be held in accordance with the Access to Information Rules in Part 4 of this Constitution.

1.8 Quorum

The quorum for a meeting of the Cabinet (Executive) shall be one quarter of the total number of Members of the Cabinet (Executive) (including the Leader), or 3 including the Leader, whichever is the larger.

For a Committee of the Cabinet (Executive) the quorum shall be 3.

1.9 How are Decisions to be Taken by the Cabinet (Executive)?

(a) Executive decisions which have been delegated to the Cabinet (Executive) as a whole will be taken at a meeting convened in accordance with the Access to Information Rules in Part 4 of the Constitution.

(b) Where executive decisions are delegated to a Committee of the Cabinet (Executive), the rules applying to executive decisions taken by them shall be the same as those applying to those taken by the Cabinet (Executive) as a whole.

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2. How are the Cabinet (Executive) Meetings Conducted?

2.1 Who Presides?

If the Leader is present he will preside. In his absence the Deputy Leader will preside. The Deputy Leader is appointed to this position by the Leader. In the absence of both of them a person appointed to do so by those present shall preside. (Minute No 324/12/10)

2.2 Who May Attend?

Attendance at meetings of the Cabinet (Executive) is dealt with in the Access to Information Rules in Part 4 of this Constitution.

2.3 What Business?

At each meeting of the Cabinet (Executive) the following business will be conducted:

(a) Consideration of the Minutes of the last meeting;

(b) Declarations of interest, if any;

(c) Matters referred to the Cabinet (Executive) (whether by the Overview and Scrutiny Committee or by the Council) for reconsideration by the Cabinet (Executive) in accordance with the provisions contained in the Overview and Scrutiny Procedure Rules or the Budget and Policy Framework Procedure Rules set out in Part 4 of this Constitution;

(d) Consideration of reports from the Overview and Scrutiny Committee; and

(e) Matters set out in the agenda for the meeting, (which shall indicate which decisions are key and which are not) in accordance with the Access to Information Rules set out in Part 4 of this Constitution.

2.4 Consultation

All reports to the Cabinet (Executive) from any Member of the Cabinet (Executive) or an Officer on proposals relating to the Budget and Policy Framework must contain details of the nature and extent of consultation with stakeholders and the Overview and Scrutiny Committee, and the outcome of that consultation. Reports about other matters will set out the details and outcome of consultation as appropriate. The level of consultation required will be appropriate to the nature of the matter under consideration.

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2.5 Who Can Put Items on the Cabinet (Executive) Agenda?

The Leader will decide upon the schedule for the meetings of the Cabinet (Executive). He may put on the agenda of any Cabinet (Executive) meeting any matter which he wishes, whether or not authority has been delegated to the Cabinet (Executive), a Committee of it or any Member or Officer in respect of that matter. The Proper Officer will comply with the Leader’s requests in this respect.

Any Member of the Cabinet (Executive) may require the Proper Officer to ensure that an item is placed on the agenda of the next available meeting of the Cabinet (Executive) for consideration. If he receives such a request the Proper Officer shall comply.

The Proper Officer will ensure that an item is placed on the agenda of the next available meeting of the Cabinet (Executive) where the Overview and Scrutiny Committee, or the full Council have resolved that an item be considered by the Cabinet (Executive).

Any Member of the Council may request the Leader to put an item on the agenda of a Cabinet (Executive) meeting for consideration, and if the Leader agrees the item will be considered at the next available meeting of the Cabinet (Executive). The notice of the meeting will give the name of the Councillor who asked for the item to be considered. The Member who requested the item will be invited to attend the meeting whether or not it is a public meeting.

The Monitoring Officer and/or the Chief Finance Officer (Section 151) may include an item for consideration on the agenda of a Cabinet (Executive) meeting and may require the Proper Officer 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 (Section 151) and Monitoring Officer are of the opinion that a meeting of the Cabinet (Executive) needs to be called to consider a matter that requires a decision, they may jointly include an item on the agenda of a Cabinet (Executive) meeting. If there is no meeting of the Cabinet (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.

2.6 Petitions

The Cabinet (Executive) will from time to time receive petitions referred by the Council or petitions presented in person at meetings of the Cabinet (Executive) subject to the Council’s Scheme of Public Participation as contained as an Appendix to The Access to Information Procedure Rules in Part 4 of this Constitution.

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Part 4 Rules of Procedure -Cabinet (Executive) Procedure RulesAppendix 1Key Decision Thresholds for Individual Portfolio Holders

Appendix 1

Key Decision Thresholds for Individual Portfolio Holders

Key decision thresholds are currently £100,001 (or greater) for all Revenue Services, and £100,000 (or greater) or 10% of net Project Costs, whichever is lower, for Capital Schemes. These are set annually with Budget Report to the Cabinet (Executive).

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Cabinet (Executive) Procedure RulesAppendix 1

Key Decision Thresholds for Individual Portfolio Holders

DELIBERATELY LEFT BLANK

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Part 4 Rules of ProcedureOverview and Scrutiny Procedure Rules

Overview and Scrutiny Procedure Rules

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Part 4 Rules of Procedure -Overview and Scrutiny Procedure Rules


1. What will be the Number and Arrangements for Overview and Scrutiny Committees?

The Council will have the Overview and Scrutiny Committees set out in Article 6 and will appoint to them, as it considers appropriate from time to time. Such Committees may appoint Sub-Committees and Task Groups (Minute No. 568/5/04, 54/6/04 and 602/5/08). Overview and Scrutiny Task Groups and Sub-Committees may be appointed for a fixed period, on the expiry of which they shall cease to exist.

The Overview and Scrutiny Committees appointed by the Council will perform all Overview and Scrutiny functions on behalf of the Council. The number of Members of each Overview and Scrutiny Committee will be set out in the terms of reference as contained in Part 3 of this Constitution. Overview and Scrutiny Committees and Sub-Committees may appoint co-optees.

Task Groups will comprise between five and seven Members from the Overview and Scrutiny Committee, selected on the basis of their expertise in a particular area. The Task Groups will be established for a specific purpose and will be disbanded once the task has been completed. There is a presumption that the Task Groups are 'open meetings' unless discussing subjects that would not be open to the press and public if being discussed in a Committee (exempt).

2. Who may Sit on Overview and Scrutiny Committees?

All Councillors except Members of the Cabinet (Executive) may be Members of an Overview and Scrutiny Committee. No Member may, however, be involved in scrutinising a decision in which s/he has been directly involved.

3. Co-optees

Each Overview and Scrutiny Committee or Sub-Committee shall be entitled to recommend to Council the appointment of a number of people as non-voting co-optees as it considers appropriate. When acting as the Crime and Disorder Committee additional non voting members may be co-opted to serve on the Committee in accordance with the Regulations.

4. Meetings of the Overview and Scrutiny Committees

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The Overview and Scrutiny Committee will hold at least six ordinary meetings in each year and shall carry out its function as the Crime and Disorder Committee at no less than one meeting in every 12 month period. In addition, extraordinary meetings may be called from time to time as and when appropriate. An Overview and Scrutiny Committee meeting may be called by the Chairman and two Members of the Overview and Scrutiny Committee, or by a minimum of five Members of the Overview and Scrutiny Committee. The Proper Officer may also call a meeting of an Overview and Scrutiny Committee if s/he considers it necessary or appropriate.

5. Quorum

The quorum for an Overview and Scrutiny Committee shall be as set out in the Terms of Reference of the individual Committees and Sub-Committees as appended to the General Procedure Rules in Part 4 of this Constitution.

6. Who Chairs Overview and Scrutiny Committee Meetings?

The Chairman and Vice Chairman of the Overview and Scrutiny Committee shall be appointed by the Full Council at its Annual Meeting as detailed in the General Procedure Rules.

7. Work Programme

The Overview and Scrutiny Committee will be responsible for setting their own work programme and in doing so they shall take into account the wishes of all Members on the Committee.

8. Agenda Items

Any Member of an Overview and Scrutiny Committee or Sub-Committee shall be entitled to give notice to the Proper Officer that he wishes an item relevant to the functions of the Committee or Sub-Committee to be included on the agenda for the next available meeting of the Committee or Sub-Committee. On receipt of such a request the Proper Officer will ensure that it is included on the next available agenda.

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Furthermore, Councillors are entitled to give notice to the Proper Officer that they wish an item relating to their Ward, which is relevant to the functions of the Overview and Scrutiny Committee of which they are not a Member, to be included on the Agenda for the next available Meeting of the Overview and Scrutiny Committee as a Councillor Call for Action (CCfA). On receipt of such a request the Chairman of the Overview and Scrutiny and Proper Officer (Corporate Director (Law and Governance)) will determine whether to take the CCfA forward. If it is agreed that the item is to be progressed then the Proper Officer will ensure it is included on the next available Agenda in accordance with the CCfA protocol. In putting forward such a request the Councillor must have regard to the CCfA protocol (Appendix A(i), attached to the Overview and Scrutiny Procedure Rules) and government guidance. The Councillor concerned will be able to make representation to the Committee when it considers whether to take the item further. If the matter is a Crime and Disorder issue, responsible authorities (Crime and Disorder Reduction Partnership Members) must be notified by the Proper Officer. (See Appendix A(ii): Additional Procedure Rules of the Overview and Scrutiny Committee when acting as the Crime and Disorder Committee).

The Overview and Scrutiny Committee shall also respond, as soon as their work programme permits, to requests from the Council and if it considers it appropriate the Cabinet (Executive) to review particular areas of Council activity. Where they do so, the Overview and Scrutiny Committee shall report their findings and any recommendations back to the Cabinet (Executive) and/or the Full Council. The Full Council and/or the Cabinet (Executive) shall consider the report of the Overview and Scrutiny Committee within one month of receiving it.

9. Policy Review and Development

(a) The role of the Overview and Scrutiny Committee in relation to the development of the Council’s Budget and Policy Framework is set out in detail in the Budget and Policy Framework Procedure Rules in Part 4 of this Constitution.

(b) In relation to the development of the Council’s approach to other matters not forming part of its policy and budget framework, the Overview and Scrutiny Committee or Sub-Committees may make proposals to the Cabinet (Executive) for developments in so far as they relate to matters within their terms of reference.

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(c) The Overview and Scrutiny Committee may hold enquiries and investigate the available options for future direction in policy development and may appoint advisers and assessors to assist them in this process. They may go on site visits, conduct public surveys, hold public meetings, commission research and do all other things that they reasonably consider necessary to inform their deliberations. They may ask witnesses to attend to address them on any matter under consideration and may pay to any advisers, assessors and witnesses a reasonable fee and expenses for doing so.

10. Reports from the Overview and Scrutiny Committee

(a) Once it has formed recommendations on proposals for development, the Overview and Scrutiny Committee will prepare a formal report and submit it to the Proper Officer for consideration by the Cabinet (Executive) (if the proposals are consistent with the existing budgetary and Policy Framework), or to the Council as appropriate (eg if the recommendation would require a departure from or a change to the agreed Budget and Policy Framework).

(b) If an Overview and Scrutiny Committee cannot agree on one single final report to the Council or Cabinet (Executive) as appropriate, then up to one minority report may be prepared and submitted for consideration by the Council or Cabinet (Executive) with the majority report.

(c) The Council or Cabinet (Executive) shall consider the report of the Overview and Scrutiny Committee within one month of it being submitted to the Proper Officer.

11. Making Sure that Overview and Scrutiny Reports are Considered by the Cabinet (Executive)

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(a) Once an Overview and Scrutiny Committee has completed its deliberations on any matter it will forward a copy of its final report to the Proper Officer who will allocate it to either or both the Cabinet (Executive) and the Council for consideration, according to whether the contents of the report would have implications for the Council’s Budget and Policy Framework. If the Proper Officer refers the matter to Council, he will also serve a copy on the Leader with notice that the matter is to be referred to Council. From the date of receipt of the report by the Leader, the Cabinet (Executive) will have four weeks in which to respond to the Overview and Scrutiny report, and the Council shall not consider it within that period unless not to do so, (and the Cabinet’s (Executive) response is available earlier) would adversely affect the Council's budget setting timetable. When convened five clear days notice of the Extraordinary Meeting of the Council will be given pursuant to Rule 6 of the General Procedure Rules. When the Council does meet to consider any referral from an Overview and Scrutiny Committee on a matter which would impact on the Budget and Policy Framework, it shall also consider the response of the Cabinet (Executive) to the Overview and Scrutiny proposals.

(b) Where an Overview and Scrutiny Committee or Sub-Committee prepares a report for consideration by the Cabinet (Executive) in relation to a matter where the Leader or Council has delegated decision making power to another individual Member of the Cabinet (Executive), then the Overview and Scrutiny Committee will submit a copy of their report to that individual for consideration. At the time of doing so, the Overview and Scrutiny Committee shall serve a copy on the Proper Officer and the Leader. If the Member with delegated decision making power does not accept the recommendations of the Overview and Scrutiny Committee then s/he must refer the matter to the next available meeting of the Cabinet (Executive) for debate before exercising his decision making power and responding to the report in writing to the Overview and Scrutiny Committee. The Cabinet (Executive) Member to whom the decision making power has been delegated will respond to the Overview and Scrutiny Committee within four weeks of receiving it. A copy of his written response to it shall be sent to the Proper Officer and the Cabinet (Executive) Member will attend a future meeting of the Overview and Scrutiny Committee to respond.

(c) Reports may be submitted by an Overview and Scrutiny Committee to the Cabinet (Executive) under this section as necessary.

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(d) The Overview and Scrutiny Committee will in any event have access to the Cabinet’s (Executive) Schedule of Key Decisions and timetable for decisions and intentions for consultation. Even where an item is not the subject of detailed proposals from an Overview and Scrutiny Committee following consideration of possible policy/service developments, the committee will at least be able to respond in the course of the Cabinet’s (Executive) consultation process in relation to any key decision.

12. Rights of Overview and Scrutiny Committee Members to Documents

(a) In addition to their rights as Councillors, Members of the Overview and Scrutiny Committee have the additional right to documents, and to notice of meetings as set out in the Access to Information Procedure Rules in Part 4 of this Constitution.

(b) Nothing in this paragraph prevents more detailed liaison between the Cabinet (Executive) and the Overview and Scrutiny Committee as appropriate depending on the particular matter under consideration.

13. Members and Officers Giving Account

(a) Any Overview and Scrutiny Committee or Sub-Committee may scrutinise and review decisions made or actions taken in connection with the discharge of any Council functions. As well as reviewing documentation, in fulfilling the scrutiny role, it may require any Member of the Cabinet (Executive), the Head of Paid Service, Head of Service or other members of staff on Ashford Management Grade 8 or above to attend before it to explain in relation to matters within their remit.

(i) any particular decision or series of decisions;

(ii) the extent to which the actions taken implement Council policy; and/or

(iii) their performance.

and it is the duty of those persons to attend if so required.

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(b) Where any Member or Officer is required to attend an Overview and Scrutiny Committee under this provision, the chairman of that Committee will inform the Proper Officer. The Proper Officer shall inform the Member or Officer in writing giving at least five working days notice of the meeting at which s/he is required to attend. The notice will state the nature of the item on which he is required to attend to give account and whether any papers are required to be produced for the Committee. Where the account to be given to the Committee will require the production of a report, then the Member or Officer concerned will be given sufficient notice to allow for preparation of that documentation.

(c) Where, in exceptional circumstances, the Member or Officer is unable to attend on the required date, then the Overview and Scrutiny Committee shall, in consultation with the Member or Officer arrange an alternative date for attendance, to take place within a maximum of twenty one days from the date of the original request.

NB: Council employees below Management Grade 8, may be invited to attend but may not be required to attend.

14. Attendance by Others

An Overview and Scrutiny Committee may invite people other than those people referred to in paragraph 13 above to address it, discuss issues of local concern and/or answer questions. It may for example wish to hear from residents, stakeholders and Members and Officers in other parts of the public sector and shall invite such people to attend. Attendance is entirely optional.

15. Call-In

(a) When a decision is made by the Cabinet (Executive) or an individual Member of the Cabinet (Executive) or a Committee of the Cabinet (Executive), or a key decision is made by an Officer with delegated authority from the Cabinet (Executive), or an Area Committee or under Joint Arrangements, the decision shall be published and shall be available at the main offices of the Council in hard copy and on the website normally within 3 working days of being made.

(b) That notice will bear the date on which it is published and will specify that the decision will come into force, and may then be implemented, on the expiry of five working days after the publication of the decision, unless an Overview and Scrutiny Committee objects to it and calls it in.

(c) During that period, the Proper Officer shall call-in a decision for scrutiny by the Overview and Scrutiny Committee if so requested by

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(d) the Chairman of that Committee and two other Members or any five Members of the Overview and Scrutiny Committee, and shall then notify the decision-taker of the call-in. He shall call a meeting of the appropriate Overview and Scrutiny Committee on such date as he may determine, where possible after consultation with the Chairman of that Committee, and in any case within 5 days of the decision to call-in. Five clear working days notice of the meeting must be given.

(e) If, having considered the decision, the Overview and Scrutiny Committee is still concerned about it, then it may refer it back to the decision making person or body for reconsideration, setting out in writing the nature of its concerns or refer the matter to Full Council. If referred to the decision maker they shall then reconsider within a further five working days, amending the decision or not, before adopting a final decision (which shall not be subject to call-in).

(f) If following an objection to the Cabinet (Executive) decision, the Overview and Scrutiny Committee does not meet in the period set out above, or does meet but does not refer the matter back to the decision making person or body, the decision shall take effect on the date of the Overview and Scrutiny meeting or at the expiry of that further five working day period from the decision to call in the matter.

(g) If the matter is referred to Full Council and the Council does not object to a decision which has been made, then no further action is necessary and the decision will be effective in accordance with the provision below. If the Council does object, however, it has no locus to make decisions in respect of an executive decision unless it is contrary to the Policy Framework, or contrary to or not wholly consistent with the budget. Unless that is the case, the Council will refer any decision to which it objects back to the decision making person or body, together with the Council’s views on the decision. That decision making body or person shall choose whether to amend the decision or not before reaching a final decision and implementing it. Where the decision was taken by the Cabinet (Executive) as a whole or a Committee of it, a meeting of the Cabinet (Executive) or the Cabinet (Executive) Committee as the case may be will be convened to reconsider the original decision within five working days of the Council request. Where the decision was made by an individual, the individual will reconsider within five working days of the Council request.

(h) If the Council does not meet, or if it does but does not refer the decision back to the decision making body or person, the decision will become effective on the date of the Council meeting or expiry of the period in which the Council meeting should have been held, whichever is the earlier.

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(i) Where an executive decision has been taken by an Area Committee, then the right of call-in shall extend to a group of at least half the total number of voting Members of another Area Committee if they are of the opinion that the decision, made but not implemented, will have an adverse effect on the area to which their Committee relates. In such cases, those Members may request the Proper Officer to call-in the decision. He shall call a meeting of the Overview and Scrutiny Committee on such a date as he may determine, where possible after consultation with the Chairman of the Committee, and in any case within five days of the decision to call-in. All other provisions relating to call-in shall apply as if the call-in had been exercised by Members of the Overview and Scrutiny Committee.

Exceptions

(j) The Council has not adopted a procedure to avoid abuse of the ‘call-in system’ but will monitor its operation with a view to adopting a control procedure if the call-in provision is abused to the extent that it prevents the effective operation of the Cabinet (Executive)

(k) The call-in procedure set out above shall not apply where the decision being taken by the Cabinet (Executive) is urgent. A decision will be urgent if any delay likely to be caused by the call-in process would seriously prejudice the Council’s or the public’s interest. The record of the decision, and notice by which it is made public shall state whether in the opinion of the decision making person or body, the decision is an urgent one, and therefore not subject to call-in. The Chairman of the Overview and Scrutiny Committee must agree both that the decision proposed is reasonable in all the circumstances and to it being treated as a matter of urgency. In the absence of the Chairman of the Overview and Scrutiny Committee, the Mayor will be asked if s/he considers the decision urgent. In the absence of the Mayor, the Deputy Mayor’s consent shall be required. In the absence of both, the Proper Officer or his nominee’s consent shall be required, and in the absence of the Overview and Scrutiny Chairman, his nominee’s consent shall be required. Decisions taken as a matter of urgency must be reported to the next available meeting of the Council, together with the reasons for urgency.

(l) The operation of the provisions relating to call-in and urgency shall be monitored annually, and a report submitted to Council with proposals for review if necessary.

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16. The Party Whip

The Party Whip is defined as follows:

“Any instruction given by or on behalf of a political group to any Councillor who is a Member of that Group as to how that Councillor shall speak or vote on any matter before the Council or any Committee or Sub-Committee, or the application or threat to apply any sanction by the Group in respect of that Councillor should s/he speak or vote in any particular manner”.

When considering any matter in respect of which a Member of an Overview and Scrutiny Committee is subject to a party whip, the Member must declare the existence of the whip, and the nature of it before the commencement of the committee’s deliberations on the matter. The declaration, and the detail of the whipping arrangements, shall be recorded in the minutes of the meeting.

17. Procedure at Overview and Scrutiny Committee Meetings

(a) Overview and Scrutiny Committees and Sub-Committees shall consider the following business:

(i) Minutes of the last meeting;

(ii) Declarations of Interest (including whipping declarations);

(iii) Consideration of any matter referred to the Committee for a decision in relation to call-in of a decision made by the Cabinet (Executive);

(iv) Responses of the Cabinet (Executive) to reports of the Overview and Scrutiny Committee; and

(v) The business otherwise set out on the agenda for the meeting.

(b) Where the Overview and Scrutiny Committee conducts investigations (eg with a view to policy development) the Committee may ask people to attend to give evidence. Such meetings are to be conducted in accordance with the following principles:

(i) the investigation be conducted fairly and all Members of the Committee be given the opportunity to ask questions of attendees, and to contribute and speak;

(ii) those assisting the committee by giving evidence be treated with respect and courtesy; and

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(iii) the investigation be conducted so as to maximise the efficiency of the investigation or analysis.

(c) Following any investigation or review, the Committee or Sub-Committee shall prepare a report, for submission to the Cabinet (Executive) and/or the Council as appropriate, and shall make its report and findings public.

18. Matters Within the Remit of More than One Overview and Scrutiny Committee

(a) If the Council constitutes more than one Overview and Scrutiny Committee the following paragraph details how matters falling within the remit of more than one Committee should be dealt with.

(b) Where an Overview and Scrutiny Committee conducts a review or scrutinises a matter which also falls (whether in whole or in part) within the remit of another Overview and Scrutiny Committee, before submitting its findings to the Cabinet (Executive) and/or the Council for consideration, the report of the reviewing Overview and Scrutiny Committee shall be submitted to the other Overview and Scrutiny Committees for comment. That Committee’s comments shall be incorporated into the report which is then referred back to the other Overview and Scrutiny Committee for consideration.

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Overview and Scrutiny Procedure RulesAppendix A(i)

Councillor Call for Action Protocol

Appendix A(i)


1. Councillor Call for Action seeks to strengthen the role of the Ward Councillor encouraging them to resolve local problems on behalf of residents. The Act allows Ward Councillors to place CCfAs onto Scrutiny Agendas for resolution and action. The legislation introduced under the Local Government and Public Involvement in Health Act 2007 extends the power of Overview and Scrutiny in two ways:

1. so that any Member of the Council can refer a local government matter to the Overview and Scrutiny Committee; and

2. that matters which can be referred include matters which the Council and its partners are delivering through the Local Area Agreement and “local crime and disorder” matters.

2. The Improvement and Development Agency (IdeA) have issued some best practice guidance on the CCfA and a copy of the guidance document is available at www.idea.gov.uk.

3. The Home Office issued guidance for the Scrutiny of Crime and Disorder Matters (England) and this is available at the Centre for Public Scrutiny www.cfps.org.uk. The Regulations and Home Office guidance now confirms that “The regulations leave the frequency of meetings to local discretion, subject to the minimum requirement of once a year”.

4. Matters that are excluded from CCfA include:-

Any matter that is vexatious or discriminatory.

Individual complaints and matters that are/have been through the Council’s complaints procedure.

Any matter that is the subject of an Ombudsman complaint.

Matters that have recently been examined by Overview and Scrutiny.

Any matter that relates to regulatory decisions, eg. planning or licensing, that have their own statutory appeals process, or for Council Tax and Non-Domestic Rates.

Any matter that a Ward Councillor has not been given the opportunity to deal with or which a Ward Councillor has not investigated thoroughly, exhausting all possible means to remedy the concern.

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http://www.cfps.org.uk/

http://www.idea.gov.uk/

Part 4 Rules of Procedure -Overview and Scrutiny Procedure RulesAppendix A(i)Councillor Call for Action Protocol

CCfA Process

5. In accordance with national best practice guidance, Overview and Scrutiny should be the last stop for a CCfA. The Ward Member(s) will be expected to have done everything within their power to remedy the concern before referring the matter to Overview and Scrutiny. When a matter is referred to Overview and Scrutiny it will be up to the Overview and Scrutiny Chairman and Proper Officer to decide if the matter should be taken forward by Scrutiny. This process will filter requests to ensure that the matter is appropriate for a CCfA ie. to determine that the matter is a local government matter and is not excluded under paragraph 4 above.

Local Government Matter – under section 21A, a CCfA needs to relate to a “local government matter”. This could be interpreted narrowly, to mean only those issues under the direct control of the authority. However to give full effect to CCfA the interpretation of “local government matter” needs to be broader. This includes issues relating to the Council’s partners, in line with the area focus of Comprehensive Area Assessment (CAA), and the fact that an authority’s duties increasingly impact on other organisations, and involve partners within and outside the Local Strategic Partnership (LSP).

6. If the CCfA relates to a Crime and Disorder matter then this must also be referred to the Overview and Scrutiny Committee as the meeting responsible for Crime and Disorder Issues.

Referral to Scrutiny

7. The Overview and Scrutiny Chairman and the Proper Officer (the Corporate Director (Law and Governance) and Monitoring Officer) will determine whether or not the CCfA request should be accepted and forwarded to scrutiny.

8. If the Overview and Scrutiny Chairman and Proper Officer decide that the CCfA should not be formally considered at the Overview and Scrutiny Committee, the Ward Member will normally be notified of the decision and reasons, in writing, within five working days of that decision. For Crime and Disorder CCfAs responsible partners must also be notified (Crime and Disorder Reduction Partnership Members).

9. If the CCfA is accepted, then the relevant Portfolio Holders, Officers and partners will be notified by the Chairman.

10. Ward Member – CCfA Protocol

Local concern/issue/request for action identified by Ward Member.

If issue is within a two Member Ward, co-ordinate with other Ward Member to agree course of action.

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Overview and Scrutiny Procedure RulesAppendix A(i)


Try to resolve the problem by raising the issue informally or formally with Officers from the relevant Council service, County or Parish Councillors, Local Partners (Police, PCT etc.) or the relevant Portfolio Holder.

If the problem persists and remains unresolved and you, as Ward Member, feel that you have done everything within your power to resolve the problem with the aid of other agencies/partnerships, then the CCfA request form (available from the Proper Officer) should be completed and forwarded to the Proper Officer (Corporate Director (Law and Governance)) for action. Members will also be provided with the Check Lists and Case Studies to help them complete the form.

Overview and Scrutiny Committee either:

1. Rejects the CCfA and notifies the Ward Member who then notifies the parties who raised the issue.

2. Accepts the CCfA and arranges to consider it. Once the response has been decided the Ward Member and partners, as appropriate, will be informed.

11. Overview and Scrutiny Committee – CCfA Protocol

Once the CCfA has been accepted by the Chairman and Proper Officer, it will be put on the Agenda of the next available Overview and Scrutiny meeting unless it is deemed necessary to have a special meeting.

At the first meeting, the Ward Member would be invited to attend the meeting and, at the Chairman’s discretion, make a short representation to the Committee for them to decide if they wanted to take it further. The duration of such a presentation would be up to the Chairman but should normally be limited to about five minutes.

If accepted, then at a subsequent meeting it will be necessary to decide about:- Witnesses, Notifying and inviting Partners, Evidence required, Key questions, Timescales and the Aims and Objectives for the meeting.

Having considered the CCfA matter, the Committee will have to decide either:

To take no action.

To make recommendations and to refer the matter to the Executive/ Council/Partner Organisations.

To carry out a full scrutiny investigation.

Any report and/or recommendations arising from the consideration of the CCfA matter will be made available and sent to all agencies involved with the CCfA within five working days of the meeting. For Crime and Disorder matters reports and recommendations will be sent to the responsible authorities as listed in the Police and Justice Act 2006.

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Part 4 Rules of Procedure -Overview and Scrutiny Procedure RulesAppendix A(ii)Additional Procedure Rules for the Overview and Scrutiny Committee when acting as the Crime and Disorder Committee

Appendix A(ii)

Additional Procedure Rules for the Overview and Scrutiny Committee when acting as the Crime and Disorder Committee:

1. Responding to requests

Community Safety partners are required to provide information requested of them by the Crime and Disorder Committee and to provide that information within a reasonable time.

2. Attending Committee meetings

Representatives of Community Safety partners may be required to attend Crime and Disorder Committee meetings to give evidence or answer questions.

3. Reports and Recommendations

If the Committee draft a report or recommendations which have an impact on Community Safety Issues:- Copies of the report/recommendations should be sent to such responsible

authorities/co-operating bodies as are affected by the report/ recommendations.

The relevant body shall submit a response within 28 days from the date the report is submitted (or as soon as possible thereafter).

Following receipt of the response, the Committee will need to agree with the relevant partner(s) how progress in implementing the recommendations will be monitored.

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Overview and Scrutiny Procedure RulesAppendix B(i)

CCfA Request Form

Appendix B(i)

Councillor Call for Action (CCfA)

Request to the Chairman of Overview and Scrutiny

From: Councillor .....................................................................

Ward:

Contact details: TelephoneMobileEmail

Subject

Details

Please describe, as fully as possible, what the issue is and what has prompted you to raise the topic.

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Part 4 Rules of Procedure -Overview and Scrutiny Procedure RulesAppendix B(i)CCfA Request Form

Action taken to date

Please explain what steps have already been taken to try and resolve this issue.

Any other relevant information.

Please provide any other information that the committee may find helpful.

If you are enclosing any documents in support of the issues e.g. giving details of its impact, steps taken, responses received etc.; please list the documents here.

When completing this form please refer to the attached ‘Check Lists’ and ‘Case Studies’.

Please return the completed form to Nicholas Clayton-Peck, Senior Policy, Performance and Scrutiny Officer

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Overview and Scrutiny Procedure RulesAppendix B(ii)

Check Lists

Appendix B(ii)

Councillor Call for Action

Check Lists

Using best practice and experience from the first councils to operate a CCfA, the following check lists have been devised in order to help Ward Members, O&S Chairman and the Proper Officer decide if an issues is appropriate for a CCfA.

Initial Issues

1. Is the concern an individual complaint?

CCfA is not appropriate for individual complaints, these should be directed to the Council’s formal complaints procedure.

2. Is the concern related to individual regulatory decisions (e.g. planning, licensing) or to council tax and non domestic rates?

CCfA is not appropriate for dealing with these concerns as they are subject to their own statutory appeals process.

3. Are the concerns to do with the quality of public services provision at local level?

CCfA is not restricted to concerns relating to council services, it can also be used in relation to other public services and service areas e.g. concerns about community safety, anti-social behaviour, issues relating to local schools or health services.

Local Community Concerns

1. Is the focus of concerns on a neighbourhood or locality issue?

CCfA focuses on neighbourhood or locality issues – where Ward Councillors can help resolve issues of concern in their wards. If the concern is more general e.g. about policy across Ashford Borough, then this can be suggested as a topic to the Overview and Scrutiny Committee in the usual way.

2. Is the issue a genuine local concern?

You must be sure that the concern is not just an individual’s “hobby horse”. The views of other members of the community will help to make this clear.

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Part 4 Rules of Procedure -Overview and Scrutiny Procedure RulesAppendix B(ii)Check Lists

Championing a Request

1. Would an apology, explanation or assurance about a problem be sufficient?

Some community concerns can be satisfied by an apology, explanation or an assurance that the problem will not be repeated and do not require service change or scrutiny review.

2. Resolving an Issue

Once you have agreed to champion a CCfA there are a number of ways in which you may try to resolve the problem including:

Discussing the issue informally or formally with Officers from the relevant Council service/local partners such as Police, PCT, KCC, Parish Councillors.

Discussing the issue with the relevant Portfolio Holder.

Referring to Scrutiny Checklist

If the issue is persistent and unresolved by Ward Councillor(s) i.e. you feel that:

You have done everything within your power to remedy a community concern.

You have tried to resolve the problem(s) with the aid of other agencies/partnerships but have been unsuccessful in finding an adequate solution.

Then, as a last resort, you are able to refer the matter to Scrutiny using the CCfA request form (Appendix 1).

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Overview and Scrutiny Procedure RulesAppendix B(iii)Case Studies

Appendix B(iii)

Councillor Call for Action

Case Studies

There are examples of different scenarios in the IDeA best practice guidance document www.idea.gov.uk and the following have been adapted from some examples from Kirklees Council and Tunbridge Wells Borough Council.

Use of Case studies helps to show how the CCfA process may work in practice and may help you decide whether or not an issue is potentially a CCfA.

Case 1: Mr B writes to you. He is writing on behalf of himself and other local residents who want problems at the recreation ground to be sorted out. Local residents have made numerous petitions and complaints, have raised the matter with local councillors and the area committee but the problem remains.

The shelter at the recreation ground is being used by teenagers for drinking, sex and drugs. Mr B has had mud and eggs, and recently, bricks thrown at his window, causing damage and making him anxious about his safety. The behaviour seems to happen after youths have spent the night at the shelter drinking and doing drugs.

The police know of the problem but do not patrol the area because they “do not have the manpower”.

Mr B is a widower and pensioner, lives on his own and is finding this too much to cope with. He would like to know what can be done especially as the children will break up from school soon and he fears the situation will only get worse.

Using the checklists:-

Initial Issues

1. Is the concern an individual issue?

Scrutiny is not appropriate for individual complaints but Mr B’s concerns are clearly the views of the community and local residents.

2. Do the concerns relate to regulatory decisions (e.g. planning, licensing) or to council/non domestic rates?

Mr B’s concerns are not to do with any of these, if they were then Scrutiny would not be appropriate.

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http://www.idea.gov.uk/

Part 4Rules of Procedure -Overview and Scrutiny Procedure Rules - Appendix B(iii)Case Studies

3. Are the concerns to do with the quality of public service provision at local level?

These concerns include problems with the use of the recreation ground, anti-social behaviour and the lack of police presence in the community.

As Ward Councillor you have to decide if the concern raised is a genuine community concern – once you have decided it is you can either reject the request and direct the complainant to more appropriate mechanisms for dealing with the problem, or agree to champion the request and try to resolve the issue.

By using the Genuine Concern checklist it can be assessed whether Mr B’s concerns merit further assistance for a CCfA.

Genuine Local Community Concern

1. Is the focus of the concern a neighbourhood or locality issue?

From the information provided it is clear that this is a neighbourhood/locality issue.

2. Is the issue a genuine local concern?

The issues appear to be of genuine local concern – underage drinking, drug taking, anti social behaviour and lack of police presence. However, the views of other community members will help clarify if this is correct or if it is an individual’s “hobby horse”.

Agreeing to champion a request.

Ward Councillors have to decide whether or not to champion a request. If the request is championed then you will take on the issue for your constituents and will try to resolve it using various means, including:- liaising with council services, the cabinet, other agencies/partners.

Championing a Request

1. An apology, explanation or assurance about a particular problem is not enough to satisfy community concern.

In this case neither apology nor explanation nor assurance would be sufficient.

2. Resolving an issue.

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Overview and Scrutiny Procedure RulesAppendix B(iii)Case Studies

There are several issues here so a variety of agencies/council services/other external organisations may need to be contacted to find ways of resolving the concerns, such as:- Police, Neighbourhood Wardens, Environmental Services, Cultural and Project Services, local parish councillors, Kent Youth Service, relevant Portfolio Holders.

If, after contacting and liaising with all these people, the issue remains unresolved then you will be able to refer the potential CCfA to Scrutiny.

Case 2: One of your constituents, Mr D, contacts you to complain that their neighbour is noisy and acting in an anti social fashion.

This would appear to be an individual complaint which could be resolved by directing Mr D to contact Environmental Services about the noise and the Police (Community Safety Unit) about the anti social behaviour.

Case 3: One of your constituents complains that their street is not cleaned regularly and there is a growing litter problem.

Refer this constituent to the Council’s complaints system.

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Part 4Rules of Procedure -Overview and Scrutiny Procedure Rules - Appendix B(iii)Case Studies

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Overview and Scrutiny Procedure RulesAppendix 1 -

Kent Local Authority and NHS – Co-operation and Protocol

Appendix 1

Kent Association of Local Authorities Protocol for Overview and Scrutiny Inter-Authority Co-operation and National Health Service Overview and Scrutiny Protocol

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Part 4Rules of Procedure -Overview and Scrutiny Procedure Rules - Appendix 1 –Kent Local Authority and NHS – Co-operation and Protocol

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Kent Association of Local Authorities Protocol for Overview and Scrutiny Inter-Authority Co-operation and National Health Service Overview and Scrutiny Protocol

Aim of the Protocol

5A.1 To ensure the Overview and Scrutiny Committees of all Kent local authorities can review issues of community interest effectively and with efficient use of all local authority staff resources.

Principles

5A.2 All authorities should be supported in considering issues of community well being wider than the responsibilities of their councils.

5A.3 Authorities should work together to maximise the exchange of information and views, minimise bureaucracy and make best use of the time of Members and Officers of local and other authorities.

Procedures

5A.4 Authorities should seek to exchange information on programmes and results of reviews.

5A.5 If an Overview and Scrutiny Committee wishes to review an issue in which another authority has a statutory role or in which evidence from the Officers of another authority would be helpful, it should consult with that authority about:

the purpose of the review

the areas of interest to the other authority

the input that can be given by Members or Officers of the other authority.

5A.6 Consideration should be given to whether the issue is more appropriately discussed in another forum, for example a joint committee, or whether there is scope for joint action including the co-opting of Members of the other Authority onto the Overview and Scrutiny Committee for the purpose of the review.

5A.7 Where a proposal is subject to a public consultation process, scrutiny is most helpful if conducted as part of that process eg allowing any findings and recommendations to be available in time to influence the final decision.

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5A.8 Subject to such prior consultation, Authorities will seek to respond positively to requests for information or for a Member or Officer to attend meetings of Overview and Scrutiny Committees for information.

5A.9 While it is ultimately for each Authority to decide who it considers the most appropriate person(s) to speak on its behalf to an Overview and Scrutiny Committee, consideration will be given to meeting specific requests.

5A.10 Dates and times of Member and Officer attendance at Overview and Scrutiny meetings should be agreed with them.

5A.11 Each Authority will nominate a contact Officer for the operation of these procedures.

National Health Service Overview and Scrutiny Protocol

5B.1 These protocols are agreed within a context that assumes organisationally:

The bringing into force of the Health and Social Care Act 2001

Compliance with the Overview and Scrutiny of Health – Guidance issued in May 2003 and further guidance issued in July 2003

The continued existence at District/Borough level of local Overview and Scrutiny Committees concerned with NHS matters

Recognition of those bodies established to provide the Patients' Voice (currently Patients' Forums)

The Committee and Patients' Forums will need to set up clear lines of communication and information exchange

A constructive partnership approach, based on mutual understanding between the Committee, the local authority executive function and local NHS bodies

The continued development of partnership working, especially between Social Services and NHS bodies

5B.2 The protocols are based on the principles that NHS Overview and Scrutiny should:

Add value to existing processes

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Focus on supporting the improvement of health and health services to Kent residents

Consider a health issue, system or economy, not just services provides

Promote social, environmental and economic well-being

Address issues of health inequalities between different groups, and working with NHS and other partners develop a dialogue to achieve health improvement

Include reviewing the local authorities' contribution to the health of local people

Demonstrate the local authorities' role of community leadership

Minimise the additional administrative burdens on local authorities or NHS bodies

Develop jointly between the local authorities and the NHS bodies

Operate at different levels within Kent

5B.3 Success factors for the protocols are:

Positive outcomes of Scrutiny – for example, breaking logjams that prevent vulnerable people from accessing the services they need, co-ordinating public consultation on health issues across agencies, or attracting greater resources for public health and the prevention of ill health

Involvement of NHS bodies and other local stakeholders in discussions about the purpose and scope of each scrutiny in addition to finding solutions

Progress made on difficult issues, securing positive or sustainable improvement

Issues tackled jointly across local agencies.

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Structures

5B.4 Overview and Scrutiny structures will comprise:

Patients Forums

Dialogue focused on service providers (Acute, Primary Care, Mental Health and Ambulance Trusts).

District Council Overview and Scrutiny Committees

To look at local service issues:-

Local co-ordination (or joint committees) to ensure cross-district issues dealt with jointly and involve KCC for a strategic overview

KCC to propose a framework for delegation of issues to District/Borough level, where an issue is confined within a single Primary Care Trust’s boundary

Local KCC Members and Patients' Forum representatives to have rights of participation

Focused on Primary Care Trusts.

KCC Health Service Overview and Scrutiny Committee

As a local authority with Social Services responsibilities it will be important for KCC's Committee to look at broad and wide-ranging issues that affect people's health and wellbeing with District Council and Patients' Forum representatives having rights of participation.

The Committee will:-

undertake two or three major themed (topic) reviews each year, plus reviews of service reconfiguration proposals and cross-cutting themes (such as Drugs or Transport). Reviews will be conducted by Select Committees (ad hoc time limited Sub-Committees, including District Council and Patients' Forum Members), reporting to the KCC Health Service Overview and Scrutiny Committee.

consider reference of service reconfiguration proposals to the National Reconfiguration Panel.

receive reports and presentations from the NHS on topical health issues and initiatives.

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focus on the Strategic Health Authority area.

Medway Overview and Scrutiny Committee

To combine both levels of operation within the Medway area but linked into the co-ordinated system.

Co-ordination

5B.5 Overview and Scrutiny activity at local and Kent level needs free exchange of information and protocols for co-ordination of work and resolution of conflicts. To facilitate this there will be:-

a regular meeting of Committee Chairmen and NHS representatives to agree a programme of work across the county and Medway.

a similar Officer Forum to support and advise the Chairmen on the work programme and co-ordinate requests for NHS Officers to provide papers, information or attend Committee meetings, supported by day-to-day dialogue.

5B.6 The KCC Committee membership allows for District Council and Patients' Forum membership:-

a permanent representation of four District/Borough Council Members one for each of the four Health Economies in Kent and six representatives of Patient Forums.

a right for the Chairmen of each District/Borough Council Overview and Scrutiny Committee (or another relevant Member) and a representative of each Patients' Forum to attend and speak at the KCC Committee on a matter particularly affecting that area.

appointment of Members of relevant District Overview and Scrutiny Committees and Patients' Forums to individual topic reviews (agreed through the Chairmen's meeting).

5B.7 District Committees will allow local KCC Members and Patients' Forum representatives to attend and speak at the Committee

5B.8 KCC and Medway Council will establish a joint Overview and Scrutiny Committee where issues cross boundaries and patient flows warrant it. This principle will also apply to neighbouring Strategic Health Authority areas and the Overview and Scrutiny Committees in those areas.

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Review Planning

5B.9 Overview and Scrutiny will include briefings, seminars, reports, consultation and reviews, as well as matters referred to the Committee by Patients' Forums. Each review should be preceded by a Review Plan discussed within the Officer Forum and agreed with the relevant NHS bodies. To reach final agreement, issues may be considered in some detail at the meeting of Chairmen and should then be considered by the relevant Overview and Scrutiny Committee after the NHS representative has attended the Committee to express the NHS view and answer Member questions.

(NB: Draft Review Plans will involve the elected Members of the Local Authority concerned.)

5B.10 The Review Plan should:-

be drawn up with the involvement of the NHS, beginning with a scoping meeting that includes lead NHS Manager(s) and Clinician(s) as appropriate to assist the Committee in accessing the information it needs and to enable appropriate terms of reference to be set and to agree the general nature of the expected outcome.

set the terms of reference for the review.

set an approximate timetable of meetings and a reporting date.

state the Officers supporting the review within the local authority, the NHS and Patients' Forums and estimate the time commitment required of them.

state the main witnesses and information sources expected to be involved.

Review Administration

5B.11 The arrangements for meetings of Overview and Scrutiny Committees shall ensure that:-

dates for witnesses to attend Committee meetings are agreed with witnesses as far in advance as possible.

witnesses will be consulted about convenient dates for them to attend, within the review timeframe

(NB: Clinicians need at least six weeks notice in order to avoid compromising patient care.)

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NHS Chief Executives and other local authorities' Chief Executives arrange for appropriate Officers chosen by them to attend to give evidence on the identified topics (subject to any provision to be made in statutory regulations).

advance notice of two weeks should generally be given of the areas to be covered in questioning in order for appropriate briefing to be to hand.

information is wherever possible distributed to the Committee in writing before the witness attends.

Meeting Protocols

5B.12 All Overview and Scrutiny Committees should incorporate in their Procedure Rules or otherwise ensure that:-

Committee Members should endeavour not to request detailed information from Officers of the NHS or another local authority at meetings of the Committee, unless they have given prior notice through the Clerk. If, in the course of question and answer at a meeting of the Committee, it becomes apparent that further information would be useful, the Officer being questioned may be required to submit it in writing to Members of the Committee through the Clerk.

in the course of questioning at meetings, Officers of the NHS or another local authority may decline to give information or respond to questions on the grounds that it is more appropriate that the question be directed to a more senior Officer or Member.

Officers of the NHS or another local authority may decline to answer questions in an open session of the Committee on the grounds that the answer might disclose information which would be exempt or confidential as defined in the Access to Information Act 1985 and the Freedom of Information Act 2000. In that event, the Committee may resolve to exclude the media and public in order that the question may be answered in private session.

Committees may not criticise or adversely comment on any individual Officer of another local authority or of an NHS body by name.

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Reporting

5B.13 All local authorities should ensure that:-

a record is made of the main statements of witnesses appearing before the Committee and agreed with those witnesses prior to publication or use by the Committee. Committee meetings may be electronically recorded.

drafts of Committee reports and recommendations be made available for comment by the relevant NHS body (or local authority), allowing that body two weeks in which to respond, if their operations might be commented on, and any adverse comments or concerns reported to the Committee before the final report is published. Responsibility for the report lies with the Committee which produced the report.

the Chief Executive of any NHS body and/or the Chief Officer of any other local authority involved with the review is given advance notice of the date of publication of the report and consulted on the text of any accompanying press release.

Reports include an agreed timetable for any NHS body and/or other local authority involved to publish a response to the report's recommendations, once confirmed by the appropriate Overview and Scrutiny Committee.

Service Reconfigurations

5B.14 NHS bodies remain responsible for public and other consultation on service reconfiguration proposals.

5B.15 The intention to carry out a consultation will be discussed in the Officer Forum.

5B.16 The KCC Health Service Overview and Scrutiny Committee will consult District/Borough Councils and Patients' Forums for the areas affected by each proposal on whether to:-

consider the matter at a full meeting of the Committee.

set up a KCC Select Committee to consider the proposal.

request a District/Borough Overview and Scrutiny Committee to consider the proposal.

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5B.17 If a Select Committee is established or a District/Borough Overview and Scrutiny Committee requested to carry out a review:-

paragraphs 5B.9 – 5B.13 above shall apply to its work programme and proceedings.

the Review Plan shall as far as possible be integrated with the NHS body's consultation programme.

Consideration shall be given to:

including one or more Members of District/Borough Councils on the Select Committee or KCC Members on the District/Borough Overview and Scrutiny Committee

including Patients' Forum members on the Committee

other arrangements for ensuring all local authorities and Patients' Forums may express their views and seek information on the proposal

the review report shall be submitted to the KCC Health Service Overview and Scrutiny Committee who will consider the recommendations together with any response by the NHS body and decided whether to refer the proposal to the Reconfiguration Panel.

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Part 4Rules of Procedure –

Contract Standing Orders


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Part 4Rules of Procedure -Contract Standing Orders

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Contents

Item Item No. Page No.

Contract Standing Orders................................................................1.0...................- Introduction 1.1...............................................................4- Value for Money............................................................1.2...................- Best Value 1.3...............................................................4- VAT 1.4 4- Interpretation and Definitions........................................1.5...................- Compliance with Contract Procedure Rules and 4 Legislation ...................................................................1.6...................- Exceptions to Contract Standing Orders.......................1.7...................- Exceptions to market testing.........................................1.8...................- Amendment and Review...............................................1.9...................

Certificate under Local Authorities (Contracts) Regulations 1997...2.0...................

Contracts Excluded from Competition – Single Supplier Sourcing.. 3.0...........……- Single Supplier Sourcing guidance............................3.1...........……

Contracts which must be made under Competition.........................4.0...................- EU Tendering................................................................4.1...................- Inviting Tenders for Contracts at or over EU Thresholds...............................................................4.2...................- Inviting Tenders for Contracts below EU Thresholds....4.3...................- Collaboration.................................................................4.4...................

- Estimate of Contract Cost.............................................4.5...................- Public Advertisement.....................................................4.6...................- Tendering Term.............................................................4.7...................- Transparency Code.......................................................4.8...................

Surety Bonds and Parent Company Guarantees............................5.0...................

Tendering and Quotation Procedures..............................................6.0...................- Tenders and Quotes......................................................6.1...................

- Fixed Budget Tenders...................................................6.2...................- E-Tendering..................................................................6.3...................- Tender/Quotation Return: Receiving, Looking after and Opening of Tenders................................................6.4...................- Marked Tenders............................................................6.5...................- Late Tenders.................................................................6.6...................- Tender Negotiation........................................................6.7...................- Tender/Quotation in Excess of Estimate.......................6.8...................- Evaluation of Tenders/Quotations.................................6.9...................- Acceptance of Tenders/Quotations..............................6.10..................- Tender Results and Standstill Period...........................6.11..................

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Contractual Arrangements...............................................................7.0...................- General Requirements..................................................7.1...................

- Commencement of Work ..............................................7.2...................- Variations during the Course of the Contract................7.3...................- Contract Records..........................................................7.4...................

- Contracts Register...................................................7.5...................- Custody and Retention of Contracts.............................7.6...................

Declaration of Interest ...................................................................8.0...................

Prevention of Corruption..................................................................9.0...................

Appendix A: Table to clarify Tendering/Quotation procedure..................................

Appendix B: Glossary of Terms..............................................................................

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1.0 Contract Standing Orders

1.1 Introduction

Contract Standing Orders are the overarching policy that sets out how contracts and services should be procured by the Authority

Contract Standing Orders (CSO) are required by Section 135 of the Local Government Act 1972.

CSO promotes good purchasing practice, public accountability and deters corruption. This procedure covers procurement of Works, Supplies (Goods) and Services undertaken on behalf of the Council and within a partnering arrangement, regardless of the source of funding and sets out minimum requirements to be followed. CSO applies to all contracts regardless of value, including purchase orders and concessions

The Procurement Guidance appended to these CSO sets out the process that should be followed when procuring Works, Supplies (Goods) and Services undertaken by the Authority and should be read in conjunction with these Standing Orders.

1.2 Value for Money

In some parts of these CSO, Officers are given discretion in what they do. If this is the case, then they are only able to exercise that discretion or issue such an instruction if they can show that it allows the Council to achieve value for money and the efficient provision of services by, or to the Council in all the circumstances.

1.3 Best Value

When preparing Specifications Officers must be guided by the requirements of Best Value. Whole-life cycle requirements should be considered including economic, environmental and social value, and not just initial costs

1.4 VAT

All figures quoted in the document are exclusive of VAT

1.5 Interpretation and Definitions

1.5.1 The Head of Legal and Democracy and Monitoring Officer is responsible for the interpretation of these Contract Standing Orders and matters of law generally, relating to them.

1.5.2 A glossary of terms is included in Appendix B.

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1.6 Compliance with Contract Standing Orders and Legislation

1.6.1 Every contract made by the Council or on its behalf shall comply with the EU Treaty, the EU Public Procurement Directives and all relevant EU and domestic legislation, Contract Standing Orders, and the council’s Financial Procedure Rules. EU and UK legislation will always override the provisions of these CSO’s.

1.6.2 Subject to 1.7 below these CSO’s apply to all Contracts between the Borough Council, or any company wholly owned by the council and any Contractor (including consultants) whether or not the Contract involves the Council paying or receiving money or any other consideration.

1.6.3 The Corporate Procurement Strategy and Procurement Guidance held and disseminated by the Procurement Office shall supplement these CSOs, but these CSOs will always take precedence over the provision of such Procurement Guidance.

1.6.4 Contract tendering procedures are contained in the Council’s Procurement Guidance which shall be updated and amended from time to time to comply with these Standing Orders.

1.6.5 The procurement route for a project is decided between the Project Officer, the Procurement Officer and Legal Services

1.6.6 The singular shall include the plural and the masculine gender shall include the feminine gender and vice versa.

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1.7 Exceptions to Contract Standing Orders

These Contract Standing Orders shall apply to all Contracts except:-

(a) if the Council or the Cabinet decides otherwise and gives its reasons in the Minutes.

(b) in the case of an emergency or other special circumstance identified by the appropriate Head of Service. If this happens, the Head of Service must include a report in the Information Digest. The report must identify the particular Procedure rule(s) which have not been followed and the reasons.

(c) Contracts of employment entered into by the Head of HR and Customer Services in relation to directly employed staff.

Where Consultants or other individuals (including temporary staff) are appointed to carry out specific services, CSO’s do apply.

(d) when dealing with the acquisition or disposal of interests in or rights over land

(e) when dealing with the Council funding of particular voluntary sector bodies

(f) when using Framework Agreements entered into by third parties subject to;

i) the proposed agreement having been considered by the Procurement Officer

ii) the proposal to use a framework agreement having been agreed by the Head of Service and Management Team

iii) the proposed documentation having been agreed by the Head of Legal and Democracy and Monitoring Officer.

1.8 Exceptions to market testing

Exceptions to the need for tenders or quotations are conditional on any statutory or European constraints, including rules of disaggregation that would not allow the breaking down of a contractual need to avoid open tender rules applying. There is no exception to the need for open tender through public advertisement for contract values exceeding £15,000 except where the council’s ‘emergency’ or ‘urgency’ procedures apply, or in certain cases of legal service need covered by the exception detailed in the Procurement Guidance 3.2

1.9 Amendment and Review

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1.9.1 These CSO’s may only be amended by submitting a report to the Cabinet which will make recommendations to the Full Council.

1.9.2 The Procurement Officer must, after consultation with the Head of Legal and Democracy and Monitoring Officer and the Corporate Director (Finance and Economy), review Contract Standing Orders and the financial thresholds therein at least every two years, to take account of changes in EU thresholds, retail price index and other factors so that the effectiveness and impact is maintained. Any recommendations should be reported to Full Council.

2.0 Certificate under Local Authorities (Contracts) Regulations 1997

2.1 The Local Government (Contracts) Act 1997 and regulations made thereunder provide for a local authority to certify that it has the powers to enter into a contract.

2.2 If any Officer is asked to issue a certificate under the Local Authorities (Contracts) Regulations 1997, the officer must immediately report the situation to the Corporate Director (Law and Governance) and Monitoring Officer.

2.3 Any Certificate under the Local Authorities (Contracts) Regulations 1997 shall only be issued if the Council agrees with the proposal following a joint report to the Cabinet by the Audit Partnership Manager, the Corporate Director (Law and Governance) and Monitoring Officer and the Chief Executive. The form of any such Certificate must be approved by the Council’s Monitoring Officer and signed by the Council’s statutory Chief Finance Officer

2.4 The Cabinet will make a recommendation to the Full Council.

3.0 Contracts Excluded From Competition – Single Supplier Sourcing

3.1 Single Supplier Sourcing guidance

Whilst there is a general presumption against single supplier tendering and sourcing for all procurements (Quotations or Tenders must normally be sought for all Contracts) it is sometimes suitable and unavoidable (where there is to be no market testing followed), but these should be the exception and decisions made transparent. The full exceptions and some examples where exceptions may apply are detailed in the Procurement Guidance at 3.2

4.0 Contracts which must be made under Competition

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4.1 EU Tendering

4.1.1 Whilst this Standing Order gives Financial Limits regard must always be had to the EU Requirements (EU Treaty) in respect of Low Value Advertising.

4.1.2 The EU Treaty applies to all procurement activity regardless of value, including contracts below the thresholds at which advertising in the Official Journal of the European Union is required and including contracts which are exempt from application of the EU Procurement Directives

Fundamental principles flowing from the Treaty include;

Transparency – contract procedures must be transparent and contract opportunities should generally be publicised

Equal treatment and non-discrimination – potential suppliers must be treated equally

Proportionality – procurement procedures and decision must be proportionate

Mutual recognition – giving equal validity to qualifications and standards from other Member States where appropriate

4.2 Inviting Tenders for Contracts at or over EU Thresholds

4.2.1 EU law sets minimum harmonised rules (EU Public Procurement Directive). These rules apply to tenders who monetary value exceeds a certain amount (current thresholds listed in Guidance). These ‘above threshold’ tenders are, presumably, of cross-border interest; the tender value makes it worth-while for a business to submit a tender abroad.

For all tenders, the council;

may not discriminate against a business because it is registered in another EU country

may not refer to specific brands, trademarks or patents when describing the characteristics of products & services they wish to purchase

may not refuse to accept supporting documents (certificates, diplomas, etc.) issued by another EU country, as long as they provide the same level of guarantee

must make all information regarding tenders available to all interested companies, regardless of what EU country they are registered in.

The council has the right to exclude a business from a call for tenders if it;

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is bankrupt or being wound up has suspended its activities or its activities are

administered by a court has been found guilty of grave misconduct has not paid taxes or social security contributions has made false declarations to a public authority

Only in specific cases the council may award contracts without publishing a call for tenders;

emergencies due to unforeseeable events contracts that - for technical reasons, ie works on Utility

Company owned equipment (eg. water mains) or because of exclusive rights - can be carried out by one particular company only.

contracts that by law are excluded from public procurement (acquisition/rental of existing buildings, employment contracts, programme material for broadcasting, etc.)

4.2.2 Where a services, supplies, (goods) or works contract has an estimated value in excess of the EU Threshold, then Tenders shall be invited in accordance with European Procurement Legislation using the open, restricted, competitive procedure with negotiation, competitive dialogue, innovative partnership or negotiated (applicable to concession contracts only) procedure by placing a notice in OJEU no later than any other advertisement placed in any other publication. An advertisement for such Tender will also be placed on Contracts Finder and the council’s chosen e:tendering portal following the placing of the notice on OJEU.

4.3 Inviting Tenders for Contracts below EU Thresholds

Where a contract is below the EU Threshold, then Tenders shall be invited in accordance with:-

(a) any requirements in the European Procurement Legislation relating to below EU Threshold contracts, if appropriate;

(b) these Contract Standing Orders

(c) and, Procurement Guidance attached

4.4 Collaboration

The Council may procure goods, services or works to any value in collaboration with other local authorities or other public or voluntary sector bodies. Where the Council is the lead buyer within the consortium of the goods, works or services contracted for, these CSOs shall apply. Where the Council is not the lead buyer procurement procedures shall follow the spirit of these CSOs, be in accordance with EU Public Procurement Directives and

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UK Regulations, and approved by the relevant Head of Service on the advice of the Procurement Officer.

4.5 Estimate of Contract Cost

Prior to issue of Tender documentation, the Head of Service must estimate what he thinks the proposed Contract will cost and keep a record of his estimate and how he made the calculation. Such estimate shall be calculated on the basis of the value of the contract over the life of the contract including any period of extensions(s). The Budget must also be agreed and/or funding in place for the project, and the relevant committee and minute number recorded.

4.6 Public Advertisement

4.6.1 A public advertisement must (unless otherwise agreed by the Head of Legal and Democracy be placed by the Procurement Officer

(a) whenever the estimated cost or income exceeds £15,000 except in the case of Housing Revenue Account Programme of Works where this shall only apply to the first phase of any contract subject to full financial vetting being carried out when any (individual) extension exceeds £75,000 in value.

(b) if a Head of Service thinks it is in the Council’s interest.

(c) if required under EU Rules or Government legislation.

4.6.2 Prior to placing an advertisement the Head of Service must have a clearly written selection criteria which will be used for selecting those to be invited to tender. The selection criteria shall not include any non-commercial matters unless the Head of Legal and Democracy is satisfied that the provisions of the Local Government Best Value (Exclusion of Non-Commercial Considerations) Order 2001 apply. Selection Criteria should be based on the technical, economic and financial ability of the supplier. A written record must be kept by the Head of Service identifying the reasons why anyone who has responded to the advertisement has not been selected for tendering purposes. This record and the selection criteria should be retained with the contract documentation.

4.6.3 If EU Rules or legislation apply, then those Rules or legislation must govern the way in which the advertisement is placed. All EU advertisements must be placed by the council’s Procurement Officer through the Office for Official Publications of the European Union, in consultation with Legal Services. The EU advertisement must be despatched before any national advertisement appears

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4.6.4 If the estimated cost of the project exceeds £25,000 the project must be advertised by the Procurement Officer through Contracts Finder the Government’s online procurement service (in addition to any other e:procurement advertising portal). If EU rules apply this notice should not be published before it has been published on OJEU or at least 48 hours have elapsed from the receipt of the confirmation of the notice from OJEU.

4.7 Tendering Term

4.7.1 Suppliers invited to respond must be given an adequate period in which to prepare and submit a tender, consistent with the urgency of the contract requirement. Best practice recommends a minimum of at least four weeks should be allowed for submission of Tenders.

4.7.2 Where the estimated value of the Contract exceed the EU Tendering Threshold for works, services or supplies, the procedure must follow the EU Tendering periods. Details of the timescale for tendering is available in the Procurement Guidance 4.10.8

4.8 Transparency Code 2015

4.8.1 Government has published the Local Government Transparency Code which sets out the minimum requirements for local authorities to publish open data for re-use and in a timely way (see Guidance Appendix F)

4.8.2 Procurement Information

The Council must publish details of every invitation to tender for contracts to provide goods and/or services with a value that exceeds £5,000. Details of any contract, commissioned activity, purchase order, framework agreement and any other legally enforceable agreement with a value that exceeds £5,000 must also be published. These details are held on the Contracts Register (see Procurement Guidance 8.10)

5.0 Surety Bonds/Parent Company Guarantees/Collateral Warranty

5.1.1 If after assessment of the project a risk is identified, and the Head of Service requires a Surety Bond, it has to be:-

(a) in a form to be determined by the Corporate Director (Law and Governance) and stated in the tender documentation.

(b) valued at 10% of the Contract Sum unless otherwise agreed with the Corporate Director (Finance and Economy).

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(c) with a financial institution approved by the Corporate Director (Finance and Economy).

5.1.2 The Head of Service can obtain a parent company guarantee instead of a Bond, in which case, it must be in a form which is acceptable to the Corporate Director (Law and Governance).

5.1.3 The Head of Service can obtain a Collateral Warranty which must be in a form which is acceptable to the Corporate Director (Law and Governance)

6.0 Tendering and Quotation Procedures

6.1 Tenders and Quotes

6.1.1 The Council has a statutory obligation under the Government’s Best Value Review regime to seek competitive prices. Generally, it is the level of value and risk that determines if we ask for a quote or whether something goes out to tender.

6.1.2 The quotation process is normally used for relatively low value and low risk purchases. For higher value purchases which require greater accountability the more formal tendering process should be adopted. The tender document lays down the terms and conditions of the offer; the work requirement to be done, and the standard and quality expected.

6.1.3 In consultation with the Procurement Officer the Manager responsible for the project will make a choice if tenders or quotes are to be sought. In all cases there is a requirement to publish the opportunity (unless below publishing threshold). If quotes are sought an auditable account of the process should still be retained.

6.2 Fixed Budget Tenders

6.2.1 Where a project has a fixed level of funding and it is not practical to specify in detail the extent of the work, supply or service required, tenderers should be given the budget figure and asked to specify what they would provide for the money.

6.2.2 The Tender documentation needs to set out how the Tender will be evaluated.

6.2.3 The Head of Service is responsible for making sure the selection process is clearly documented and “transparent” and should keep a full written record of his evaluation process.

6.3 E-Tendering

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Tenders will be managed through the corporate Electronic Tender Facility including issuing, submission, receipt and opening of tenders. The use of e:mail submission for tenders will not be accepted

6.4 Tender/Quotation Return: Receiving, Looking after and Opening of Tenders

Except in the case of tendering via the corporate Electronic Tendering Facility for which the rules in CSO 6.3 and Procurement Guidance 6.1 shall apply, the receipt and opening of Tenders shall managed by the Procurement Officer and conducted as follows;

(a) All tenders shall be addressed to the Customer Services Customer Contact Centre and the Tender shall remain in their custody until the time appointed for its opening.

(b) Tenders shall be opened and details recorded by an authorised representative of the Service who is dealing with the project and at least one other officer. A member of the Audit Partnership and Member of the Council may have to attend the opening of tenders dependent on the estimated value of the scheme.

(c) Quotations shall be addressed to the relevant Head of Service or Senior Manager and the quote shall remain in their custody until the time appointed for its opening.

6.5 Marked Tenders

If the Tender envelope or package reveals the identity of the Tenderer:-

(a) the Tender must be opened in accordance with CSO 6.4

(b) if the Head of Service wants to accept the Tender, he can only do so if the Head of Legal and Democracy agrees.

6.6 Late Tenders

If a Tender envelope or package is received after the time and date for then return of tenders then it shall not be considered, unless the tenderer can provide evidence that the tender should have been received prior to the deadline, but for reasons outside of his control was not. This must be made clear to prospective tenderers in the Instructions to Tenderers.

6.7 Tender Negotiation

This will only be permitted where:-

(a) the Tender has been invited under the EU competitive procedure with negotiation, competitive dialogue, or negotiated procedure and notice

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has been given by the Procurement Officer in conjunction with the Head of Legal and Democracy in the Supplement to the Official Journal of the European Communities.

OR

(b) the Tender figure is below the appropriate EU and the Head of Legal and Democracy has agreed to the use of a negotiated procedure.

OR

(c) the aim is to negotiate the continuation of an existing Contract in accordance with the provision of detailed in the Procurement Guidance 3.2

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6.8 Tender/Quotation in Excess of Estimate

6.8.1 Subject to 6.8.1(a), 6.8.1(b) and 6.8.2, if the most acceptable Tender or Quotation exceeds the budget estimate, it can only be accepted if it is approved by the Cabinet and only then if it is within the budget head threshold. If it exceeds that amount the Cabinet must make a recommendation to the Full Council,

(a) If the cost of the scheme (including fees) is within the Capital Programme, and does not exceed the estimate by more than 10% or £25,000 (whichever is the less) the Tender/Quotation may be accepted by the Head of Service with the agreement of the Corporate Director (Finance and Economy) and Portfolio Holder, if compensatory savings on other approved capital schemes which are within the Capital Programme and which will be underspent at completion can be identified.

(b) for a scheme funded from the Revenue Budget, a Tender/Quotation can be accepted which exceeds the estimate by up to 10% if the Head of Service can find equivalent savings within the approved Revenue Budget. Agreement for this course of action from the Corporate Director (Finance and Economy) and Portfolio Holder is also required

6.8.2 The provisions of 6.8.1 may, in the case of Housing Revenue Account Programme of works be waived by the Head of Housing subject to the prior agreement of the Corporate Director (Finance and Economy).

6.8.3 All waivers under 6.8 shall be collated by the Corporate Director (Finance and Economy) and reported to Cabinet within the Budget Monitoring report.

6.9 Evaluation of Tender/Quotations

6.9.1 The procurement documentation must explain how bids will be evaluated and clearly define how the bidder’s response to Price and Quality aspects (incorporating the Social Value Act) will be assessed. Consideration to price/quality split, questions to be asked, the relative weightings applied to questions, scoring methodology, model answers, interviews, presentations.

Officers must consider Public Services (Social Value) Act 2012 and how what is proposed to be procured might improve the economic, social and environmental well-being of the relevant area and how in conducting the process of procurement, it might act with a view to securing that improvement.

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These improvements and additional benefits can take almost any form, ranging from the very tangible, such as jobs for the long term unemployed, or sub-contracting opportunities for small business, to softer, but equally important benefits such as engagement with communities or groups of individuals.

6.9.2 Tenders shall be evaluated by a panel of a minimum of two. Tender evaluation shall be carried out in an objective, equitable and accountable manner in accordance with the award criteria set out in the tender documentation. A written report must be produced detailing how the scoring was undertaken.

6.9.3 The way Quotations will be evaluated needs to be recorded by the Head of Service in advance unless price is to be the only criterion.

6.10 Acceptance of Tenders/Quotations

6.10.1 No Tender or Quotation should be accepted by notifying the proposed Contractor in advance of the Contract itself being issued unless the Head of Legal and Democracy agree.

6.10.2 The authority to award contracts is set out in Appendix A (financial threshold and route to market information) and subject to:

The award of contractor should be based upon:

(a) The most economically advantageous tender (MEAT) to the Council as evaluated in accordance with the tender evaluation criteria set out in the tender documents; or

(b) The highest tender if payment is to be received by the Council

UNLESS;

the Cabinet (in relation to Cabinet functions) or the Council or appropriate Committee (in relation to Council functions) decides otherwise following a report from the Head of Service concerned

6.10.3 Where a tender contains errors or discrepancies affecting the tender sum or rates, the relevant Senior Officer, prior to the tender award decision, can, provided no information is given to the tenderer regarding the effect of such action, give the tenderer the option to:-

(a) Correct the prices or rates concerned

(b) Continue without correcting the prices or rates

(c) Withdraw the tender

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6.10.4 No Tender or Quotation which would be part of a larger Contract should be accepted unless it fully satisfies the conditions of the principal Contract concerning sub-letting.

6.10.5 No Tender or Quotation shall be accepted unless the Head of Service is satisfied that the Tenderer has adequate public liability and other relevant insurance.

6.11 Tender Results and Standstill Period

Until a formal contract has been agreed with the successful Tenderer, all sums involved should be treated as confidential. They must only be disclosed to Officers, Members or Leaseholders who need to know in connection with their duties, property responsibility (in the case of Leaseholders) or to comply with these Contract Standing Orders.

The Standstill Period is a period of 10 calendar days where day 1 is the day after notification has been issued

7.0 Contractual Arrangements

7.1 General Requirements

For the purposes of the Local Authorities (Executive Arrangements) (Modification of Enactments and Further Provisions) (England) Order 2001 every contract shall be in writing and be the subject of one of the following:-

(a) a Contract prepared or settled by the Head of Legal and Democracy.

(b) one of the national standard forms of Contract previously agreed with the Head of Legal and Democracy for that type of work.

(c) some other documentation approved by the Corporate Director (Law and Governance).

(d) an Official Order (subject to Procurement Guidance 7.1)

7.2 Commencement of Work

No supply of works, goods, or services is to commence, or goods/materials ordered until a contractual arrangement is in place between the Council and the Contractor (formal contract signed and/or official order has been raised)

7.3 Variations during the Course of the Contract

7.3.1 Funding must be identified before any variation is approved. Every variation to a Contract shall be authorised in writing by a person authorised to sign Official Orders (in the case of goods or services

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procured by way of an Order) or by a Manager in the case of other types of Contract.

7.3.2 If authorising any variation is likely to cause the original Contract Sum (including any contingency sum) or total project budget to be exceeded by more than 10% the Senior Officer shall not issue such variation unless the Head of Service has agreed. The effect of this Standing Order shall not restrict the issue of a variation if it would result in a stoppage of the Contract works or a breach of the contractual conditions.

7.4 Contract Records

The Head of Service will maintain accurate and proper records of all contracts for which she/he is responsible.

7.5 Contracts Register

The Council has a statutory duty to hold and publish an electronic register of all contracts (Contracts Register) above a total value of £5,000. This shall be managed centrally by the Procurement Officer and maintained by each Contract Officer using the intranet or similar. The register will be updated on a quarterly basis. Such register shall specify for each contract, the name and address of contractor, a summary of the works to be executed, or the goods and services supplied and the contract duration and value or estimated value. The register shall be open for inspection, and published on the council’s website. (further information in the Procurement Guidance 8.10)

7.6 Custody and Retention of Contracts

The Head of Legal and Democracy is responsible for safely looking after all Contracts. Officers should keep copies for their records

Contracts signed as a deed should be retained for 12 years. Contracts not signed as deeds should be retained for 6 years.

8.0 Declaration of Interest

8.1.1 At the beginning of any Contract process the following persons shall declare any interest, as defined in the Code of Conduct for Staff set out in the Conditions of Service, which may affect the Contract process:-

(a) All Council Officials

(b) Elected Members of the Council

(c) Any other person involved in the contract process

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8.1.2 The ‘Declaration of Interest’ form can be found on the Council’s Intranet under Personnel.

9.0 Prevention of Corruption

9.1.1 A Council Employee must not invite or accept any gift or reward in respect of the award or performance of any Contract. High standards of conduct are obligatory and corrupt behaviour will lead to dismissal.

9.1.2 The following clause, (or an equivalent clause in standard forms of contract or other wording as approved by Legal Services) must be put in every written Council Contract

“The Council may terminate this Contract and recover all its loss if the Contractor, its employees or anyone acting on the Contractor’s behalf do any of the following;

(a) offer, give or agree to give anyone any inducement or reward in respect of this or any other Council Contract; or

(b) commit an offence under the Bribery Act 2010; or

(c) commit any fraud in connection with this or any other Council Contract whether alone or in conjunction with Council Members or Employees

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Appendix A: Table to clarify tendering/quotation procedurePre-Tender

Pre-Tender & Opening of Tender

Post Tender

Total Value £ Type of Contract

Quote/Tender Advert Notify Customer Service

Notify Audit

Cllr to attend opening of tenders

Acceptance of Tenders

Up to £14,999Works, Supplies & Services

At least 1 quote in advance No

Yes, if quotes to be delivered / hand delivered

No No Officer

£15,000 to £172,514**

Works, Supplies & Services

At least 3 written quotes (tenders can be sought if necessary ie. if project high risk or complex in nature)

YesYes, if quotes to be delivered / hand delivered or formal tender opening

Electronic procurement should be used if appropriate

No No Manager

£172,514** plus Supplies & Services

At least 5 written tendersEU Rules apply

Yes No – electronic tender Yes YesService Manager can accept MEAT unless only tender when the agreement of the Head of Finance must be obtained

£172,514 to £4,332,012**

WorksAt least 5 tenders in advance Yes No – electronic tender Yes Yes

Service Manager can accept MEAT unless only tender when the agreement of the Head of Finance must be obtained

£4,332,012** plus WorksAt least 5 written tendersEU Rules apply

Yes No – electronic tender Yes Yes Management Team

Note: (1) **EU Thresholds: are revised every two years and the current thresholds are effective from 1 January 2014 (£172,514 for Supplies (Goods) and Services and £4,332,012 for Works) (2) Financial reference sought of successful bid only if Head of Service feels it is necessary (3) MEAT (Most Economically Advantageous Tender)

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(4) A Tender within threshold £15,000 to £172,514** can be sought if appropriate

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Appendix B: Glossary of Terms

In these Contract Standing Orders, the following terms have the following meanings:-

Cabinet Includes any Committee or Sub-Committee of the Cabinet

Aggregation Adding together the value of separate fs for the same supply, service.

Alcatel period See Standstill Period

Best Value The process of establishing quality, prices, and availability that provides the best overall benefit to the council. Consideration of whole-life cycle requirements, and not just initial costs.

Call off contract Clients/Services that are continuously commissioning work might reduce timescales, learning curves and other risks by using framework agreements. Such arrangements allow the client/service to invite tenders from suppliers of goods and services to be carried out over a period of time on a call-off basis as and when required

Contract Any legally binding agreement or official order issued by a Head of Service or other authorised Officer for the supply of goods, services, or the execution of works to or for the council

Contract Notice Notice published in the Official Journal of the European Union (OJEU) by contracting authorities, seeking expressions of interest or inviting organisations to tender

Contracts Register

The council’s electronic register of all contracts over £5,000 entered into for goods, works or services

Contract Value The total monetary value of a contract over its full duration (not annual value)

Consultant An organisation or individual employed by the council for a specific task, usually for a fixed period where specialist knowledge or objective review is required.(see section Procurement of External Expertise)

Contractor The legal personality with which the Council contracts

Domestic Approved Lists

An approved list of economic operators wholly procurement and maintained by Ashford Borough Council

Dynamic Purchasing System

An electronic process for making commonly used purchases of which meet the requirements of the contracting authority and which is limited in duration, open through its validity to any economic operator that satisfies the selection criteria and has submitted an indicative tender that complies with the specification.

Electronic Procurement

The business-to-business purchase and sale of supplies and services conducted electronically (via the internet or email)

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EU Public Procurement Directive

The main EU legislation that covers public procurement from time to time

EU Thresholds** The monetary value above which advertisements for work, supply and services must be placed in the OJEU. (as of 1/1/14 at £172,514 for goods and services contracts and £4,322,012 for works contracts) The values are reviewed every two years.

Evaluation Detailed assessment and comparison of competitive submissions/tenders from contractors or suppliers against stipulated criteria for quality and value.


The Financial Procedure Rules of Ashford Borough Council

Frameworks Arrangements

Zero value contracts for goods, services or works under which terms, conditions, quality standards and prices rea agreed in accordance with EU Public Procurement Directives.

Goods and Services

As defined in the European Procurement Directive (“goods are also referred to as supplies)

Invitation to Tender

An invitation to contractors, suppliers or service providers to bid for the provision of works, goods or services. Also known as an ‘ITT’

Local Supplier This definition varies dependent on the context and purpose of the contract. It may relate to the percentage of labour employed in performance of the contract that reside in the Borough of Ashford or the proximity of the supplier’s offices in relation to the place where performance of the contract is to be deliveredNote: where this is subject to EU rules, any reference to local suppliers must link to the subject matter of the contract. Anything under the EU threshold still must comply with the general principles of community law, transparency, non-discrimination, equal treatment, etc. Any requirements in this case for local suppliers has to fit these tests, and must be made clear in the initial advert on the business portal so that any challenge can be dealt with at the beginning rather than at the end. In addition there must be a requirement for officers to record the fact that they considered whether the contract they were to let would have any cross border interest. Even if they don’t think it does, a note that they considered it is important for combating any challenges that the council did not act within the treaty principles.

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The commission states that the following factors will be significant:a) The subject matter of the procurementb) The estimated value of the procurementc) The place of performance or deliveryd) The size and structure of the relevant service market

The commission also states that it will be down to individual Contracting Authorities to apply these factors themselves on a case-by-case basis. In the event that a Contracting Authority concludes that there is no cross border interest, a full consideration of the factors above should be documented. The fact that a contract is beneath the relevant threshold will not be enough of a reason for there to be no cross border interest.

Mini-competition If the terms laid out in the framework agreement are not specific enough for the purchasing authority to be able to identify which supplier could offer them best value for money for that particular requirement, a further mini-competition would be held between all the suppliers on the framework agreement who are capable of meeting the need.

Most economically advantageous tender (MEAT)

A process of determining the best bid using weighted criteria.

Official Order An electronic or hard copy confirmation and commitment made between the Council and an economic operator to contract under agreed terms. Typically includes a unique reference number generated in accordance with the services procedures. All orders must be issued in accordance with Financial Procedure Rules

OJEU Official Journal of the European Union

Partnering contracts

Contracts with an intention for risks and rewards to be shared and a formalised greater emphasis on collaborative working and open book accounting

Prior Information Notice (PIN)

A short Notice published in the Official Journal of the European Union (OJEU) by contracting authorities indicating that a call for tenders is planned during the coming three months. The publication of a PIN means that the deadline for submitting the tender from the publication of the call may be shortened.

Project Initiation Document (PID)

A document, virtual or real, to record a project’s agreed particulars. The document is shared with project stakeholders and includes statements of the original brief, scope, authority and limitations and identifies persons who have contributed to or determined to these items

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Pre-qualification questionnaire (PQQ)

A questionnaire completed by organisation or providers that wish to be considered for a procurement activity or placed on an approved list. The purpose is to assess their general suitability in terms of financial and economic standing, technical capability and experience, quality assurance, health and safety procedures, environmental issues and equalities considerations. Questions may include subjective and non-subjective questions which are evaluated to establish a relative ranking of those submitted as well as pass/fail questions which are deterministic.

Procurement The process of acquiring goods, works and services, covering acquisition from external and in-house providers. The process spans the whole life cycle from identification of needs, through to the end of a contract or the end of the useful life of an asset.

Procurement Strategy

The document setting out the Council’s approach to procurement and key priorities and actions for the short, medium and long term

Quotation A written or verbal price given by a contractor, supplier or service provider, after being requested either verbally on in writing. A quotation may be the written confirmation of an earlier, verbal offer

SME There are three broad parameters with define SME’s as detailed by the European Commission

micro-entities are companies with up to 10 employees Small companies employ up to 50 workers Medium-sized enterprises have up to 250 employees.

The category of micro, small and medium-sized enterprises (SMEs) is made up of enterprises which employ fewer than 250 persons and which have an annual turnover not exceeding 50 million euro (approx.. £40 million) , and/or an annual balance sheet total not exceeding 43 million euro (approx. £34 million)

Select List An Approved List of organisations approved by the Council to carry out specific works and services. (No longer in existence within the Council)

Shortlisting The process of selecting a limited number of bidders or tenderers to proceed from one stage of a procurement process to the next.

Social Value Act 2012

The Public Services (Social Value) Act 2012 encourages councils to consider the social, economic and environmental impact of purchasing decision. Social Value criteria should be used to evaluate tenders where applicable.

South East Business Portal (SEBP)

A web based portal using to advertise forthcoming tendering opportunities

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http://encyclopedia.thefreedictionary.com/Micro-enterprise



Specification A description of requirements and standards to which the goods, works or services should conform. Its purpose is to present prospective suppliers with a clear, accurate and full description of the organisation’s needs, to enable them to propose a solution to meet them and/or an accurate price.

Stage Payment An agreed percentage or part of the contract price, which is payable when specified stages of completion/delivery have been reached

Standstill period A 10 day calendar day period, immediately after the results of tender evaluation are announced, within which all tenderers are given the opportunity to review the outcome of the evaluation and must raise any contentions or queries to be eligible for consideration. During this period a contract must not be awarded by deed or implication indicating that the reported outcome has already been acted upon. (also referred to as the Alcatel standstill for over EU threshold projects) (15 days for tenderers notified by non-electronic means)

Supplier A company providing goods or services, or undertaking works (otherwise known as Contractor)

Surety Bond Bonds or guarantees given to Authorities by specialist insurers, on behalf of suppliers and at their expense, binding the insurers to compensate clients (up to the amount of the bond obtained) in the event of a default

Transparency Code 2015

The Local Government Transparency Code sets out the minimum requirements for local authorities to publish open data for re-use and in a timely way

Two stage selective tendering

A procedure typically used to achieve an early appointment of a contractor to a lump sum contract. For the 1st stage the objective is to competitively appoint, on the basis of limited information, a preferred contractor for further negotiation (see attachment)

Head of Service The appointed Head of Service, Chief Executive, Director or any person authorised by either of them.

Tender A formal written offer made in competition to supply specified goods or services or carry out specified work at a stated price or rate

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Value for Money A term used to access whether or not the maximum benefit has been obtained from the goods and services an organisation acquires and provides within the resources available to it. It not only measures the cost of goods and services, but also takes into account the mix of quality, cost, resource use, fitness for purpose, timeliness and convenience to judge whether or not, together, they constitute good value. Often described in terms of the ‘three Es’; economy, efficiency and effectiveness Economy – careful use of resources to save expense, time

or effort Efficiency – delivering the same level of service for less

cost, time or effort Effectiveness – delivering a better service or getting a

better return for the same amount of expense, time or effort

Waiver An authorised departure from Contract Procedure Rules. May only be applied with limited application.

Whole life costs Refers to the total cost of ownership over the life of an asset. Costs considered include the financial cost which is relatively simple to calculate and also the environmental and social costs which are more difficult to quantify and assign numerical values. Typical areas of expenditure which are included in calculating the whole-life cost include, planning, design, construction and acquisition, operations, maintenance, renewal and rehabilitation, depreciation and cost of finance and replacement or disposal.

Works Building, construction and engineering related works.

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http://en.wikipedia.org/wiki/Total_cost_of_ownership


Procurement Guidance

Appendix B


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Part 4 Rules of Procedure –Procurement Guidance

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Part 4Rules of Procurement -Procurement Guidance


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ContentsItem Item No. Page No.

Introduction ...................................................................1.0...................- Scope ...................................................................1.1...................- Making competition work....................................................1.2...................- Working with your supplier..................................................1.3...................- The supply chain................................................................1.4...................

Good Procurement Practice – the Process...........................2.0...................- What does procurement mean...........................................2.1...................- Risk Assessment................................................................2.2...................

Contracts Excluded From Competition.................................3.0...................- Single Supplier Sourcing guidance.....................................3.1...................- Exceptions to market testing...............................................3.2...................

Procurement process............................................................4.0...................- Pre-Procurement Considerations.......................................4.1...................- Researching the Market, Market Testing/Indicative- Bids ...................................................................4.2...................- Project Initiation Document (PID).......................................4.3...................- Tender Documentation.......................................................4.4...................- Public Advertisement..........................................................4.5...................- Call-Off Contracts...............................................................4.6...................- Approved Lists and Framework Agreements......................4.7...................- Route to Market..................................................................4.8...................- Contracts for the Execution of WORKS, SUPPLIES (GOODS) AND SERVICES................................................4.9...................- EU Tender Thresholds.......................................................4.10..................- The Public Services (Social Value) Act 2012....................4.11..................- Environmental Procurement..............................................4.12..................- Transfer of Undertaking (Protection of Employment) Regulations (TUPE) and procurement..............................4.13..................

Procurement of External Expertise.......................................5.0...................- Section A – Buying-in of External Expertise.......................5.1...................- Defining ‘external expertise’................................................5.2...................- Processes to follow for each type of expertise...................5.3...................

Tendering ...................................................................6.0...................- E-Tendering........................................................................6.1...................- Tender/Quotation Return: Receiving, Looking

after and Opening of Tenders............................................6.2...................

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- Tender Evaluation..............................................................6.3...................- Abnormally low tender........................................................6.4...................- Evaluation Process.............................................................6.5...................- Price Assessment...............................................................6.6...................


- Tender Negotiation.............................................................6.7...................- Tender Results and Standstill Period.................................6.8...................

Contractual Arrangements....................................................7.0...................- General Requirements.......................................................7.1...................- What the Contract must include.........................................7.2...................

Managing Contracts..............................................................8.0...................- Introduction ...................................................................8.1...................- Contract performance........................................................8.2...................- Performance/contractor failure and management..............8.3...................- Variations ...................................................................8.4...................- Price ...................................................................8.5...................- Other changes 8.6................................................................- Dealing with poor performance..........................................8.7...................- Termination ...................................................................8.8...................- Nominated and/or Named Sub-Contractors or Suppliers ...................................................................8.9...................- Contracts Register............................................................8.10..................- Custody and Retention of Contract...................................8.11..................

Partnering ...................................................................9.0...................

Managing the risk of Procurement Fraud.......................................10.0.................. Appendices ..........................................................................................- Appendix A: Single Supplier Sourcing Form.........................................................- Appendix B: Project Initiation Document (PID) Example......................................- Appendix C: Collusive Tendering Certificate........................................................- Appendix D: Equality Act Declaration...................................................................- Appendix E: Freedom of Information....................................................................- Appendix F: Transparency Code 2015: Open Data: Process for publishing

new Contracts and Tenders documentation and data..........................................

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1.0 Introduction1.1 Scope

This is the Council’s Procurement Guidance giving principles and procedures for effective procurement mentioned in the Council’s Contract Standing Orders. Contract Standing Orders and these Guidelines set a framework for making decisions in procurement but cannot cover every eventuality. If you are unsure how to proceed seek advice from the Procurement Officer.

Procurement of goods, works and services on behalf of the council is a professional activity, and needs to be treated as such.

Many Officers throughout the Council have responsibility for procurement as part of devolved financial management. This guide is intended to be of practical value to all staff where they are;

Deciding to procure, Purchasing goods, works and services on behalf of the Council, or Managing contracts

Procurement applies to;

Goods Works Services (including Consultancy)

Even if there is no formal tendering process, the basic procurement principles outlined in these guidelines must be followed to make sure that any resulting legally binding agreement is in the Council’s interest.

1.2 Making competition work

Competitive tendering can;

Provide clear public accountability – a clear record of the process Protect employees from any suggestion of bias Provide a level playing field against which to judge the market Ensure value for money Give potential suppliers the same clear understanding of the

Council’s requirements Provide a sound base for a properly constructed written contract Prevent complacency

Competitive tendering means;

All tenderers receive the same information/identical paperwork

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All tenderers work to the same timescale – fixed despatch/closing/opening dates

Properly controlled tender opening procedures (including e-tendering arrangement) guarantee confidentially.

Conditions that protect the Council are included.

1.3 Working with your supplier

Good contracting means encouraging the building of professional relationships with suppliers and developing partnerships to obtain the best from the market place. It is important to do this to provide quality services.

This Guide is intended to help pave the way to more effective ways of dealing with the Council’s suppliers. In this respect;

Staff need to be aware of the state of the market when it comes to ordering or commissioning

Staff must prepare clear specifications Unsuccessful tenderers need debriefing so that they know where

they went wrong. Probity must be maintained in all Council/supplier relationships

1.4 The supply chain

When we talk about purchasing we tend to concentrate upon the actual buying activity but in fact purchasing is about a chain of activities and covers:

Understanding the needs of users Understanding the marketplace Understanding possible risk Identifying and dealing with obstacles Determining appropriate finance Specifying products and services Setting Client standards Conducting competitive processes Negotiating contracts (where permitted) Implementing contracts Monitoring contractor performance Making payments to contracts Managing variations to contracts Renewing contracts

2.0 Good Procurement Practice – the Process

2.1 What does procurement mean

Professional procurement is concerned with obtaining the best out of the marketplace

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In law, the (very basic) elements of a contract are

Offer Acceptance Consideration (the price or reward you pay or receive)

2.2 Risk Assessment

With every contract there is a risk associated with full or partial failure. The level or risk will depend on the type and length of contract, stability of the service, conditions in the supply market and the risk to the user in terms of cost, quality and impact of contract failure. There are a number of elements to risk assessment;

Identify potential problems and their causes

a) Service failure

b) Customer dissatisfaction

c) Risk of contractor/supplier lock in

d) Difficult and costly relationship management

e) Risk of business failure of contract

Assess the probability of occurrence Assess operation impact Identify party best able to manage the risk Devise strategies to minimise the risk

3.0 Contracts Excluded From Competition

3.1 Single Supplier Sourcing guidance

Whilst there is a general presumption against single supplier tendering and sourcing for all procurements (Quotations or Tenders must normally be sought for all Contracts) it is sometimes suitable and unavoidable (where there is to be no market testing followed), but these should be the exception and decisions made transparent. The full exceptions and some examples where exceptions may apply are detailed in the Procurement Guidance at 3.2

What needs to be demonstrated is not that a single contractor can simply provide the most efficient and effective proposal, but that one of the exceptions in 3.2 applies. Managers not the contractor, are responsible for making this judgment.

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Single supplier sourcing should not be used in the following instances:

(a) simply because a contractor (or individual is known to the council), or

(b) simply because there is too little time to test the market properly (unless there is a genuine need for ‘emergency’ or ‘urgency’)

or (c) single supplier sourcing simply being logistically more convenient.

The presumption against single supplier tendering and sourcing is that best value legislation over the use of public money dictates it is necessary to be transparent and be able to demonstrate that procurements secure value for money when tested.

Single supplier sourcing is reasonable in some circumstances and where desirable managers must document their reasons.

Therefore, in all cases regarding the use of the contract standing orders exceptions to market testing a completed single supplier sourcing online standard form (Appendix A) must be sent to the Corporate Director (Finance and Economy) for audit purposes.

For all proposed single supply sourcing procurements above £15,000 and below £172,514 the approval of Management Team is needed; electronic clearance will be enabled through the online form.

However, where the project is externally funded or where the Council will be reimbursed for the cost of the scheme, ie. Section 106, approval of Management Team is not required.

Under CSO it is necessary to report waiver actions to members. In future, the summaries of and justifications for actions prepared by the Head of Service as part of the standard form will be annexed to the Corporate Director (Finance and Economy) Budget Monitoring Reports to the Cabinet (in exempt appendices if necessary in the interests of confidentiality where appropriate).

3.2 Exceptions to market testing

The exceptions to market testing are where:

(a) The Head of Service is satisfied that goods or materials are only available from one manufacturer or that services can only be supplied by one contractor.

(b) The identity of the person supplying a professional service is important.

(c) It is specialist work and the skill of the particular contractor is important.

(d) Parts are being bought for existing machinery or plant.

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(e) Goods or materials are bought through a consortium of which the council is a member.

(f) The contract is a continuation of an existing contract. This exception only applies if the new contract is negotiated with the contractor based on rates and prices which were originally agreed (in the existing contract) through the normal tendering process. This exception can only be used to allow any one contract to be extended once except for Housing Revenue Account programme of works contracts. In cases involving the Housing Revenue Account programme of works contracts the following will apply:

(i) any proposed extension is agreed by the Head of Legal and Democracy and Monitoring Officer

(ii) any contract or extension shall not exceed four years in duration(iii) the original advert and tender documentation having suggested the

possibility of any potential extension(iv) the Head of Housing being satisfied that following a review of the

contractor’s previous performance that it is proper for an extension to be granted

(g) Equipment needs to be maintained by the manufacturer of that equipment and only the manufacturer can provide the maintenance.

(h) Equipment is supplied under terms which need maintenance undertaken by a named provider.

(i) Contracts are needed for the retention of legal counsel and other legal experts for advice or advocacy services, and the appointment of expert witnesses, in contemplation of actual or potential legal proceedings, inquiries, tribunals etc.

This approach to procurement of legal services reflects the special fiduciary nature of the lawyer/client relationship to which mutual trust and confidentiality are integral, and makes the personal and professional suitability and identity of the lawyer (or other expert) critical. In addition, in the context of (potentially) litigious matters, public advertisement and detailed specification of outputs as part of a market testing approach will usually be inappropriate or impractical.

Nonetheless there remains a need to ensure the Council receives value for money in such arrangements and that statutory rules are followed where needed. This may include some market testing where the nature of the legal work means it is readily able to be specified in advance e.g. some types of project-based non-contentious work. Otherwise, it will be important to demonstrate that procurement is open, based on highly informed market judgments as to the proper balance between cost and quality and is the subject of appropriate consultation with client officers and the Management Team where appropriate.

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If there is any doubt about whether any exception can be used, the Head of Service should seek the advice of the Head of Legal and Democracy. The Head of the Audit Partnership may also be consulted.

Reminder - These exceptions are conditional on any statutory or European constraints; please consult the Head of Legal and Democracy if there is any doubt.

4.0 Procurement process

4.1 Pre-Procurement Considerations

Lack of time and inadequate preparation are the main enemies of effective procurement. Think ahead. Make sure that you know the timescales involved in carrying out the exercise and the amount of preparation need.

The European Procurement Directives can have significant implications. In particular do not fall into the trap of assuming the European Procurement Directives only apply to contracts above the thresholds – there are overriding Treaty provisions which affect all contracts (CSO 4.1.2). Remember that the Procurement Officer, Audit, Financial and Legal Services are there to consult.

In procuring any contract, Offices shall, where appropriate, consider the following matters prior to inviting Tenders:

(a) the nature of the services, supplies of works contract to be tendered;

(b) the estimated value over the whole term of the contract (including any extensions)

(c) the contract term and any period of extension(s) anticipated by the contract;

(d) the tender or quotation procedure to be adopted including any part of the procedure will be conducted otherwise than by electronic means (take a radical and critical view of any traditional arrangements)

(e) is there an opportunity to join forces with another service or other Councils.

(f) the procurement timetable(g) the evaluation criteria and process;(h) any business risk associated with entering the contract;(i) insurance requirements(j) issue of any statutory Notices, ie. Leasehold(k) the Council’ Best Value duties(l) the Council’s duty under the Public Services (Social Value)

Act 2012 (duty applies only for Services but should be considered for all contracts)

(m) any staffing implications including TUPE and pensions; and(n) the relevant financial, legal and other considerations

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4.2 Researching the Market, Market Testing/Indicative Bids

You need to research and understand the market. Do this by identifying and talking to possible suppliers, hold ‘Meet the Buyer’ events, etc. Do not under-estimate the value of stimulating market interest, but always ensure those you talk to understand that ultimately there will be a formal contract competition. Be careful not to give any undertaking that will compromise your independence.

If an Officer wants to find out about the market price of an item or service (either for Best Value benchmarking or for some other reason) then the officer must make it clear in the invitation that he is not planning to choose a service provider but is simply finding out whether or not the Council will ask for Tenders at a later date.

4.3 Project Initiation Document (PID)

The Project Initiation Document (PID) is the top project planning document. It contains all the information needed to get the project started, and communicate key information to the project’s stakeholders.

It can be assembled from information included in other documents including the business case, terms of reference, risk register, etc. The PID should be conveyed to all stakeholders and agreed and signed off. In short, it is the “who, why, and what” part of the project. It defines all major aspects of a project and forms the basis for its management and the assessment of overall success. The PID provides a reference point throughout the project for both the customer and Project Team.

A PID often contains the following;

Project Goals Defines the project and the scope Project Organisation Defines the roles and responsibilities of project participants Business Case Constraints Stakeholders

An example of a Project Initiation Document can be found at Appendix B

4.4 Tender Documentation

Making tender documents user friendly is essential if you are to get the best from the market place. Many examples of good practice existing – do not be reluctant to draw on them.

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If a tender is to be effective (and in accordance with Standing Orders) it must contain a services of elements, some of which are mandatory under Contract Regulations.

Examples of what should be included in tender documentation are:

Instructions to Tenderers The closing date Tender evaluation criteria Definition of Size and Scope A comprehensive specification of the requirements – use outcomes

when possible Contract period The Tender Collusive Tendering Certificate (Appendix C) Equality Act Declaration (Appendix D) Pricing Format (including treatment of VAT) Tendered rates, prices, costs, options A statement in respect of Freedom of Information (Appendix E)

4.5 Public Advertisement

4.5.1 All contract opportunities must be advertised via the South East Business Portal and Contract’s Finder (if necessary). Other advertisements may also be placed: on the Council’s website; local paper; in national official/trade journals; the Official Journal of the European Union (O.J.E.U.)/Tenders

Electronic Daily (TED), where the total value of the contract is above the EU threshold.

These adverts should direct interested suppliers to the South East Business Portal

Advertisements must not appear in any other publication in advance of publication in OJEU

4.5.2 The procedure for public advertisement for all projects is as follows:

An advertisement needs to be placed by the Procurement Officer on the South East Business Portal giving potential suppliers at least 10 clear working days to either express an interest, pre-qualify or quote/tender for the project.

Minimum advertisement requirements as appropriate: project details, including location planned start, end dates and/or length of project project timetable

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number of units (if appropriate) OJEU flag if opportunity open to other councils estimated quantity (if appropriate) estimated annual value (if appropriate) estimated total contract value council contact details if tenders or quotations to be sought evaluation criteria for pre-qualification evaluation criteria for quote/tender evaluation minimum/maximum supplier tender shortlist information (if

appropriate) last date for registering interest return details for pre-qualification and/or quote/tender any attachments

4.6 Call-Off Contracts

4.6.1 A Head of Service should think about tendering for an annual (or “call off”) Contract if he is likely to need a number of similar requirements during a financial year but cannot realistically estimate the amount of work or cost involved. In such cases, orders may be issued as required on the basis of previously tendered rates or prices.

4.6.2 Officers must not break down (disaggregate) what would normally have been a single Contract into smaller lots in order to avoid the provisions of these Contract Standing Orders or appropriate EU Directives. However, officers should consider procuring works in packages that would attract SME’s to tender, whilst adhering to legislation.

4.7 Approved Lists and Framework Agreements

4.7.1 Framework tendering

Clients that are continuously commissioning work might reduce timescales, learning curves and other risks by using framework agreements. Such agreements allow the client to invite tenders from suppliers of works, goods and services to be carried out over a period of time on a call-off basis as and when required.

Framework agreements can offer a number of benefits to the authority including:

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A one-off exercise to set up the overarching agreement and establish broad terms and conditions

Able to instigate a selection procedure for individual projects without having to undertake a time-consuming pre-qualification process which might be subject to OJEU procurement rules. This should also reduce tender costs.

The ability to “call-off” contracts or services at short notice without having to undertake a comprehensive contract award process

A reduction in administrative effort and costs A mutually beneficial longer-term relationship with providers Allow the flexibility to determine the specific service

requirements at the call-off stage. This is particularly useful where individually tailored services are required to meet individual outcomes for services users

Framework agreements are also useful for suppliers because they support longer term business planning.

There are a number of disadvantages to framework agreements including:

They are closed to new providers for the duration of the agreement, and may prove a disincentive for new providers to develop services

They may impact negatively on those small medium sized enterprises (SMEs) and third sector organisations which rely heavily on high volume low cost contracts.

4.7.2 Approved Lists

Heads of Services with the assistance of the Procurement Officer may set up Approved Lists for contractors for the supply of works, goods and services as appropriate.

Approved Lists:

(a) Shall be established by advertised competition and where possible formalised by Framework agreements, unless they are an external 3rd party Approved List approved in accordance with the Contract Standing Orders.

(b) Shall contain the names and addresses of all Contractors who meet the approved list criteria

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(c) The list should be re-advertised every four years, and reviewed periodically. For clarification review means:

The reassessment of the financial, technical ability and performance of those Economic Operators on the list unless such matters will be investigated at the end of each time bids are invited from that list, and

The deletion of those Economic Operators no longer qualified, with a written record kept justifying the deletion

(d) On re-advertisement, a copy of the advertisement must be sent to each person on the list, inviting them to re-apply.

(e) The criteria for admission to and suspension and exclusion from internally maintained Approved Lists shall be specified in writing by the relevant Head of Service, or their approved representative. The general management and maintenance of approved lists needs to be specified in writing and include how many will be allowed on the list, how the opportunities may be rotated, replacing suppliers on the list, how the list is available for inspection, if the list is available to other services (this should be detailed in the tender documents).

(f) Any Contractor may, by giving written notice to the Council, withdraw from any Approved List.

(g) The council may procure goods, services or works to any value in collaboration with other local authorities, public or voluntary sector bodies and procurement consortia. Where the council is the lead buyer the CSO’s shall apply. Where the Council is not the lead buyer, procurement procedures shall follow the spirit of the CSO’s, be in accordance with EU Public Procurement Directives and UK Regulations, and approved by the relevant Head of Service on the advice of the Procurement Officer and Head of Legal and Democracy, but in any event must achieve Value for Money and Best Value.

(h) Constructionline and standing lists of providers maintained by other public sector bodies and procurement consortia compiled following responses to a public advertisement shall be deemed to be Approved List for the purpose of the CSO’s.

(i) The term of Framework Agreements (including any extension period) should not exceed 4 years, except in cases duly justified by Contracting Authorities and where an EU Procurement Directive applied and was included in the contract notice.

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4.8 Route to Market

4.8.1 The tender procedure in accordance with CSO’s and these guidance notes must be followed.

4.8.2 Local Contractors should be considered when making purchases of goods, works and services that are not covered by an existing contract, and a local supplier should be invited where appropriate for projects up to £15,000 in value. Any business supplying works or services to the council up to this value will be expected to comply with certain minimum requirements; fixed address, telephone landline, public liability insurance £5m, and appropriate employers and professional indemnity insurance. All contracts must be risk assessed and where appropriate a higher level of Public Liability Insurance cover may be demanded.

4.8.3 The Ashford Business Guide is a useful tool to research local suppliers, and the Kent Invicta Chamber of Commerce and Tenterden District Chamber of Commerce hold member lists.

4.8.4 The Council recognises the market aim to simplify or remove Pre-Qualification processes that many SME’s find a barrier to doing business. In response the Council has approved the following certification schemes for which economic operators holding accreditation to will be deemed to satisfy the required. Heads of Service can nominate additional schemes to be included in the list of to the Procurement Officer who will liaise with the Head of Legal and Democracy on a decision. A current list of approved schemes will be held by the Procurement Officer and published on the Council’s Website;

PAS91 – is a standard pre-qualification question format for construction related projects, for buyers to use which is mandated by government. The Council intends to standardise its PQQ forms to align with this common document and accept compliance by implication where contractors are registered with a scheme that uses this form as part of its acceptance criteria

CHAS – Health and Safety Standard SSIP (Safety Schemes in Procurement) – Health and Safety

Standard pre-qualification

Similarly, the Council has agreed that contractors and suppliers registered with Constructionline will be deemed to comply with basic pre-qualification criteria including health and safety, quality management, etc.

Constructionline, a certification service for construction-related contractors, consultants and material supplies reduces the

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administrative burden on suppliers wishing to apply for opportunities. Suppliers that have satisfied basic pre-qualification requirements are added to a database.

4.8.5 To ensure adequate competition, but to maximise use of local companies, local suppliers that express an interest in projects that fall within other financial thresholds, greater than £15,000, should also be considered and given an opportunity to quote. If applicable, the ITT should include at least 2 local suppliers to demonstrate that best value is being obtained.

The requirements of The Public Services (Social Value) Act 2012 should be incorporated into all procurements, to ensure that that social, economic and environmental benefits from each procurement are realised, and should directly relate to the subject matter of the contract.

4.8.6 To encourage/promote incentive and reward for good performance, current incumbents or up to two previous suppliers of similar works can be automatically included in ITT shortlists. In exercising this option, Heads of Service need to avoid over limiting testing of the market and must ensure they can demonstrate Best Value.

4.9 Contracts for the Execution of WORK, SUPPLIES (GOODS) AND SERVICES(Please also refer to Appendix A in CSO)

4.9.1 Contracts for less than £15,000 in value

At least one written quote in advance (unless Schedule of Rates contract or emergency works). Although the tendering procedures for Contracts not exceeding a total value of £15,000 are less formal than for Contracts of greater amounts, Officers should at all times bear in mind the need to seek value for money and be able to demonstrate that they have obtained it.

4.9.2 Contracts estimated to be between £15,000 and £172,514** in total value

At least three written quotations via the tender process shall be invited through advertisement on the South East Business Portal (SEBP) and if required any other routes to advertising as appropriate, (unless the requirement has been waived - CSO 1.7) and tendered electronically.

If the estimated cost of the project exceeds £25,000 the project must be advertised through Contracts Finder the Government’s online procurement service.

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a) Current incumbent(s) of scheme, or last supplier(s) (2 max.) to deliver similar works invited to quote/tender automatically (if appropriate).

b) The Head of Service needs to be satisfied, as far as possible, that anyone invited to tender for the work is technically competent and in a position to fulfil the contract.

c) The Head of Service must prior to selecting any prospective tenders have a clearly written selection criteria which should be detailed in the Invitation to Tender (ITT)

d) Prior to inviting tenders a satisfactory financial reference may be obtained

e) If e:tendering not being used, the Head of Service should ask for quotations/tenders to be returned in a plain sealed envelope labelled “Quotation or Tender”, followed by the subject to which it relates, and the deadline date/time for return. The envelope must be addressed to the Head of Service/Senior Officer/Manager. Customer Services to be advised of arrangements for quotation/tender return if not tendered electronically.

f) Quotation/Tender envelopes shall be kept in a secure place by the Head of Service until it is time for them to be opened.

g) All quotations shall be opened at the same time, if possible, on the day that quotations/tenders close.

h) The Head of Service/Senior Officer/Manager can accept the most favourable lowest quotation as long as it is for less than £172,514 and in accordance with the council’s selected scoring method.

4.9.3 Contracts in excess of £172,514** in total value for SUPPLIES (GOODS) AND SERVICES

a) EU Rules apply – full competitive process following advertisement in the OJEU.

b) If estimated cost of scheme is £150,000 or above, and nearing OJEU limits officers will be advised to advertise in OJEU as tender returns could put the price over the current thresholds.

c) In addition to the OJEU publication an advert should be placed in the following reflecting the same timescales in the OJEU advert;

South East Business Portal (local procurement portal) Contracts Finder (Government’s online procurement service)

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Adverts could also be placed on Council website, relevant trade journals and local press

These notices should not be published before it has been published on OJEU or at least 48 hours have elapsed from the receipt of the confirmation of the notice from OJEU.

d) At least 5 written tenders shall be invited and tendered electronically.

4.9.4 Contracts estimated to be between £172,514** and £4,332,012** in total value for WORKS

a) At least 5 written tenders in advance following advertisement by public notice on the South East Business Portal (SEBP), and if required any other routes to advertising as appropriate, giving potential suppliers at least ten clear working days to express an interest, and electronically tendered. (unless the requirement has been waived – CSO 1.7 or Emergency Works) and tendered electronically.

b) The project must be advertised through Contracts Finder the Government’s online procurement service.

c) Current incumbent(s) of scheme, or last supplier(s) (max. 2) to deliver similar works invited to quote/tender automatically (if appropriate)

d) The Head of Service must prior to selecting any prospective tenders have a clearly written selection criteria. The selection criteria shall not include any non-commercial matters unless the Head of Legal and Democracy is satisfied that the provisions of the Local Government Best Value (Exclusion of Non-Commercial Considerations) Order 2001 apply. Criteria should be clearly detailed in ITT

e) The Head of Service needs to be satisfied, as far as possible, that anyone invited to tender for the work is technically competent and in a position to fulfil the contract.

f) The tenderer who submitted the most favourable tenderer may be financially vetting. If an unsatisfactory financial reference is obtained, the supplier will be disqualified.

g) A Surety Bond or guarantee from a parent company is not required unless specifically requested by the Head of Service. If a Surety Bond is required for any contract, then the tender documentation needs to ask all tenderers to price for the Bond as a separate item.

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h) The Head of Service can accept the most favourable tender received as long as it is for less than £4,332,012.

4.9.5 Contracts estimated to be £4,332,012** plus for WORKS

a) EU Rules apply – full competitive process following advertisement in the OJEU.

b) In addition to the OJEU publication an advert should be placed in the following reflecting the same timescales in the OJEU advert;

South East Business Portal (local procurement portal) Contracts Finder (Government’s online procurement service) Adverts could also be placed on Council website, relevant

trade journals and local press.These notices should not be published before it has been published on OJEU or at least 48 hours have elapsed from the receipt of the confirmation of the notice from OJEU

c) At least 5 written tenders shall be invited and tendered electronically.

d) The Head of Service must prior to selecting any prospective tenders have a clearly written selection criteria. The selection criteria shall not include any non-commercial matters unless the Head of Legal and Democracy is satisfied that the provisions of the Local Government Best Value (Exclusion of Non-Commercial Considerations) Order 2001 apply.

e) Prior to inviting tenders a satisfactory financial reference must be obtained in respect of the proposed tenderer together with evidence of technical competence.

f) A Surety Bond or guarantee from a parent company is required unless the Head of Service determines otherwise. If a Surety Bond is required for any contract, then the tender documentation needs to ask all tenderers to price for the Bond as a separate item.

g) Management Team approval to be obtained to accept the most favourable tender if within budget

4.10 EU Tender Thresholds

4.10.1 Any contract with a total value of more than the amounts listed below are subject to The Public Contracts Regulations 2015 and the Council is required to advertise the contract opportunity in the Official Journal of the European Union (OJEU) via different types of Notices. The thresholds are reviewed every two years with the latest review completed in 1 January 2014. The current thresholds are:

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Type of Contract ThresholdService & Supply (Goods)

£172,514

Works £4,322,012Source: OJEU 01/01/14

4.10.2 Types of OJEU notice

There are three main types of OJEU notice:

Prior Information Notice; Contract Notice; Contract Award Notice.

4.10.3 Prior Information Notice (PIN)

PINs are advanced notice of a Contract Notice and inform interested economic operators that a tender will happen at a later date. Issuing of a PIN reduces the amount of time spent in the tender process

4.10.4 Contract Notice

This notice is prepared for each contract. The purpose is to let the market know that tendering for a specific demand is envisaged. The notice must follow a certain form and must provide specific details of the contract including conditions for applicants to be selected for the contract

4.10.5 Contract Award Notice

Within 48 days of the award of a contract, you must despatch a contract award notice, detailing to whom the contract was awarded. Such notice applies to all contracts over the O.J.E.U. thresholds. Central Government and the EC monitor Council expenditure through these notices. The Council can be fined for not issuing Contract Award Notices.

4.10.6 EU Tendering Timescale

The Public Contracts Regulations 2015 apply to all procurements commenced on or after 26 February 2015.

The contract award procedures come with an array of minimum timescales, and possible reductions to those timescales. In addition, for procurements under the 2015 Regulations, non-central government contracting authorities enjoy a certain amount of flexibility around the setting of timescales, subject to agreement with and safeguards for bidders.

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Note that the periods given are the minimum timescales permitted by the legislation. Consideration should always be given to the complexity of the procurement, and a reasonable time must be given to allow suppliers to compile their responses. (see Table at Clause 4.10.8)

4.10.7 EU Tendering Procedures

The Public Contracts Directive provides for five award procedures;

Open – all those interested may respond to the advertisement in the OJEU by submitting a tender for the project

Restricted – a selection is made of those who respond to the advertisement and only they are invited to submit a tender for the project

Competitive with negotiation – a selection is made of those who respond to the advertisement and only they are invited to submit an initial tender for the project. The council may then open negotiations with the tenderers to seek improved offers

Competitive dialogue – a selection is made of those who respond to the advertisement and the council enters into dialogue with potential bidders who will be invited to tender.

Innovation partnership – a selection is made of those who respond to the advertisement and the council uses a negotiated approach to invite suppliers to submit ideas to develop innovative works, supplies or services aimed at meeting a need for which there is no suitable existing ‘product’ on the market. The council is allowed to award partnerships to more than one supplier.

It also remains possible, albeit in very limited circumstances to use a negotiated procedure without a notice (see Table at Clause 4.10.8)

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4.10.8 EU Tendering Timescale and Procedure Note: days are calendar days unless stated otherwise

Choice of procedure and stage

Standard timescales

Options for sub-central contracting authorities

Tenders submitted electronically

Requirement is urgent and longer time limit is impractical as a result

PIN (Prior Information Notice) published no more than 12 months and no less than 35 days from despatch of contract notice

OPEN

Despatch of contract notice to receipt of responses

35 days 5 day reduction Period reduced to 15 days

Period reduced to 15 days

Standstill 10 days

RESTRICTED

Despatch of contract notice to receipt of responses

30 days Period reduce to 15 days

ITT to receipt of bids 30 days May agree time-limit with tenderers – in absence of agreement minimum period is 10 days

5 day reduction Period reduced to 10 days

Period reduce to 10 days

Standstill 10 days

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COMPETITIVE WITH NEGOTIATION

Despatch of Contract Notice to expressions of interest

30 days Period reduced to 15 days

ITN to receipt of initial tenders

30 days May agree time limit with tenderers – in absence of agreement minimum period is 10 days

5 day reduction Period reduced to 10 days

Period reduced to 10 days

Standstill 10 days

INNOVATION PARTNERSHIP

Despatch of contract notice to expressions of interest

30 days

Standstill 10 days

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4.11 The Public Services (Social Value) Act 2012

The Act applies to all council service contracts (as defined under The Public Contracts Regulations 2006). That is those service contracts valued at or above the European Public Procurement threshold. However, as good practice the council should consider the provisions of the Act in all procurements.

Officers must consider Public Services (Social Value) Act 2012 and how what is proposed to be procured might improve the economic, social and environmental well-being of the relevant area and how in conducting the process of procurement, it might act with a view to securing that improvement.

Example of typical social value issues include: Economic – use and development of local supply chains, pledge to

support the local economy, recruitment of apprentices Social - provision of work experience opportunities, volunteering,

community liaison, employment of long term unemployed Environmental – purchase of ‘low emission’ vehicles, proposals for

recycling waste materials, use of low energy equipment (see Environmental Procurement below)

The includes the provisos that: The authority considers only matters that are relevant to what is being

procured The consideration of matters must be proportionate The principles of value for money and equal access are preserved

The process of taking social value into consideration might include: When procuring specific contracts, identifying relevant, non-

discriminatory matters of social value that are proportionate and appropriate

Preparing verifiable, testable, weighted selection criteria along with any special conditions that might be included in contract terms

Including social value criteria in OJEU contract notices and other notices, as well as tender documents

Requiring tenders to demonstrate how social value will be created and delivered.

Monitoring the delivery of social value

4.12 Environmental Procurement

4.12.1 Procurement is important to the Council’s environmental strategies and the well-being of the borough as a whole.

Green (environmentally friendly) products are not necessarily more expensive. The initially cheaper products may cost more in the long term when whole-life costs are taken into account. These whole-life costs (e.g. burden on air-conditioning plant of less energy efficient IT

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Part 4 Rules of Procedure -Procurement Guidance

equipment) along with administrative costs (e.g. health and safety requirements for hazardous substances), disposal costs and any likely changes in legislation must be taken into consideration. Purchases that do not take into account positive environmental factors or those that avoid the consequences of adverse environmental factors must be challenged.

4.12.2 Specification of Environmentally-Friendly Supplies

A certain amount of freedom is allowed under EU Procurement Directives in specifying green requirements, for example that a product should be made of recyclable materials or that particular materials such as ozone depleting substances should not be used. The manner in which the requirements are specified must not discriminate against providers or against products from other EU member states.

4.13 Transfer of Undertakings (Protection of Employment) Regulations (TUPE) and Procurement

The Transfer of Undertakings (Protection of Employment) Regulations 2006 (SI 2006/246) and the European Acquired Rights Directives protect employee’s rights in circumstances where the business in which they work transfers by transferring their employment on the same terms and conditions with continuity of service. In addition, dismissals for a reason connected with a transfer will generally be unfair.

4.13.1 What is a transfer? TUPE applies in “relevant transfers” which may occur in a range of situations. Broadly they fall into the categories of business transfers or service provisions transfers.

Service Provisions transfers are the main area which impacts on the Council’s procurement. These generally happen in one of three ways:

a) where services are carried out by the Council and then outsourced to an outside contractor; or

b) where services are carried out by an outside contractor and are then re-assigned to another outside contractor; or

c) where services are carried out by an outside contractor and are then brought in-house and carried out by the Council

TUPE does not apply where the contract is mainly for the supply of supplies or the activities carried out are in connection with a single specific event or task of short-term duration.

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4.13.2 TUPE and Council Tenders/contracts In preparing any tender/contract for services consideration should be given to any TUPE implications that may arise.

TUPE transfers of staff will exist between the existing contractor or contractors providing the service and the incoming contractor or contractors who will subsequently be providing the service. Whilst the transfers will be the responsibility of the contractors concerned, the Council will need to make any potential transfer known in any tender documents in order that tenderers can submit accurate prices and can make themselves fully aware of their obligations.

Any tender documents must include a contact point at the current incumbent from which TUPE transfer information can be sought and/or details of staff for whom TUPE will apply. Under TUPE the current incumbent is required to provide certain employee information to the incoming employer/contractor.

The Council should also give consideration to the incumbent contractor in allowing them sufficient time to notify their staff of a potential TUPE transfer in good time for any tender or other reprovision of the service. Any employer/contractor transferring staff under TUPE does have a duty to provide specific information and conduct adequate consultation with its staff prior to any transfer taking place.

The Council’s standard contract terms for services contain a requirement for contractors to supply TUPE transfer information for any reprovision of the service.

The standard terms also dictate that the Contractor cannot artificially increase the terms and conditions of staff subject to transfer prior to any TUPE transfer.

Legal Services should be contacted for advice prior to any tender in which TUPE may apply.

5.0 Procurement of External Expertise

The following principles and amended procedures are intended to strengthen the justification, decision-making and transparency around the contracting-in of certain external expertise. They apply regardless of the source of funding. Further, these procedures introduce arrangements for managing and reporting of decisions or proposed actions to waive the need for tenders or quotations for providing services.

A copy of the Online Form to be submitted to Management Team is found in Appendix A

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5.1 Section A – Buying-in of External Expertise (redefining the ‘use of consultants’)

The following information is intended to:

Distinguish between the various types of need for which external expertise is needed. This is so a clearer understanding may develop of the council’s needs, given the ‘use of consultants’ has had greater prominence as a transparency matter with members, the media, and the public.

Create suitable procedures to justify, manage and oversee decisions about buying external expertise.

Create procedures to manage and report the use of the ‘exception rules’ to contract standing orders, which allow the award of a contract by waiving the need for formal tenders or quotations.

5.2 Defining ‘external expertise’

Three categories of external expertise are defined as follows;

5.2.1 ‘Specialist advice or specialist services’ that are not considered normal day-to-day operational service activity

‘Specialist advice or services’ are external advisory or professional services engaged to:

(a) help the council (as a whole or any of its services) develop new policy or new practices, or consider choices to inform decision-making that are not ‘business as usual’ decisions (see category 3 below)

(b) help carry out non-business as usual decisions taken by the council in circumstances where the council would not usually have the required expertise to take forward a decision made (for example, expertise to help deliver a significant project).

Examples include:

(i) providing external validation of internal work(ii) providing specialist expertise/skills/advice or analysis that is not

available in-house (for example, specialist tax, non-contentious legal and planning advice) and is to inform material policy or procedural change, or choices for actions that are not part of normal day-to-day operational service activity and potentially where budgets need to be set.

(iii) helping implementation of organisational change or with some other significant project where the required expertise is not available in-house

(iv) providing objectivity or independence where in-house work may lead to accusations of bias

(v) professional judgment as technical collateral (for example expert witnesses)

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(vi) providing support for high-risk or high value projects

5.2.2 Interim support

Interim support is external expertise engaged to help with normal service delivery or carrying out decisions where a council officer would usually perform the role, if available.

Typically, interim support is used to cover for lack of staff because of vacancies or long-term leave (for example maternity cover), and usually involves a fixed term.

5.2.3 ‘Business as usual’ normal day-to-day operational service needs that can only be sourced externally

‘Business as usual’ needs refer to the normal course of day-to-day operational service activity and its support (in other words ‘routine’). In this case external expertise is that which can only be provided by external advisers or professional services as the council does not have, could not have or would not usually be expected to have the required expertise to be capable of performing the role.

There are several examples of this need: occupational health advisers, independent legal advice or support (including counsel and solicitor advocates), routine engineering or surveying advice etc.

If a procurement is treated as falling within one of the three categories above it does not and will not be deemed to fall within any other category

5.3. Processes to follow for each expertise type:

5.3.1 Category 1. Specialist advice or specialist services

The justification to engage specialist advice or services under the definition at Section A must:

In advance be set out by completing the ‘specialist adviser or services’ online standard form.

(a) Be sent to the Corporate Director (Finance and Economy) to keep a central record.

(b) Be considered by the Management Team where the estimated value of service exceeds £15,000 and budget is available.

(c) In cases where no budget is available the Management Team must consider whether alternative budgets are available and if not a report on the matter must be presented to the Cabinet, if not within the Management Team’s limit of delegation.

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(d) Follow the council’s contract standing orders governing the need for quotations or tenders. Note, that other than in circumstances where the council’s ‘emergency’ or ‘urgency’ procedures apply, or where the proposed new waiver covering certain legal service needs applies no waiver of the requirement for public advertisement for services valued at greater than £150,000 will be permitted. This is for two reasons:

(i) the council is under a mandatory duty to achieve best value and at this level of contract value it is considered essential to test the market appropriately and open up the potential for competition.

(ii) the level is close to the European Procurement threshold for service contracts (currently £172,514). Under EU procurement regulations services are defined as either Part A or Part B. Separate guidance on the EU procurement rules will be provided by the Head of Legal and Democracy.

5.3.2 In cases where a manager proposes to waive the need for quotations or tenders above the minimum of £15,000 the procedures for ‘single supplier sourcing’ must be followed (see CSO 3.1 and Procurement Guidance 3.1)

5.3.3 Liaise with the Head of Legal and Democracy over the terms and conditions of a proposed contract.

Note: the Corporate Director (Finance and Economy) may postpone payments if these procedures are not followed and refer the matter to the Head of Service and the Management Team for swift resolution and action.

5.3.4 Category 2. Interim support

The justification to engage interim support must:

In advance follow the council’s procedures for engaging temporary or agency staff and be the subject of a ‘request to fill (by agency)’ to Management Team (following the same procedure for permanent recruitment).

(a) Assuming approval is given to proceed, then engagement must follow the procurement procedures for temporary and agency staff involving first consideration by one or more of the council’s three preferred suppliers (see the Intranet for full guidance).

(b) Where under that guidance a preferred supplier is unable to fulfil needs, the agreement of the Head of HR and Customer

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Services is needed for a manager to procure from another source. This will be recorded by Personnel and Development.

(c) A check on the employment status of any individual engaged for interim support must be made with the Head of HR and Customer Services. This is important given the potential employment rights for and tax implications of agency staff.

(d) No extension beyond 12 months will be allowed without referral to Legal Services and the justification considered by the Management Team.

Note: the Corporate Director (Finance and Economy) may postpone payments if these procedures are not followed and will refer the matter to the Head of Service and the Management Team for swift resolution and action.

5.3.5 Category 3. Business as Usual’ external only expertise

Buying of services for normal day-to-day operational service activity that can only be provided externally must follow the council’s contract standing orders and importantly the rules governing the need for tenders or quotations. Note, that other than in circumstances where the council’s ‘emergency’ or ‘urgency’ procedures apply, or where the proposed new waiver covering certain legal service needs applies no waiver of the requirement for public advertisement for services valued at greater than £172,514 will be permitted

(a) In cases where a manager proposes to waive the need for tenders or quotations above the minimum of £15,000 the procedures for ‘single supplier sourcing’ must be followed (see CSO 3.1 and Procurement Guidance 1.1)

(b) Liaise with the Head of Legal and Democracy over the terms and conditions of a proposed contract

(c) A check on the employment status of any individual engaged must be made with the Head of HR and Customer Services. This is important given the potential employment issues and tax implications of self-employed contractors

(d) Unless the procurement has stipulated a longer term need (exceeding 12 months) any later extension of arrangement must be the subject of prior consultation with Legal Services and receive the approval of the Management Team.

Note: the Corporate Director (Finance and Economy) may postpone payments if these procedures are not followed and refer the matter to the Head of Service and the Management Team for swift resolution and action.

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6.0 Tendering

6.1 E-Tendering

All public sector buyers will be required to carry out procurement electronically by 2016. This will include posting all contract opportunities online, making all tender documents available, the electronic submission of bids and making all communication digital.

It may not be appropriate to undertake e:tendering for certain projects, ie. if a scale model needs to be provided.

(a) Invitations to tender despatched and tenders received by electronic means via an Electronic Tender Facility. All e-tendering must comply with EU procurement legislation where applicable.

(b) Tenders received electronically via the Electronic Tender Facility must be held in an Electronic Tender Time-Box until after the appointed closing date and time.

(c) Tenders held in an Electronic Time Box must all be opened at the same time by an authorised officer after the appointed closing date and time for Electronic Tender Time Box has passed and the Tender details recorded. If the estimated cost of the project is £172,514 or more, a member of the council and a representative from the Audit Department will attend the tender opening.

(d) Where any original Tender documentation is to be submitted in hard copy instead of electronically as part of the tender process using an Electronic Tender Facility, such documentation shall be addressed to the Customer Contact Centre and all documentation shall remain in the custody of this section until the time appointed for its opening.

(e) No person shall disclose the value, number or any other detail of the tenders received to any tenderer or anyone not involved with the tender evaluation procedure.

(f) No tender received after the time and date specified in the invitation to tender for the submission of the tender will be considered.

6.2 Tender/Quotation Return: Receiving, Looking after and Opening of Tenders

6.2.1 Except in the case of electronic tendering via the Electronic Tendering Facility for which the rules in CSO 6.3 and Procurement Guidance 6.1 shall apply, the receipt and opening of Tenders shall be conducted as follows;

6.2.2 No Tender/Quotation can be considered unless it is received in a plain sealed envelope or package which clearly state "Tender" or “Quotation” followed by the subject to which it relates, and which bear no mark or identification of the sender. The envelope or package must

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be addressed to the Customer Contact Centre for Tender or Head of Service for quotes. Tenders must be securely looked after by the Customer Contact Centre until they are passed to the Head of Service at the time when they are due to be opened. Quotes to be retained by the Head of Service

6.2.3 All Tenders shall be opened at the same time, if possible on the day that the Tenders close. If the estimated cost is £172,514 or less, they may be opened by the Head of Service, or their designated officer in the presence of another Officer.

6.2.4 When the estimated cost exceeds £172,514 tenders must be opened in the presence of the Head of Service, or their designated officer, a Member of the Council and a representative from the Audit Partnership. The Customer Contact Centre must not release the Tender envelopes until these people are available.

6.2.5 When opening Tenders, Heads of Service must make sure that a Tender Return Sheet is completed. Each Tender sum must be recorded on this Sheet, which must be signed by all those present at the opening and passed to the Head of Financial Services with a copy to the Head of Internal Audit.

6.2.6 The Head of Service is responsible for keeping the Tender documentation safe during the evaluation process, after which the successful Tender forms part of the contract. The second most acceptable Tender should be kept by the Head of Service for a minimum of three months.

6.3 Tender Evaluation

6.3.1 European legislation requires that all tender evaluations are carried out in distinct steps between selecting of contractors and the award criteria. For tenders carried out using the restricted procedure the PQQ stage will from the first of these steps. Under other procedures economic operators must satisfy the council’s basic requirements.

All contract awards must be made to the “Most Economically Advantageous Tender” (MEAT), which should include best ‘price-quality ratio’. Only for basic commodities should price be the key factor.

“Price” should be assessed using whole life costings applicable to all Works/Goods/Services being procured.

“Quality” should include all criteria which will be used to assess the quality of the procurement activity.

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6.3.2 Award criteria should consider quality, capability and price. Suggested criteria include:

Price Whole life costs Quality levels Plans for service improvement Empathy with and contribution to corporate goals and

objectives Aesthetic and functional characteristics Contribution towards Social Value (economic, social and

environmental well-being of the local community Skills Technical merit and technical assistance. In Works contracts

include an assessment of Health and Safety Statements and plans in accordance with the CDM regulations

Investment Impact on staff Innovation Impacts on assets and infrastructure Shared risk and reward Evidence of sustained and improved service delivery Guarantees After sales services

6.3.3 To make sure you are comparing like with like, you must ensure that the prices offered relate to the specification and the criteria you have selected for award

The following checklist should help:

Check all bids received comply with the specification – you may have to examine plans, drawings, samples, etc.

Check the tenderer has answered all the questions. Make a schedule for evaluation, which compares each bid

against your declared award criteria Where appropriate, arrange presentations by tenderers. Consider the “whole life” costs where appropriate (they should

be indicated as criteria within the tender) Ensure you have budgetary provision It is not good practice to get involved in general conversations or

routine meetings with tenderers during the tender process. You should state a date where final clarification can be sought, and a route to advise all tenderers of the outcome of any clarification during the tender process. This should be in sufficient time before the tenders are due to be submitted.

Never discuss details of a bid with any other tenderer – respect commercial confidentially

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Reach a conclusion that you are confident meets the requirement of your award criteria.

6.4 Abnormally low tender

The Council can demand an explanation where a tender appears to be abnormally low, and bids can be rejected where this explanation is unsatisfactory.

6.5 Evaluation Process

Tender evaluation should be undertaken by the tender project management team, the team should draw up the tender evaluation criteria (including possible scorings) prior to issuing an invitation to tender as all tenderers must be aware of how a contract will be awarded. The following will provide guidelines that can be used for many tender evaluation processes:

eliminate any tenders that do not meet the essential minimum criteria, eliminate any submissions not received by the published deadline eliminate any submission that has significant omissions, which will

hinder the ability to conduct a full evaluation. the arithmetic in compliant tenders must be checked. If arithmetical

errors are found they should corrected and should be notified to the tenderer, who should be requested to confirm or withdraw their Tender.

do not try to “read into” what may be meant, if part of the tender is not clear it is appropriate to seek clarification.

prepare a simple matrix to evaluate the selected quality criteria using pre-determined weightings for each element. Criteria must be advertised in the tender in descending order of priority.

devise a matrix with the criteria that also shows how the scoring will be judged

devise a scoring system that awards marks dependent on how well the criteria are addressed.

sufficient people should be involved in quality assessment to ensure that no single person influences the assessment. Assessments should be carried out in isolation to ensure that collusion does not take place. The various assessments can then be drawn together to provide an overall scoring.

6.6 Price Assessment

A number of different pricing assessments can be used. An example of an assessment is shown below where the lowest price being is awarded 100 marks then subsequent tenders being awarded marks dependent on how much above the lowest tender they are:

An example below of the CIPFA (Chartered Institute of Public Finance and Accountancy pricing score method based on the maximum points x (100% - % above lowest price)

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Example

Price % above lowest price (price – lowest price) / lowest price x 100

100% - % above lowest price

Points calculation Maximum points x (100% - % above lowest price)

Points

£500 0/500 x 100 = 0 100% - 0% = 100% 100 x 100% 100£600 (600-500)/500 x100 = 20% 100% - 20% = 80% 100 x 80% 80 £700 (700-500)/500 x100 = 40% 100% - 40% = 60% 100 x 60% 60£800 (800-500)/500 x100 = 60% 100% - 60% = 40% 100 x 60% 40

Source: CIPFA Pricing Score Method

6.7 Tender Negotiation

6.7.1 Where a negotiated procedure is used:

(a) there must be a clear and rigorous method of evaluating Tenders that takes account of price, quality, innovation and improvement.

(b) all prospective Tenderers must be told in advance how the evaluation will be carried out.

(c) at least two Officers must carry out the evaluation and agree on the results.

6.7.2 Where post-Tender negotiations take place:

(a) they must always be carried out by more than one Officer from the Council.

(b) clear delegation limits must have been given to the negotiators.

(c) an accurate written record must be made promptly following all formal and informal meetings.

(d) the results of negotiations must be fully documented.

6.8 Tender Results and Standstill Period

6.8.1 All tenderers for a contract must be notified simultaneously and as soon as possible of the intention to award the contract to the successful tenderer, stating a minimum of the following:

The award criteria The ranking of the tenderer in the tender evaluation the name of the tenderer who submitted the most favourable

tender the prices submitted/and or the price/quality assessment (not

connected to the tenderer’s name)

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and, the relative benefits of the most favourable tender (if appropriate)

6.8.2 For all contracts with a value exceeding £75,000 the council will apply a standstill period (following the Alcatel procedure) notifying all tenderers of the outcome of the tendering exercise giving a minimum of 10 calendar days (if tenderers notified electronically) and 15 calendar days (if non-electronic notification) for comments. The contract cannot be signed until this period has expired. The first day of the standstill period is the day after the Alcatel Notices are sent and the period ends at midnight on the last day. If the last day of the period is not a working day then the period must be extended to midnight on the next working day.

6.8.3 In the case of contracts with a value in excess of the EU threshold, the outcome of the tendering exercise must be formally notified to unsuccessful Tenderers prior to the Alcatel procedure in accordance with the procedure set out in 6.8.1 above. The successful Tenderer must be advised that the Council may:

(i) until the contract has been signed either abandon the procurement or cancel the award procedure without the tenderers being entitled to claim any compensation.

(ii) suspend signing the contract for additional examination, if justified by requests or comments made by unsuccessful tenderers during the standstill period or by any other relevant information received during that period.

6.8.4 If the decision to award is challenged by an unsuccessful tenderer then the contract will not be awarded and the matter shall be referred to the Senior Officer and the Head of Legal and Democracy if necessary.

6.8.5 In compliance with the Commonhold and Leasehold Reform Act 2002 where a contract contains work to leasehold properties a Notice of Estimates is sent to leaseholder’s when tenders are received and evaluated, prior to the contract being signed, detailing the leaseholders estimated contribution. Tenderers should be made aware that their tendered prices may be disclosed prior to a formal contract being signed. This notice can be sent at the same time that price notification is sent to all tenderers.

7.0 Contractual Arrangements

7.1 General Requirements

7.1.1 All Official Orders must comply with the requirements of Financial Procedure Rules. They must not incorporate or be deemed to incorporate (by acknowledging a Contractor’s Official Order or

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otherwise) any condition unless that condition has been approved by the Head of Legal and Democracy.

7.1.2 If any proposed Contract for the supply of goods, plant, equipment, machinery or vehicles requires or will necessitate either the supplier or a third party providing maintenance or support the Head of Legal and Democracy needs to approve the terms for such maintenance and/or support.

7.1.3 Every Contract over £172,514 shall be under seal unless the Head of Legal and Democracy agrees it is inappropriate. A Contract of £172,514 or less can be under seal if; the Head of Service considers it should be. If the Council wishes to enforce the contract more than six years after its end then it should be made as a Deed, not necessarily under seal.

7.1.4 It is a requirement of the Local Authorities (Executive Arrangements) (Modification of Enactments and Further Provisions) (England) Order 2001 that any contract required to be in writing by virtue of these Procedure Rules must either be under seal or signed by at least two Officers of the Council.

7.1.5 The Head of Service is subject to the provisions of the Contract Standing Orders and Procurement Guidance and is authorised to sign contracts not required to be under seal.

7.1.6 Financial vetting (carried out by Financial Services) of a supplier should only be undertaken, in the opinion of the council, if a significant risk has been identified. The Head of Service, or their delegated representative is responsible for undertaking a risk assessment. The following general guidance should be followed:

Goods and Services;

a) Payment on delivery/completion

b) If there is significant risk that the goods will become defective then financial checks should be undertaken, and an insurance backed warranty should be provided to cover the risk.

c) Simple goods (no working parts); payment on delivery and no financial check necessary

d) Complex goods; with a value for any individual item exceeding £5,000 or collective value exceeding £50,000 an insurance backed warranty to cover all costs should be provided in addition to any product liability insurance, financial check may be required following risk assessment

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e) Where payment or commitment in advance is unavoidable, and the value of the goods is in excess of £5,000 then a financial check should be sought with the supplier’s permission.

Works;a) The complexity, type of property and contract period for the

project, not simply the value of the works should be risk assessed.

b) Payment on completion of work significantly reduces risk.

c) Generally, contractors engaged on projects with a contract period in excess of 26 weeks, and for projects undertaken on commercial property with a contract period in excess of 4 weeks should be financially vetted.

d) Where the failure of the contractor to complete the project for any reason would result in significant loss, delay or disrepute to the Council then the contractor should be financially vetted

e) Consider asking the contractor to supply a Surety Bond or Parent Company Guarantee

7.2 What the Contract must include;

7.2.1 Every Contract must:

(a) specify what goods, services or work are to be supplied or performed.

(b) specify the price to be paid, the estimated price or basis upon which the price is to be calculated (including inflationary issues where appropriate), and say what discounts or other deductions have been agreed.

(c) specify the time or times within which the Contract is to be performed

(d) Include standard Terms and Conditions in a form agreed by Legal Services.

(e) Include supplier’s Terms and Conditions, provided to Legal Services so that onerous provisions can be amended or the risk can be acknowledged and managed by the Responsible Officer

(f) require that goods or services used or supplied and workmanship carried out is in agreement with the appropriate Standard. If there is an appropriate and current Agreement, Standard Specification or Standard Code of Practice issued by either the British Standards Institution or a recognised body of any Member state of the EU, then that Agreement and/or Standard should be specified with the addition of the wording “or equivalent”.

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(g) ensure that relevant Council policies (including its whistle-blowing policy in the case of directly employed consultants) are reflected in the documentation.

(h) provide for liquidated damages to be paid by the Contractor if any Contract for works or services worth more than £15,000 is not carried out properly in relation to the terms of the contract. This provision shall not apply to the supply of goods, plant, equipment, machinery and vehicles or if the Head of Service does not feel it is appropriate. A Contract worth £15,000 or less may provide for liquidated damages to be paid by the Contractor if the Head of Service considers it appropriate

(i) if possible, make provision for continuous improvement in accordance with the principles of Best Value.

(j) include, where a contract is let on the basis of cost/quality criteria, the management processes and procedures accepted through the quality submission that must be adhered to for all material/services procured through that contract

7.2.2 Every Contract must include a clause which allows the Council to cancel the Contract and recover from the Contractor any subsequent loss if:

(a) the Contractor (or any of his employees) has offered or given any gift or other benefit to an Officer in an attempt to influence the outcome of a Contract decision.

(b) the Contractor has shown (or not shown) any favour or disfavour to any person in relation to the Contract.

(c) the Contractor (or any of his employees) commits an offence under the Prevention of Corruption Acts 1889 to 1916, or any subsequent amendments to these Acts.

(d) the Contractor (or any of his employees) gives any fee or reward that is an offence under Section 117 Sub-Section (2) of the Local Government Act 1972.

7.2.3 The Head of Legal and Democracy may waive the requirement of Procurement Guidance 7.2.2 if he feels that it is not appropriate. The reason for any waiver must be recorded in writing and retained with the contract documentation.

8.0 Managing Contracts

8.1 Introduction

Contract Management makes sure that all parties to a contract fully understand their obligations and fulfil them as efficiently and effectively as possible to maximise best value. Every contract must have a Contract

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Manager who will be responsible and accountable for the contract and its performance

Once the contract is in place the contract management function has two main interdependent components;

The performance of the contract and the establishment and management of various processes, procedures and protocols that underpin the contract, including the identification, allocation and management of risks.

The relationship between client and contract

8.2 Contract performance

The Contract Manager has specific duties and responsibilities;

Managing the relationship Monitoring costs Reviewing and reporting on performance Agreeing variations Authorising payment Dispute resolution and, where conciliation fails, applying the sanctions

provided for in the contract, which may include termination Keeping records and ensuring an audit trail Assessing and managing risk Encouraging continuation improvements Maintaining ethical standards Contingency planning Managing the change from one contractor to another Supervision of the contract Resident and stakeholder liaison

8.3 Performance/contractor failure and management

Risk is a significant factor that the Contract Manager must manage if the best is to be drawn from the contract

The level of risk associated with an individual contract will depend on the type and length of the contract, the stability of the service, conditions in the supply market and the risk to the user in terms of cost, quality and the impact of contract failure.

It is vital to ensure that any means devised to lessen the likelihood of risk include practical early termination provision, indemnity and insurance provisions.

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8.4 Variations

In all but the most specific or short term contracts, there may be a need to deal with variations. These are not necessarily matters that you can control or predict, but a well-constructed contract will cover most eventualities (for example it will include provision for extensions by time, volume, value and continuous improvement in performance and cost)

Processes for variations are included within the terms and conditions of a standard contract and may be dealt with my Contract Managers as negotiated variations. However, the Corporate Director (Finance and Economy) may become involved in the original contract sum is likely to be exceeded (CSO 7.3). In any event, details of changes must be recorded in writing.

8.5 Price

Unless there is a fixed price arrangement, in the running of most contracts there comes a time when your supplier may want to adjust the price. If the Contract is constructed properly, it will contain a clear basis on which such adjustments can be calculated.

Contract Standing Orders allow for variations and are specific about who has authority to deal with these.

There are various techniques that can be used to control price escalation or decrease. Cost related formulae, indices or specific relationships with published prices are most commonly used. When using indices make sure they are relevant to the requirement – do not assume that the Retail Price Indices is necessarily the best, or only, benchmark. Advice should be sought from the Head of Finance.

8.6 Other changes

In long term contracts there may be changes of requirement and technology. There may be changes to increase efficiency. The contract arrangements should be flexible enough to accommodate these.

8.7 Dealing with poor performance

There are occasions when contracts do not work satisfactorily. It is a primary role of the Contract Manager to deal with these issues and there are some essential elements to this process;

Deal with problems urgently Define and understand the cause of the problem Determine the extent of client, user and contractor involvement Consider whether and at what stage sanctions are appropriate Agree performance criteria and review progress Keep everybody informed

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Record everything, maintain a site diary Ensure that all communications are acknowledged Ensure that termination provisions are adequate

8.8 Termination

When the contract terminates, it comes to an end. Usually this is a predicted and natural conclusion causing little or no discomfort to either party. However an unplanned termination may have significant impact on the Council’s operations and the Contract Manager must ensure that there is an exit strategy to minimise this risk.

Every contract must contain a clause that allows for immediate termination in the case of liquidation, bankruptcy, corruption, collusive tendering or a material break.

It is also wise to include a clause that provides for termination on the grounds of poor performance. In such cases however you will need to ensure that reasonable notice is given and there is clear documentary evidence to support termination.

Any decision on contract termination must be referred to the Head of Legal and Democracy.

8.9 Nominated and/or Named Sub-Contractors or Suppliers

8.9.1 No Sub-Contractor or supplier is to be nominated or named unless the proposed Sub-Contractor or supplier has been vetted for technical competence.

8.9.2 In the case of nominated Sub-Contractors:

(a) These Contract Standing Orders/Procurement Guidance shall as far as possible operate as if the Contract were between the Council and the Sub-Contractor.

(b) the terms of the Tender or Quotation must require the proposed Sub-Contractor to agree that (if selected) he will enter into a Contract with the main Contractor on terms similar to those in the main Contract as far as the work to be undertaken or goods to be supplied is/are concerned.

(c) the Head of Service must tell the main Contractor the identity of the Sub-Contractor whose Tender or Quotation is, in his opinion, the most satisfactory. If that nomination is accepted by the main Contractor, the Head of Service shall accept the Tender or Quotation of the Sub-Contractor.

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8.10 Contracts Register

Each Contract Officer will be expected to update the Contracts Register on a quarterly basis, with the following information;

Department/Section Project Contract Contract reference number and/or OJEU reference number Information provided by (name of officer) Total Value (aggregate value if longer than 1 year, or a series of

continuations/call offs): estimate or tender total Start Date End Date Extension Period Contract Award date Supplier/Contractor Details – Name and Location (local office to be

used if applicable) Contractual Arrangements: agreement, formal contract (type of

contract used), framework (in house or 3rd party), how order was placed How works have been procured: tenders/quotes How Supplier/Contractor sourced, approved list, public advert, other

means Enterprise Category (SME Status – Small, Medium Enterprise):

Medium/Small/Micro or Voluntary or Charitable organisation VAT Information (Value Added Tax that cannot be recovered) Notes

8.11 Custody and Retention of Contracts

8.11.1 The Head of Legal and Democracy is responsible for safely looking after all Contracts. Officers should keep copies for their records

Contracts signed as a deed should be retained for 12 years. Contracts not signed as deeds should be retained for 6 years.

9.0 Partnering

9.1.1 There is an increasing requirement for partnering contracts. In so far as such is to be with the private sector these procedure rules will apply but such arrangements may be considered a special circumstance and the provisions of CSO 1.7(b) may apply. Prior to the commencement of any negotiations (as compared to establishing whether such partnering may be of benefit to the Council) the Head of Service shall fully discuss the potential issues with the Corporate Director (Finance and Economy).

9.1.2 In the case of partnering arrangements with bodies designated as public bodies for the purposes of the Local Authorities (Goods and Services) Act 1970 these procedure rules in so far as they relate to

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tendering requirements shall not apply but any proposal to enter into negotiations shall be subject to the prior approval of the Corporate Director (Finance and Economy).

9.1.3 In all instances regard must be had to the Financial Procedure rules in relation to proposals to Externalise Services/Competitive tendering.

9.1.4 Any partnering arrangement must be the subject of a written agreement (in a form to be agreed by the Head of Legal and Democracy) clearly setting out the partners respective responsibilities and liabilities.

9.1.5 Partnering may grow out of an existing contractual relationship or be specifically developed. This may involve other public sector bodes, the private sector, charities and other agencies. The success factors include:

A focus on agreed outputs A culture of continuous improvement A friendly but professional and business-like relationship Both parties strive to achieve openness and trust Information shared opening and efforts made to solve problems

together at an early stage, before they become critical Innovation encouraged with both parties being proactive not

reactive Poor performance confronted and joint solutions sought Both parties work towards the achievement of mutual objectives Services delivered on time, within budget, in accordance with

specification and required standards Both parties prepared to change, with difference respected and

risk appropriately apportioned Avoidance of a contract management bureaucracy Arrangement for continuous dialogue, both informal and formal Flexibility to meet changing circumstances A sharing of risk and reward

10.0 Managing the risk of Procurement Fraud

10.1 Following a standard risk management process, procurement fraud risk should be identified and assessed and appropriate strategies for their management should be implemented and kept under review.

Fraud and corruption can occur during the procurement phase (including preliminary market consultation) and the contract management phase of the procurement cycle. A number of procurement and contract fraud risks (not exhaustive) are listed in the table below;

Procurement fraud risks

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Price fixing Suppliers collude to fix the prices they will charge

Market sharing Suppliers collude to divide up markets between them (eg. geographical market share)

Bid rigging Suppliers collude to ensure a particular bidder wins the contract, for example by reaching an agreement on the bids that will be submitted. Bid rigging may involve ‘cover pricing’ where high bids which are not intended to be successful make the favoured bid more attractive, and may involve ‘compensation’ payments to those bidders who do not win.

‘Bid suppression’ is where one or several bidders withdraw their bid (or fail to bid) or ‘Bid rotation’ is where bidders take turns at submitting the lowest price.

Manipulation of specifications

Specifications are manipulated to favour a particular bidder. Or specifications not fully developed before contract award. Manipulation of specifications can result from inappropriate involvement in the shaping the requirement during preliminary market consultation

Manipulation of procurement procedures

The procurement procedure is manipulated to ensure a particular bidder is successful. For example:

Rigging of exclusion/selection (PQQ) criteria and contract award criteriaUnjustified recourse to single sourcing (direct negotiation) or contract scope change without the need for re-competitionUnjustified contract extensionAbuse of competitive dialogue procedure, negotiated procedure with competition or innovation partnership procedure (eg. by disclosing confidential and commercially sensitive information about other bids to a particular bidder during negotiations)The problem can be exacerbated by the complexity of public procurement procedures

Bribery for awarding a contract

A bribe is given to a council employee or councillor to secure the award of a contract

Bribery for disclosing confidential information

A bribe is given to a council employee (or councillor) to secure the disclosure of confidential and commercially sensitive information such as the content of competing bids.

Conflict of Interest A council employee or councillor does not disclose a pecuniary or other personal interest in a contract. This might be perceived to compromise their impartiality and independence in the context of the procurement or contract management process

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Cyber-fraud Hacking into council systems to obtain confidential and commercially sensitive information

Contract Management Risks Overcharging Overbilling in relation to the goods and services which have been

delivered. This included unjustified expenses claimed by consultants.

Duplicate payments The council is charged twice for the same goods or services

False invoices A form of identify fraud. Payment to a genuine supplier is diverted to a bank account controlled by the fraudster. This could also be an internal fraud perpetrated by a council employee.External fraudsters can exploit information published by the council under the transparency agenda.

False claims and variations

Unjustified contractual claims and payments for contract variations. This type of fraud is often associated with under-priced bids (‘loss leaders’)

False performance reporting

Payment is claimed for levels of performance that have not been achieved.

Phantom suppliers A fictitious company, or a real company that does not have a genuine relationship with the council, is set up as a supplier and received payment

Sub-standard materials

Cheaper materials are substituted for those specified in the contract. The use of sub-standard materials may also carry health and safety risks and environmental risks.

10.2 The Council operates a system of internal control to mitigate the risk of procurement fraud, a number of measures are listed below, and should be reviewed periodically;

Internal ControlsFinancial regulations Financial delegates/authorisation limits

Record keeping/audit trail requirements Separation of duties in ordering process including

separation of responsibility for raising orders, authorising expenditure and receiving the goods and services so that no single individual has control over the whole process

Supplier set-up process A policy of no purchase order, no payment Risk management Reporting of fraud and corruption Reporting of money laundering

Contract Standing Orders and

Thresholds for competition (quotations and tenders) Compliance with EU procurement law

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procurement procedures

Authorisation of single sourcing and waivers Conflict of interest Confidentiality Due diligence on prospective suppliers (PQQ’s/supplier

suitability assessment) including sub-contractors Contract register Regular contract reviews Separation of duties in sourcing process including

authorisation of expenditure, receipt, opening and recording of tenders (especially where non-electronic), tender evaluation, minimum of two to be present during any competitive dialogue or negotiations

Mandatory use of standard templates eg for tender evaluation

Scheme of delegation

How authority is delegated to councillors and officers

Councillor code of conduct

Includes required to declare interests

Employee code of conduct

Includes required to declare interests

Register of interest Both councillor and employee interest should be record in a register

Register of gifts and hospitality

Non-trivial gifts and hospitality received by councillors and employees should be recorded in a register

Risk register The council should maintain a strategic risk register

Confidential reporting policy (whistleblowing)

Confidential ‘hotline’

Procurement documents

Mandatory use of standard documents Pre-qualification questionnaire (PQQ)/supplier suitability

questions for low value requirements include EU mandatory and discretionary exclusion grounds

Non-collusive tendering certificates Information on sub-contractor to be disclosed before

commencement Standard terms and conditions of control include non-

collusion clause and provide for termination/removal of contractor personnel for fraud and bribery

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APPENDICES

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Appendix A - Single Supplier Sourcing FormNote: where the project is externally funded or where the Council will be reimbursed for the cost of the scheme, ie. Section 106, approval of Management Team is not required.

SECTION A TYPE OF ASSISTANCE REQUIRED – BUYING IN OF EXTERNAL EXPERTISE

PLEASE ONLY SELECT ONE CATEGORY FROM EITHER CATEGORY 1, 2 or 3and complete form (below)

Category 1 'Specialist Advice or Specialist Services' that are not considered normal to day to day operational service activity ☐

Category 2 Interim Support ☐

Category 3 'Business as usual' normal day-to-day operational service needs that can only be sourced externally

☐1. Purpose of Assignment - Please keep descriptions brief

1.1 Project/Description of work which requires the need to buy-in external expertise

1.2 Expected Benefits

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2. Appointment of Consultants (name of consultants)

2.1 Consultant Identification and Tendering Process (including justification for single supplier tendering and sourcing if applicable)

2.2 Have you considered alternative options? Not engaging expertise but using internal resources / In-house option / other external partner

3. Expected Deliverables

3.1 Short summary of what you expect to be delivered

3.2 Anticipated commencement date and completion date

4. Expected Costs

4.1 Full estimated cost - assessment of full requirements should be made including estimates of requirements needed beyond immediate phase

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4.2 Any additional support required for consideration

5. Budget Available? YES ☐ If Yes, Code ? NO ☐6. Is this Rechargeable/

Externally Funded? YES ☐ NO ☐ Fully/Partially

7. Have official quotations/tenders been obtained?

YES ☐ NO ☐In cases where a manager proposes to waive the need for tenders or quotations above the minimum of £15,000 the procedures for ‘single supplier sourcing’ Section A must be followed and Section B also completed.

Section BContracts Excluded from Competition (applies to all potential procurements) and Single Supplier Sourcing above £15,000 (services and works)

8. The Exceptions to Market Testing

PLEASE SELECT AT LEAST ONE (MORE THAN ONE MAY APPLY)

(a) The Head of Service is satisfied that goods or materials are only available from one manufacturer or that services can only be supplied by one contractor

☐(b) The identity of the person supplying a professional service is important. ☐(c) It is specialist work and the skill of the particular contractor is important. ☐(d) Parts are being bought for existing machinery or plant. ☐(e) Goods or materials are bought through a consortium of which the council is

a member. ☐(f) The contract is a continuation of an existing contract. This exception only

applies if the new contract is negotiated with the contractor based on rates and prices which were originally agreed (in the existing contract) through the

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normal tendering process. This exception can only be used to allow any one contract to be extended once except for Housing Revenue Account programme of works contracts. In these cases the Head of Legal and Democracy must be consulted first about any proposed negotiation of a continuation contract. In cases involving the Housing Revenue Account programme of works contracts the following will apply:

i. any proposed extension is agreed with the Legal Servicesii. any contract or extension shall not exceed four years in durationiii. the original tender documentation having suggested the possibility

of any potential extensioniv. the Head of Housing being satisfied that following a review of the

contractor’s previous performance that it is proper for an extension to be granted

(g) Equipment needs to be maintained by the manufacturer of that equipment and only the manufacturer can provide the maintenance. ☐

(h) Where equipment is supplied under terms which need maintenance undertaken by a named provider ☐

(i) Contracts for the retention of legal counsel and other legal experts for advice or advocacy services, and the appointment of expert witnesses, in or in contemplation of legal proceedings, inquiries, tribunals etc.

☐This approach to procurement of legal services reflects the special fiduciary nature of the lawyer/client relationship to which mutual trust and confidentiality are integral, and makes the personal and professional suitability and identity of the lawyer (or other expert) critical. In addition, in the context of (potentially) litigious matters, public advertisement and detailed specification of outputs as part of a market testing approach will usually be inappropriate or impractical.

Nonetheless there remains a need to ensure the Council receives value for money in such arrangements and that statutory rules are followed where needed. This may include some market testing where the nature of the legal work means it is readily able to be specified in advance eg: some types of project-based non-contentious work. Otherwise, it will be important to demonstrate that procurement is open, based on highly informed market judgments as to the proper balance between cost and quality and is the subject of appropriate consultation with client officers and the Management Team where appropriate

If there is any doubt about whether any exception can be used, the Head of Service should seek the advice of the Head of Legal and Democracy. The Head of the Audit Partnership may also be consulted.

IF THE USE OF SINGLE SUPPLIER SOURCING IS NOT CONNECTED WITH SECTION A, PLEASE COMPLETE THE FOLLOWING

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9. Purpose of Assignment - Please keep descriptions brief

9.1 Project/Description of Work or Service

10. Supplier Identification

10.1 Name of supplier and address chosen or proposed (please remember to tick at least one of the exception boxes above)

11. Expected Costs

11.1 Full estimated cost - assessment of full requirements should be made including estimates of requirements needed beyond immediate phase

12. Budget Available? YES ☐ If Yes, Code ? NO ☐13. Is this Rechargeable/

Externally Funded? YES ☐ NO ☐ Fully/Partially

14. Have official quotations/ tenders been obtained?

YES ☐ NO ☐

I have read and understood the rules for single supplier sourcing ☐

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Completed By (BLOCK CAPITALS)

Job Title

Signed

Date

Service/Department

Signed

Date agreed by Management Team (if appropriate)

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Appendix B – Project Initiation Document (PID) (Example)

PROJECT INITIATION DOCUMENT (PID)

Project:

Release:

Date:

Author:

Owner:

Client:

Document Ref:

Version No:

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1 Project Initiation Document History

1.1 Document LocationThis document is only valid on the day it was printed.The source of the document will be found at this location – [ ]

1.2 Revision HistoryDate of this revision:Date of next revision:

Revision date

Previous revision date

Summary of Changes Changes marked

First issue

1.3 ApprovalsThis document requires the following approvals. Signed approval forms should be filed appropriately in the project filing system.

Name Signature Title Date of Issue

Version

1.4 DistributionThis document has been distributed to:

Name Title Date of Issue

Version

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2 Table of Contents

Page

1 Project Initiation Document History 11.1 Document Location 11.2 Revision History1.3 Approvals1.4 Distribution

2 Table of Contents

3 Project Definition

4 Project Approach

5 Business Case

6 Project Management Team Structure

7 Role Descriptions

8 Quality Management Strategy

9 Configuration Management Strategy

10 Risk Management Strategy

11 Communication Management Strategy

12 Project Plan

13 Project Controls

14 Tailoring of ABC Project Management Toolkit

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3 Project Definition

[Extracted from the Project Brief. Explains what the project needs to achieve. It should include:

Background

Project objectives and desired outcomes

Project scope and exclusions

Constraints and assumptions

The user(s) and any other known interested parties

Interfaces]

4 Project Approach

[Extracted from the Project Brief. Defining the choice of solution the project will use to deliver the business option selected from the Business Case, and taking into consideration the operational environment into which the solution must fit]

5 Business Case

[Describing the justification for the project based on estimated costs, risks and benefits]

6 Project Management Team Structure

[A chart showing who will be involved with the project]

7 Role Descriptions

[For the project management team and any other key resources]

8 Quality Management Strategy

[Describing the quality techniques and standards to be applied, and the responsibilities for achieving the required quality levels]

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9 Configuration Management Strategy

[Describing how and by whom the project’s products will be controlled and protected]

10 Risk Management Strategy

[Describing the specific risk management techniques and standards to be applied, and the responsibilities for achieving an effective risk management procedure]

11 Communication Management Strategy

[To define the parties interested in the project and the means and frequency of communication between them and the project]

12 Project Plan

[Describing how and when the project’s objectives are to be achieved, by showing the major products, activities and resources required on the project. It provides a baseline against which to monitor the project’s progress stage by stage]

13 Project Controls

[Summarising the project level controls such as stage boundaries, agreed tolerances, monitoring and reporting]

14 Tailoring of ABC Project Management Toolkit

[A summary of how the ABC PMTK will be tailored for the project]

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Appendix C – Collusive Tendering CertificateCOLLUSIVE TENDERING CERTIFICATE

TO: Ashford Borough CouncilCivic CentreTannery LaneAshford, Kent.

We certify that this is a bona fide Bid, and that we have not fixed or adjusted the amount of the Tender by or under or in accordance with any agreement of arrangement with any other person. We also certify that we have not done and we undertake that we will not do at any time before the hour and date specified for the return of this Tender any of the following acts:-

(a) communicate to a person (outside this organisation) other than the person calling for those Bids the content of the proposed Bid, except where the disclosure, in confidence, of the approximate amount of the Bid was necessary to obtain insurance premium quotations required for the preparation of the Bid.

(b) enter into any agreement or arrangement with any other person (outside this organisation) that they shall refrain from Biding or as to the amount of any Bid to be submitted.

(c) offer or pay or give or agree to pay or give any sum of money or valuable consideration directly or indirectly to any person for doing or having done or causing or having caused to be done in relation to any other Bid or proposed Bid to the said work any act or thing of the sort described above.

In this certificate, the word 'person' includes any persons and body or association, corporate or unincorporated; and 'any agreement or arrangement' includes any such transaction, formal or informal, and whether legally binding or not.

Signed ..................................…...................... Name ............................……………. (In BLOCK CAPITALS)

in the capacity of ..............................................………………...................................duly authorised to give such certificate for and on behalf of

(In BLOCK CAPITALS) …………...................................…........................................

|.......................................................................................……...................................|

Tel No. .....................................…….............………

Fax No. ..............................………..........................

E:mail ..............................………...........................

Postal Address .....................................…….................................…….....................

|.....................................................................………….....................…….................|

Post Code ....................................................................

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Appendix D – Equality Act Declaration

ASHFORD BOROUGH COUNCIL THE EQUALITY ACT 2010

Please complete and return this form with your bid

Question Answer

1. Is it your policy as an employer to comply with your statutory obligations under the Equality Act 2010 and, accordingly, your practice not to treat one group of people less favourably than others in relation to their age, disability, gender re-assignment, marriage and civil partnership, pregnancy and maternity, religion or belief, sex and sexual orientation in relation to decisions to recruit, train or promote employees?

2. Is your equality policy set out:-(a) in instructions to those concerned

with recruitment, training and promotion;

(b) in documents available to employees, recognised trade unions or other representative groups or employees;

(c) in recruitment advertisements or other literature?

3. In the last three years, has any finding of unlawful racial discrimination been made against your Organisation by any court or industrial tribunal?

4. If the answer to question 3 is in the affirmative, what steps did you take in consequence of that finding?

Signed

Name (BLOCK CAPITALS)

Position in Company

Company Name

Date

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Appendix E – Freedom of Information FREEDOM OF INFORMATION

a) The Contractor acknowledges that the Council is subject to the requirements of the Freedom of Information Act 2000 (“the Act”) and the Environmental Information Regulations 2004 (“the Regulations”) and shall assist and co-operate with the Council (at the Contractor’s expense) to enable the Council to comply with Information disclosure requirements

b) The Contractor shall and shall procure that its sub-contractors shall:

i) transfer the Request for Information to the Council as soon as practicable after receipt and in any event within two working days of receiving a request for information

ii) provide the Council with a copy of all Information in its possession or power in the form that the Council requires within five working days (or such other period as the Council may specify) of the Council requesting that Information and

iii) provide all necessary assistance as reasonably requested by the Council to enable the Council to respond to a Request for Information within the time for compliance set out in section 10 of the Act or regulation 5 of the Regulations

c) The Council shall be responsible for determining at its absolute discretion whether the Commercially Sensitive Information and/or any other Information:

i) is exempt from disclosure in accordance with the provisions of the Act or the Regulations

ii) is to be disclosed in response to a Request for Information, and in no event shall the Contractor respond directly to a Request for Information unless expressly authorised to do so by the Council

d) The Contractor acknowledges that the Council may, acting in accordance with the Act or the Regulations be obliged to disclose information:

i) without consulting with the Contractor, orii) following consultation with the Contractor and having taken its views into

account

e) The Contractor shall ensure that all information produced in the course of the contract or relating to the Contract is retained for disclosure and shall permit the Council to inspect such records as requested from time to time

f) The Contractor acknowledges that any lists or schedules provided by it outlining Confidential Information are of indicative value only and that the Council may nevertheless be obliged to disclose Confidential Information.

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Appendix F - Transparency Code 2015: Open Data: Process for publishing New Contracts and Tenders documentation and data

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Officer Employment Procedure Rules


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Part 4 Rules of Procedure -Officer Employment Procedure Rules

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1. Recruitment and Appointment

(a) Declarations

(i) A candidate for any Council appointment will, when making application, inform the duly authorised Officer or Head of HR and Customer Services of any relation they know to be a Member or Senior Officer of the Council. A candidate who knowingly fails to disclose a relationship will be disqualified for the appointment and if appointed be liable to dismissal without notice.

Every Member or Senior Officer of the Council will inform the Chief Executive of any relationship known to him with any person he knows is a candidate for an appointment. The Chief Executive will report any such disclosure to the Council or appropriate Members or Officers making the appointment.

(ii) This rule will be included in any form of application.

(iii) For the purpose of this rule only “Senior Officer” means any Council Officer designated Management Grade 3 or above. Persons will be deemed to be related if they are – husband, wife, partner, parent, grandparent, child, step-child, adopted child, grandchild, brother, sister, uncle, aunt, nephew or niece of a Member/candidate.

(b) Seeking support for Appointment

(i) The Council will disqualify any applicant who directly or indirectly seeks the support of any Councillor for any appointment within the Council. Every advertisement inviting applications and application forms will include a note to this effect.

(ii) No Councillor will seek support for any person for any appointment with the Council or give a written testimonial of a candidate’s ability, experience or character for an applicant for an appointment with the Council of which he is a Member.

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2. Recruitment of Head of Paid Service, Monitoring Officer, Chief Finance Officer (Section 15), Directors and Service Managers

Where the Council proposes to appoint a Head of Service, Monitoring Officer or Chief Finance Officer (Section 151) and it is not proposed that the appointment be made exclusively from among their existing Officers, the Council will:

(a) Draw up a statement specifying:

(i) The duties of the Officer concerned; and

(ii) Any qualifications or qualities to be sought in the person to be appointed;

(b) Make arrangements for the post to be advertised in such a way as is likely to bring it to the attention of persons who are qualified to apply for it; and

(c) Make arrangements for a copy of the statement mentioned in paragraph (1) to be sent to any person on request.

3. Appointment of Head of Paid Service or Monitoring Officer or Chief Finance Officer (Section 151)

This process is subject to statutory Procedure Rules and Regulations.

(a) The Full Council will approve the appointment of the Head of Paid Service, Monitoring Officer or Chief Finance Officer (Section 151) following the recommendation of such an appointment by the Appointments Committee of the Council. That Committee must include at least one Member of the Cabinet (Executive).

(b) The Full Council may only make or approve the appointment of the Head of Paid Service, Monitoring Officer or Chief Finance Officer (Section 151) where no well-founded objection has been made by any Member of the Cabinet (Executive)

4. Appointment of Directors (Other than the Chief Executive)

(a) The Appointments Committee of the Council will appoint Directors and Head of Service. That Committee must include at least one Member of the Cabinet (Executive).

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Officer Employment Procedure Rules(b) An offer of employment as a Director or Head of Service shall only

be made where no well-founded objection from any Member of the Cabinet (Executive) has been received.

5. Other Appointments

(a) Officers Below Head of Service. Appointment of Officers below Head of Service is the responsibility of the Head of Paid Service or his nominee, and shall not be made by Councillors.

(b) Assistants to Political Groups. Appointment of an assistant to a political group shall be made in accordance with the wishes of that political group.

6. Disciplinary Action Against Certain Postholders

(a) Suspension. The Head of Paid Service, a non-statutory Chief Officer within the meaning of Section 2 (7) of the Local Government Act 1989 ie (a) a person for whom the Head of Paid Service is directly responsible; (b) a person who in respect of all or most of the duties of his/her post, is required to report directly or is directly accountable to the Head of Paid Service; (c) any person who, in respect of all or most of the duties of his post, is required to report directly or is directly accountable to the Local Authority or any Committee or Sub-Committee of the Council, the Monitoring Officer and Chief Finance Officer (Section 151) may be suspended whilst an investigation takes place into alleged misconduct. The alleged misconduct will be dealt with in accordance with the Local Authorities (Standing Orders) 2001, as amended. Suspension will be on full pay and last no longer than two months.

(b) Disciplinary Action against the Head of Paid Service, Monitoring Officer or Chief Finance Officer (Section 151) is subject to the procedure note attached to the Terms of Reference of the Investigation and Disciplinary Committee.

(c) Councillors will not be otherwise involved in the disciplinary action against any Officer below Head of Service except where such involvement is necessary for any investigation or inquiry into alleged misconduct, through the Council’s disciplinary, capability and related procedures, as adopted from time to time, may allow a right of appeal to Members in respect of disciplinary action.

7. Dismissal

Councillors will not otherwise be involved in the dismissal of any Officer below Head of Service, except where such involvement is necessary for any investigation or inquiry into alleged misconduct, though the Council’s disciplinary, capability and related procedures, as adopted from time to time, may allow a right of appeal to Members in respect of dismissals.

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