constitution and members' development committee...
TRANSCRIPT
CONSTITUTION AND MEMBERS' DEVELOPMENT COMMITTEE
Date: Friday 30 November 2018 Time: 3:30 p.m. Venue: Spencer Room, Town Hall,
Middlesbrough
AGENDA
1. Apologies for Absence
2. Declarations of Interest
3. Minutes - Constitution and Members' Development Committee - 27 April 2018
Copy of Minutes [Page 1]
4. Review of the Constitution
Report [Page 5]Appendix 1 [Page 11]Appendix 2 [Page 13]Appendix 3 [Page 41]
5. Localism Act 2011 - Repeal of Legislation - Dealing with Petitions
Report [Page 49]Appendix 1 [Page 53]Appendix 2 [Page 59]
6. Any other urgent items which in the opinion of the Chair, may be considered.
Bryn RobertsMonitoring Officer
Town HallMiddlesbrough22 November 2018
MEMBERSHIP
Councillors S E Bloundele (Chair), R Brady (Vice-Chair), J Hobson, J McTigue, J Mohan, C M Rooney, J Sharrocks, M Storey and N J Walker
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Constitution and Members' Development Committee 27 April 2018
CONSTITUTION AND MEMBERS' DEVELOPMENT COMMITTEE
A meeting of the Constitution and Members' Development Committee was held on 27 April 2018.
PRESENT: Councillors Bloundele, (Chair), Storey, G Purvis (As Substitute for N J Walker) andRostron (As Substitute for C Rooney)
OFFICERS: D Johnson, S Lightwing, S Reynolds, B Roberts
APOLOGIES FOR ABSENCE were submitted on behalf of Councillors J Hobson, Hubbard, C M Rooney, N J Walker.
DECLARATIONS OF INTERESTS
There were no Declarations of Interest at this point in the meeting.
1 MINUTES - CONSTITUTION AND MEMBERS' DEVELOPMENT COMMITTEE - 19 JANUARY 2018
The minutes of the Constitution and Members' Development Committee meeting held on 19 January 2018 were submitted and approved as a correct record.
2 STANDARDS COMPLAINTS - ARRANGEMENTS FOR DEALING WITH MEMBERS’ CODE OF CONDUCT COMPLAINTS AND GUIDANCE ON HOW TO MAKE A COMPLAINT.
A report of the Strategic Director, Finance Governance and Support was presented to seek approval of the suggested arrangements for dealing with Members' Code of Conduct complaints, guidance on how to make a complaint, and for the revised arrangements to be incorporated into the Council's Constitution.
The report detailed the process for dealing with complaints that an Elected Member, Co-opted Member or Parish Councillor had failed to comply with the Member's Code of Conduct.
A revised Appendix A was tabled at the meeting and set out the arrangements for dealing with Members' Code of Conduct complaints, including a copy of the Complaint Form (which required updating), timescale and a flowchart of the process.
Appendix B to the submitted report included guidance for Members and members of the public as to how to complete the Complaint Form, examples of what would/would not be considered as a complaint, the process, and possible outcomes where a complaint was upheld.
All future complaint hearings would be dealt with by the Standards Committee.
The Members and Statutory Services Manager suggested that some more descriptive information in relation to witnesses should be added to the guidance and explained she was in the process of seeking advice from Human Resources and Legal Services.
AGREED that:
1. The Members and Statutory Services Manager would circulate to all Members of the Committee, suggested information in relation to witnesses for inclusion in the guidance, for approval.
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Constitution and Members' Development Committee 27 April 2018
2. Following inclusion of the additional information in relation to witnesses, the final arrangements and guidance for Members' Code of Conduct Complaints was recommended to Council for approval.
3 MEMBER/OFFICER PROTOCOL
A report of the Strategic Director, Finance Governance and Support was presented which proposed amendments to the Member/Officer Protocol to ensure clarity in relation to breaches of the Protocol, and in relation to the role and management of Political Assistants. At a Standards (Hearings) Sub Committee held in 2017, it was agreed that the issue of breaches of the Member/Officer Protocol would be referred to the Constitution and Members' Development Committee for a review of the current arrangements. A revised version of the Member/Officer Protocol had been drafted and a copy was attached at Appendix 1 to the submitted report. It was highlighted that a new Section 20 had been added to the Protocol to provide clarity in relation to breaches. The report clarified that breaches of the Member/Officer protocol by Members, if found, wouldconstitute a breach of the Members' Code of Conduct.
It was clarified that an alleged breach by officers in general would be dealt with through the Council's disciplinary proceedings and breaches of the Member/Officer Protocol by senior officers (statutory) would be dealt with by the Chief Officer's Appointments Committee. Members discussed the appeals process for senior officers and it was agreed that this would be via the Staff Appeals Committee. AGREED that:1. The appeals process for senior officers would be via the Staff Appeals Committee.2. The revised Member/Officer Protocol was recommended to Council for approval.
4 EXTRAORDINARY COUNCIL MEETINGS
A report of the Strategic Director, Finance Governance and Support was presented to consider amendments to the Council Procedure Rules in respect of Extraordinary Council Meetings. Following a number of Extraordinary Council Meetings in 2017, it was considered expedient to revise the Council Procedure Rules to provide additional clarity for Members. During the 2017/2018 Municipal Year the Council had received a number of requests for Extraordinary Council Meetings, however the timescale for hosting such meetings had never been considered. It was therefore proposed that a new paragraph be added to the Constitution to specify that unless the matter to be discussed was so time-sensitive as to require an earlier meeting, all Extraordinary Council Meetings requested would be convened for the rise of the next scheduled Ordinary Council meeting. The Chair informed the Committee that he had received a request from a Member who was unable to be present at the meeting, for consideration to be given to the inclusion of the following sentence in the revised Council Procedure Rules: 'In the event of an Extraordinary meeting taking place, all Members who are signatories to call for the meeting should be allowed to speak on the issue/topic raised, before any Membercan ask for a vote to bring the meeting to an end.' Following discussion, Members voted not to include the proposed amendment.
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Constitution and Members' Development Committee 27 April 2018
AGREED that the proposed changes to the Council Procedure rules in relation to Extraordinary Council Meetings were endorsed and recommended to Council for approval.
5 ANY OTHER URGENT ITEMS WHICH IN THE OPINION OF THE CHAIR, MAY BE CONSIDERED
Financial Procedure Rules The Monitoring Officer informed Members that according to the Constitution's current Financial Procedure Rules, the threshold for Key Decisions was £150,000 whereas the threshold for Capital Decisions was £100,000. The Monitoring Officer proposed raising the threshold for Capital Decisions to £150,000. AGREED that the proposed change to the Financial Procedure Rules in relation to the threshold for Capital Decisions was endorsed and recommended to Council for approval. Amendments to the Constitution The Monitoring Officer informed the Committee that a single report would be submitted to theAnnual Council meeting to encompass the amendments recommended at today's meeting.
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MIDDLESBROUGH COUNCIL
Report of: Monitoring Officer
Submitted to: CONSTITUTION AND MEMBERS’ DEVELOPMENT COMMITTEE
Subject: Review of the Constitution
SummaryProposed decision(s)1. The Committee agrees the proposed approach to a comprehensive review of the
Constitution, and notes the requirement for additional meetings of the Committee;2. The Committee considers whether a member working-group should be established to
feed into the constitutional review process;3. The Committee considers the requested addition to the Council Procedure Rules; 4. The Committee endorses the reconstitution of the Corporate Parenting Board as a
Committee of Council, under the membership and Terms of Reference set out inAppendix 1 to this report, and commends it to Council for approval; and
5. The Committee endorses the minor amendments to the Constitution set out inAppendix 2, and commends them to Council for approval; and
6. The Committee notes the amendments set out in Appendix 3 to this report, whichwere previously agreed by Corporate Affairs and Audit Committee, and commendsthem to Council for approval.
Report for: Keydecision:
Confidential: Is the report urgent?
Decision No No. No.
Contribution to delivery of the 2018-22 Strategic PlanBusiness Imperatives Physical Regeneration Social RegenerationThe Monitoring Officer isrequired to keep theConstitution under regularreview, to ensure it is fit forpurpose.
An up to date Constitution will ensure appropriate decision-making mechanisms are in place to support Memberdecisions.
Ward(s) affectedNo Wards are directly affected by this report.
What is the purpose of this report?
1. To agree an approach to the review of the Constitution; to consider whether amember working-group should be established to feed into the constitutional reviewprocess; to consider a requested addition to the Council Procedure Rules; torecommission the Corporate Parenting Board as a Committee of Council; and toendorse attached minor amendments to the Constitution, for subsequentpresentation to Council.
Why does this report require a Member decision?
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2. Substantial or significant amendments to the Constitution are a Member decision,considered via the Constitution and Members' Development Committee beforebeing presented to full Council for a decision.
Report Background
3. This report seeks to deal with a number of separate issues: a suggestedmethodology for a sequential review of the Constitution; to consider whether amember working-group should be established to feed into the constitutional reviewprocess; a Member request for consideration of an amendment to the CouncilProcedure Rules; the recommissioning of the Corporate Parenting Board as aCommittee of Council (with the suggested membership and Terms of Reference setout in Appendix 1 to this report); and endorsement of a tranche of minoramendments to the Constitution (as set out in Appendix 2 and 3 to this report).
Review Methodology
4. As Members will appreciate, a comprehensive review of the Constitution is bothcomplex and time-consuming, both for the officer(s) involved, and for Membersconsidering any amendments. With this in mind, it is proposed that a number ofreports will be presented to the Constitution and Members' Development Committeeover the coming months, each dealing with a different segment of the Constitution.
5. In anticipation of the review, the Monitoring Officer has met with the Members andStatutory Services Manager to allocate elements of the overall review to differentofficers. These elements, when complete, will be reported to the Constitution andMembers' Development Committee for consideration, allowing Members to focus onsmaller elements of the Constitution at each meeting whilst processing a review ofthe entire document.
6. This approach minimises the disruption in day-to-day workloads for all officersconcerned, and will ensure a swifter review than if the issue were left to one officeralone. As a consequence of the approach, however, it will be necessary to arrangeadditional meetings of the Constitution and Members' Development Committee, toallow for the consideration of all elements.
Member Working Group
7. In any review of the Constitution, the end result alters the relationship betweenMembers and officers, and determines how Council and its departments conductbusiness. It therefore seems appropriate to seek the views of the Constitution andMembers' Development Committee as to whether it would like to see a memberworking group established to feed views into the drafting stage of the Constitution,or whether the Committee would prefer to remain separate from the preparationstage of the revised document, in order to independently scrutinise the proposedamendments.
Council Procedure Rules
8. A member has raised an issue in relation to the treatment of applicants andobjectors in meetings of the Planning and Development Committee, particularly incircumstances where there are multiple objectors to a given scheme. To date,convention has dictated that both ‘sides’ be given a maximum of 5 minutes address
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that committee prior to the determination of the application; similarly, conventionhas provided that where there are multiple objectors, the Chair’s discretion is usedto extend the 5 minute period to a figure considered appropriate at the time. Theseconventions, however, are not codified in the Constitution.
9. The member is concerned that in cases where there are multiple objectors, the 5minute period is insufficient, and has requested that consideration be given toextending that period, codifying it in the process. Members’ views on this issue are,therefore, sought.
Corporate Parenting Board
10. Members may recall that, over the past 15 years or so, the Corporate ParentingBoard has variously been constituted as a Committee of Council (with politicallybalanced membership and defined Terms of Reference, including decision-makingpowers); an advisory body to the Executive (which was not politically balanced, andhad no decision-making powers); and an officer-led group; in 2018 it reverted tobeing an advisory body to the Executive.
11. Following discussions with the Chair of the Corporate Parenting Board, togetherwith the Executive Director of Children’s Services, it is now considered appropriateto reconstitute it as a Committee of Council. To that end, a draft Membership andTerms of Reference document has been produced, and is attached as Appendix 1to this report.
12. Members are asked to consider the reconstitution of the Corporate Parenting Boardin accordance with the draft Membership and Terms of Reference, and to commendit to Council for approval. In the event that Council approves the reconstitution ofthe Board, its details will be included in the Constitution as necessary.
Amendments to the Constitution
13. Members will also find, at Appendix 2 and 3, a number of proposed amendments tothe Constitution, for their consideration and endorsement to Council. Theseamendments can be categorised as: minor administrative amendments to the“Monitoring Officer Protocol”, “Statutory Officer Profiles”, and “Proper OfficerFunctions” sections of the Constitution (Appendix 2); and the removal of therequirement for originating officer names to be included on reports (Appendix 3).
14. The amendments set out in Appendix 2 can best be described as a ‘tidying up’exercise, in that the contents remain almost exclusively the same as at present,subject to minor amendments and clarifications which are evident. It is notconsidered that any of the amendments are significant, but Members views andendorsement is sought, prior to the presentation of the amendments to Council fordetermination.
Code of Corporate Governance
15. The Council has, on a number of occasions in recent years, revised the Code ofCorporate Governance contained within the Constitution, with such amendmentsbeing considered and approved by the Corporate Affairs and Audit Committee.Most recently, the Code was considered at a meeting on 8 February 2018, whenMembers agreed not to revise the code further. As a consequence, the currentCode, set out in Appendix 3, remains the active document, and requires
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incorporation into the Constitution, at Part 7. Members are, therefore, requested tonote the attached, prior to the presentation of this amendment to Council fordetermination.
What decisions are being asked for?
16. It is requested that the Committee:
a) agrees the proposed approach to a comprehensive review of theConstitution, and notes the requirement for additional meetings of theCommittee;
b) considers whether a member working-group should be established to feedinto the constitutional review process;
c) considers the requested addition to the Council Procedure Rules; d) endorses the reconstitution of the Corporate Parenting Board as a
Committee of Council, under the membership and Terms of Reference setout in Appendix 1 to this report, and commends it to Council for approval;
e) endorses the minor amendments to the Constitution set out in Appendix 2,and commends them to Council for approval; and
f) notes the amendments set out in Appendix 3 to this report, which werepreviously agreed by Corporate Affairs and Audit Committee, and commendsthem to Council for approval.
Why is this being recommended?
17. The Constitution is a living document, which is under constant review. Theproposed actions set out above will facilitate the ongoing updating of theConstitution, to ensure its continued fitness for purpose.
Other potential decisions and why these have not been recommended
18. It is open to the Committee to determine that the Constitution should remain in itscurrent condition; however, changing circumstances and a continued desire toimprove suggests that regular updating is appropriate.
Impacts of recommended decisions
19. The impacts of the decisions will be to ensure a timely review of the Constitution,with such input as the Committee considers appropriate, and for subsequent reportsto be presented to the Committee and Council as necessary.
Legal
20. The continued updating of the Constitution is entirely in line with the duties of theMonitoring Officer, and has no adverse impacts upon the Council; rather, theupdating will ensure that the Constitution is as up to date as possible.
Financial
21. There are no financial implications of the report.
Policy Framework
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22. The Constitution sets the policy framework for the Council. It is therefore imperativethat the key document is updated to ensure an up to date policy framework.
Equality and Diversity
23. There is no adverse impact on protected groups as a result of the proposedrecommendations.
Risk
24. There is no additional risk to the Council as a result of the proposedrecommendations.
Actions to be taken to implement the decision(s)
25. The impacts of the decisions are as follows: firstly, further work will take place on the updating of the Constitution, with additional
reports being presented to the Committee; secondly, if the Committee considers a Working Group useful, it will be established
in accordance with the usual principles, and will seek representatives from allpolitical groups;
thirdly, if the Committee considers it appropriate to revise the Council ProcedureRules, a proposed text will be presented to Committee at a future meeting; and
fourthly, a report will be presented to Council seeking agreement to the revisions setout in Appendices 1 to 2.
Background papers
26. No background papers were used in the preparation of this report
Appendices
Appendix 1 – draft Membership and Terms of Reference for Corporate Parenting Board.Appendix 2 – suggested amendments to the Monitoring Officer Protocol, Statutory Officer
Profiles, and Proper Officer Functions.Appendix 3 – amendments to the contact details provided on a report under the Code of
Corporate Governance
Contact: Bryn Roberts, Monitoring Officer Email: [email protected]
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CORPORATE PARENTING BOARD (9) plus Ex-OfficioMembers and Ex-Officio Officers
Lead Exec Member for Children's ServicesExecutive Member for Education and SkillsChair of Overview and Scrutiny Board
Plus 3 Labour, 1 Con, 1 MICA, 1 spare
Membership/Restrictions: Nil
Chair: Councillor M Carr
Vice-Chair: Councillor J Brunton Dobson
Members: TBC
Ex-Officio Members: Deputy Mayor and Executive Member for CityCentre Strategy
Ex-Officio Officers: Head of Paid ServiceExecutive Director of Children’s ServicesDirector of Children’s CareDirector of EducationDirector of Prevention and Partnership
Terms of Reference - Corporate Parenting Board
To be responsible for the Council’s role as a Corporate Parent to those childrenand young people who are looked after and accommodated by the local authority,that responsibility to also include: 1. ensuring that the education, health, and social needs of children Looked
After by the Authority are met;2. developing effective corporate responses to fulfil the Authority’s
responsibilities as a Corporate Parent; 3. to implement changes to policy and practice, and inform service
development in the context of corporate parenting; 4. the dissemination of information, concerned with its responsibilities
associated with corporate parenting, to all elected Members and relevantstaff; and
5. the implementation, maintenance, and review of this Council’s ‘CorporateParenting and Strategy’ document.
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MONITORING OFFICER PROTOCOL
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MIDDLESBROUGH BOROUGH COUNCIL MONITORING OFFICER PROTOCOL
A GENERAL INTRODUCTION TO STATUTORY RESPONSIBILITIES
1. The Monitoring Officer is a statutory appointment pursuant to Section 5 of the LocalGovernment and Housing Act 1989. This Protocol provides some general informationon how those statutory requirements will be discharged in Middlesbrough BoroughCouncil.
2. The current responsibilities of the Monitoring Officer role rest with the Council’sMonitoring OfficerHead of Legal and Democratic Services, who undertakes todischarge her their statutory responsibilities with a positive determination and in amanner that enhances the overall reputation of the Council. In doing so, she they willalso safeguard, so far as is possible, Members and Officers, whilst acting in their officialcapacities, from legal difficulties and/or criminal sanctions.
3. A summary list of the statutory responsibilities appears in the table annexed to thisdocument. In general terms, the Monitoring Officer’s ability to discharge these dutiesand responsibilities will depend, to a large extent, on Members and Officers:
a) complying with the law (including any relevant Codes of Conduct);b) complying with any General Guidance issued, from time to time, by the
Standards Committee, the Government and the Monitoring Officer;c) making lawful and proportionate decisions, andd) generally, not taking action that would bring the Council, their offices or
professions into disrepute.
4. In the interests of good working relationships, prior to the issuing of a report underSection 5 of the Local Government and Housing Act 1989, the Monitoring Officer will consult with the Head of Paid Service and the Chief Finance Officer; however, the decision as to whether or not to issue a Section 5 report is solely one for the Monitoring Officer.
B WORKING ARRANGEMENTS
4.5. Having good working relations with Members and Officers will assist in the discharge of the statutory responsibilities on the Monitoring Officer and keep the Council out of trouble. Equally, a speedy flow of relevant information and access to debate (particularly at the early stages of any decision making by the Council) will assist in fulfilling those responsibilities. Members and Officers must, therefore, work with the Monitoring Officer (and his staff) to discharge the Council’s statutory and discretionary responsibilities.
5.6. The following arrangements and understandings between the Monitoring Officer, Members and Officers are designed to ensure the effective discharge of the Council’s business and functions. The Monitoring Officer will:
(a) report to the Council and to the Executive in any case where the MonitoringOfficer he is of the opinion that any decision or proposal of the Authority inrespect of any reportable incident (being any matter which, in the MonitoringOfficer’s his opinion, has given rise to or is likely to or would give rise to any
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illegality, maladministration or breach of statutory code under Section 5 and 5A of the Local Government and Housing Act 1989);
(b) have advance notice (including receiving Agendas, Minutes, Reports and related papers) of all relevant meetings of the Council at which a binding decision of the Council may be made (including a failure to take a decision where one should have been taken) at or before the Council, Committee meetings, Executive and/or Senior Leadership Management Team (or equivalent arrangements);
(c) have the right to attend any meeting of the Council (including the right to be heard) before any binding decision is taken by the Council (including a failure to take a decision where one should have been taken) at or before the Council, Committee meetings, Executive and/or Senior Leadership Management Team (or equivalent arrangements);
(d) act as the Proper Officer for the preparation, publication and retention of records of decisions taken by or on behalf of the Council and the Executive.
(e)(d) carry out any investigation(s) where the Monitoring Officer he believes a matter may constitute a reportable incident, and have unqualified access to any information held by the Council and to any Officer who can assist in the discharge of his functions;
(f)(e) ensure that other statutory officers (Head of Paid Service and the Chief Finance Officer ) are kept up-to-date with relevant information regarding any legal, ethical standards, probity, propriety, procedural or other constitutional issues that are likely to (or do) arise;
(g)(f) meet regularly with the Head of Paid Service and the Chief Finance Officer to consider and recommend action in connection with Corporate Governance issues and other matters of concern regarding any legal, ethical standards, probity, propriety, procedural or other constitutional issues that are likely to (or do) arise;
(h)(g) report to the Council, from time to time, on the Constitution and any necessary or desirable changes following consultation, in particular, with the Head of Paid Service and Chief Finance Officer ;
(i)(h) as per the statutory requirements, make a report to the Council, as necessary on the staff, accommodation and resources the Monitoring Officer he requires to discharge his statutory functions, and the Council shall ensure that the Monitoring Officer has sufficient resources to enable him to address any matters concerning his Monitoring Officer functions;
(j)(i) have a special relationship of respect and trust with the Elected Mayor, the Chairman of the Council and the Chairman of the Licensing, Standards, Overview & Scrutiny and Planning Committees, with a view to ensuring the effective and efficient discharge of Council business;
(k)(j) develop effective working liaison and relationship with the District Auditor and the Local Government Ombudsman (including having the authority, on behalf of the Council, to complain to the same, refer any breaches to the same or give and receive any relevant information, whether confidential or otherwise, through appropriate protocols, if necessary) and settle any compensation
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payments up to £5,000 for alleged or actual maladministration found against the Council;
(l)(k) maintain and keep up-to-date relevant statutory registers for the declaration of members’ interests, gifts and hospitality;
(m)(l) act as Principal Adviser to the Standards Committee;
(n)(m) give informal advice and undertake relevant enquiries into allegations of misconduct and, if appropriate, make a written report to the Standards Hearings Sub Committee;
(o)(n) be responsible for Complaints, Local Commissioner and Whistle-blowing functions of the Authority;
(p)(o) in consultation, as necessary, with the Chairs of the Council and the Standards Committee, defer the making of a formal report under Section 5 of the Local Government and Housing Act 1989 where another investigationg body is involved;
(q) be the Proper Officer for the Freedom of Information Act 2000;
(r)(p) investigate any application for a dispensation and report and recommend to the Standards Committee;
(s) have sufficient resources to enable him to address any matters concerning hisMonitoring Officer functions;
(t)(q) undertake all statutory Monitoring Officer functions in respect of Parish Councils within the area of the Authority and to provide support and advice to such Parish Councils in maintaining probity, including:
(1) advice on the requirement for them to adopt a Local Code;
(2) advice on the requirement upon Members to sign an undertaking toobserve their Authority’s Local Code within two months of the Authorityadopting its Local Code;
(3) advice on the requirement for Members to notify the Monitoring Officerof any financial or other interests and of any changes in such interests,that such declarations will form part of a public register, means ofgaining access to that register, and of any arrangements to ensure thatParish Council Clerks are kept informed of any such declarations;
(4) advice on the need to apply to the Standards Committee for anydispensations and of the arrangements agreed by the StandardsCommittee for receiving and determining any such applications, and formaintaining a register of such dispensations and advising the applicantand the Council of any dispensations which are granted;
(5) advice on any provisions under which individual complaints ofmisconduct by Members may be referred or delegated to the MonitoringOfficer and the Standards Committee for investigation anddetermination, and any arrangements agreed by the Monitoring Officerand the Standards Committee for dealing with such complaints; and
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(6) advice to individual Members on enquiries as to their obligations todeclare or notify particular interests, on the need to apply for adispensation, and on any consequent restrictions on the Member’sparticipation in consideration of the matter.; and
(7) subject to the approval of the Standards Committee, be responsible withothers for preparing any training programme for Members on ethicalstandards and Code of Conduct issues; and.
(u)(r) appoint a deputy Deputy or deputies Deputies and keep them briefed on any relevant issues that they may be required to deal with in the absence or sickness of the Monitoring Officer (such absence or sickness being more than transitory);
(v)(s) after consultation with the Head of Paid Service and the Chief Finance Officer, notify the Police, the Authority’s auditors and other regulatory agencies of the Monitoring Officer’his concerns in respect of any matter and to provide them with information and documents in order to assist them with their statutory functions;
(w)(t) obtain at the Authority’s expense, specialist legal advice, either internally or from an independent external solicitor or barrister, on any matter, which the Monitoring Officer he believes, may be a reportable incident.
6.7. To ensure the effective and efficient discharge of the arrangements set out in paragraph 5 above, Members and Officers will report any breaches of statutory duty or Council policies or procedures and other vires or constitutional concerns to the Monitoring Officer, as soon as practicable.
7.8. The Monitoring Officer and the Deputy Monitoring Officers are also available for Members and Officers to consult on any issues of the Council’s legal powers, possible maladministration, impropriety and probity issues, or general advice on the constitutional arrangements (e.g. Standing Orders, policy framework, terms of reference, scheme of delegations etc.).
8.9. (a) The Monitoring Officer will seek to resolve potential reportable incidents byavoiding the illegality, etc., or by identifying alternative and legitimate means ofachieving the objective of the proposals. Accordingly, Officers and Membersof the Authority may consult the Monitoring Officer in confidence in respect ofany proposal, and the Monitoring Officer will only need to make a public reporton the matter if the proposal were to be a potential reportable incident and theofficer and member subsequently took any action to progress that proposaldespite being advised to the contrary by the Monitoring Officer;
(b) Where the Monitoring Officer receives a complaint of a potential reportableincident, he they shall, in appropriate cases, seek to resolve the matteramicably, by securing that any illegality, failure of process or breach of code isrectified, that the complainant is informed of the rectification, with or without acompensation payment and/or apology. However, it is recognised that theMonitoring Officer may determine that the matter is of such import that astatutory report is the only appropriate response;
(c) In appropriate cases, the Monitoring Officer may rely upon existing processeswithin the Authority (such as internal appeals procedures or insurancearrangements) to resolve any potential reportable incident, but may intervenein such processes to identify that the particular matter is a potential reportableincident and to ensure the satisfactory resolution of the issue;
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(d) In appropriate cases, and to secure the rapid resolution of a potential reportableincident or avoid a separate statutory report, the Monitoring Officer shall beentitled to add his their written advice to the report of any other officer of theAuthority;
(e) Notwithstanding the above, the Monitoring Officer retains the right to make astatutory report where, after consultation with the Head of Paid Service and theChief Finance Officer , the Monitoring Officer he is of the opinion that such isnecessary in order to respond properly to a reportable incident.
9.10. To ensure the effective and efficient discharge of this Protocol, the Chief Finance Officer will ensure adequate insurance and indemnity arrangements are in place for the same to protect and safeguard the interests of the Council and the proper discharge of the Monitoring Officer role.
C SANCTIONS FOR BREACH OF MIDDLESBROUGH’S CODE OF CONDUCT FOR MEMBERS AND THIS PROTOCOL
10. Any complaint which indicates that there may have been a breach of the Code of Conduct for Members must be referred to the Monitoring Officer. The Monitoring Officer considers the complaint and determines whether the conduct complained of has occurred within the six months immediately preceding the submission of the complaint. If it has not, the Monitoring Officer will notify the Complainant that the complaint is out of time, and closes the Complaints file; if it has, the Monitoring Officer contacts the Independent Person to discuss the content of the Complaint, and to consider whether an investigation is warranted. Complaints against any breach of this protocol by a Member may be referred to the Standards Hearings Sub Committee and to the relevant Leader of the Political Party Group. Complaints against any breach of this protocol by an Officer may be referred to the Head of Paid Service or their designated representative.
11. ConflictsWhere the Monitoring Officer is in receipt of a complaint or is aware of a potential reportable event relating to a matter upon which he has previously advised the Authority, he shall consult the Head of Paid Service who may then either refer the matter to the a Deputy Monitoring Officer for investigation and report back to the Head of Paid Service or request a neighbouring Authority to make their Monitoring Officer available to the Authority to investigate the matter and report to the Head of Paid Service and/or the Authority as appropriate.
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ANNEX A
SUMMARY OF MONITORING OFFICER FUNCTIONS IN CONSULTATION WITH THE HEAD OF PAID SERVICE
WHERE APPROPRIATE
Description Source
1 Report on contraventions or likely contraventions of any enactment or rule of law.
Section 5 Local Government & Housing Act 1989
2 Report on any maladministration or injustice where Ombudsman has carried out an investigation.
Section 5 Local Government & Housing Act 1989
3 To review regularly the Council’s standing orders, regulations, codes and procedures to ensure they are up-to-date and comply with statutory and best practice requirements.
4 To monitor Committee agenda, reports and general decision-making to ensure that no proposals or decisions breach the law or amount of maladministration.
5 To advise Members and Officers on propriety issues when required.
6 To receive (and consider) copies of certificates under the Local Authorities (Contracts) Regulations 1997.
7 To monitor and revise the assist the Council in the preparation of its new local Code of Conduct for Members or any revisions to that Code (incorporating where appropriate model code optional provisions)as necessary, via the Chair of the Standards Committee, the Constitution and Members’ Development Committee, and Council.
8 To assist the Standards Committee of the Council in its functions and, more particularly, promoting/maintaining Member conduct and assisting Members observe the code.
LGA 2000 Sections 51(4) 54(2) as amended by the Localism Act 2011
9 To establish and maintain a register of Members’ (including co-opted) financial and other interests and make it available for public inspection.
LGA 2000 Section 81 (1)
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10 To advise the Standards Committee on
the granting of dispensations to Members.
LGA 2000 Section 81 (4), (5) as amended by the Localism Act 2011
Description
Source
11 To assist the Standards Committee in the exercise of its functions relating to Parish Councils in its area, including promoting/maintaining Member conduct and advising on local code.
LGA 2000 Section 55 (1), (2) as amended by the Localism Act 2011
12 To receive decision notices from interim case tribunals and advise the Standards Committee on effect/steps to be taken.
LGA 2000 Section 78 (7) as amended by the Localism Act 2011
13 To receive decision notices from case tribunals on behalf of the Standards Committee and advise the Committee on steps (if any) to be taken.
LGA 2000 Section 79 as amended by the Localism Act 2011
14 To advise the Standards Committee on steps to be taken by the Council following receipt of a case tribunal’s recommendations relating to function/code/Standards Committee.
LGA 2000 Section 80 (3) as amended by the Localism Act 2011
15 As a matter of good practice to report to the Council annually on operation of the internal and external complaints systems, and use of the ‘whistleblowing’ procedures.
1998 White Paper para 6.42 LGMB guidance, Public Interest Disclosure Act 1998
16 To consider conducting an annual propriety audit within Council as a preventative measure.
17 Appointment of a Deputy or Deputies. Section 5 Local Government & Housing Act 1989
18 Report on Resources. Section 5 Local Government & Housing Act 1989
19 Receive copies of whistleblowing allegations of misconduct.
Model Code
20 Advice to Members on interpretation of Code.
Model Code and Consultation Paper
21 Key role in promoting and maintaining high standards of conduct through support to the Standards Committee.
Statutory Guidance paragraph 8.20
Description
Source
22 New Ethical framework functions in relation to Parish Councils.
Section 83 (12) LGA 2000
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23 Compensation for maladministration Section 92 LGA 2000
24 Advice on vires issues, maladministration, impropriety, probity and policy framework to all Members.
DETR guidance
25 Acting as Lead Officer for the Standards Committee.
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STATUTORY OFFICER PROFILES
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STATUTORY OFFICER PROFILES
HEAD OF PAID SERVICE
INDIVIDUAL STATUTORY AND CONSTITUTIONAL RESPONSIBILITIES It shall be the duty of the Head of Paid Service, where they consider it appropriate to do so, to prepare a report to the Authority setting out their proposals. Those matters are: the manner in which the discharge by the Authority of their different functions is co-
ordinated; the number and grades of staff required by the Authority for the discharge of their
functions; the organisation of the authority’s staff; the appointment and proper management of the Authority’s staff. A copy of the report should be sent to each member of the Authority. The Head of Paid Service may not be the Monitoring Officer but may hold the post of chief finance officer if a qualified accountant. The Head of Paid Service will: have responsibility for the Council’s management functions;
be responsible for establishing a framework for management direction, style, and
standards, and for monitoring the performance of the organisation; determine and publicise a description of the overall structure of the Council showing
the management structure and deployment of officers; report to full Council on the manner in which the discharge of the Council’s functions
is co-ordinated, the number and grade of officers required for the discharge of functions and the organisation of officers;
be responsible for the corporate and overall strategic management of the Authority. be responsible for establishing a framework for management direction, style and
standards; and for monitoring the performance of the organisation. represent the Authority on partnership and external bodies, in accordance with the
scheme of delegation; publish once a year a notice in at least one local newspaper regarding the Forward
Work Programme.
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CHIEF FINANCE OFFICER
CONSTITUTIONAL AND STATUTORY RESPONSIBILITIES The Chief Financial Officer will IN ENSURING LAWFULNESS AND FINANCIAL PRUDENCE OF DECISION MAKING be responsible for the administration of the financial affairs of the Council; be responsible for all financial elements of the Corporate Governance of the Council; after consulting with the Head of Paid Service and the Monitoring Officer, the Chief
Finance Officer will report to the full Council or to the Executive in relation to an Executive function and the Council’s external auditor, if they consider that any proposal, decision or course of action will involve incurring unlawful expenditure, or is unlawful and is likely to cause a loss or deficiency or if the Council is about to enter an item of account unlawfully;
be responsible for setting and monitoring standards and reserve the right to be involved
in the appointment of all staff employed in posts designated as requiring a qualified accountant or auditor;
in compliance with section 114 of the Local Government Finance Act 1998, report to
the full Council, Executive and external auditor if the Authority or one of its officers has made or is about to make a decision which involves or would involve the Council in incurring expenditure which is unlawful; 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 is on the part of the Council; is about to enter an item of account, the entry of which is unlawful;
produce a report if it appears that the expenditure proposed by the Council in a
financial year is likely to exceed the resources available to meet that expenditure; report to the Executive each year on the general financial situation of the Council and
upon future financial scenarios in relation to the coming year’s budget prospects and long term trends;
be responsible for ensuring that a revenue budget is prepared on an annual basis for
consideration by the Executive, before full submission to the Council. Each Strategic/Assistant Director shall prepare annually a forward revenue budget in accordance with the criteria specified by the Chief Finance Officer;
report to the Executive not less than twice in each financial year on the activities of the
treasury management operation and on the exercise of his delegated treasury management powers;
IN RELATION TO THE ADMINISTRATION OF FINANCIAL AFFAIRS have statutory responsibility for the financial administration and the stewardship of the
Authority arising from the Section 151 of the Local Government Act 1972, The Local Government Finance Act 1988, The Local Government and Housing Act 1989, and The Accounts and Audit Regulations 1996;
be responsible for: the proper administration of the Authority’s financial affairs; setting
and monitoring compliance with financial monitoring standards; advising on the corporate financial position and on the key financial controls necessary to secure
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sound financial management; providing financial information; preparing the revenue budget and the capital programme; treasury management, pension and trust funds; and advice on the safeguarding of assets including risk management and insurance;
be responsible for maintaining a continuous review of the financial regulations and
submitting any additions or changes necessary to the Executive and for approval to the full Council. Also responsible for reporting, where appropriate, breaches of the financial regulations to the Council and/or the Executive;
in accordance with Section 114 of the Local Government Finance Act 1998 nominate
a properly qualified member of staff to deputise should they be unable to perform the duties under Section 114 personally;
approve all financial procedures, records, systems and accounts operated through the
Council including any changes which are subsequently proposed; be responsible for keeping the principal accounting records for all services of the
Council; that the accounts and accompanying reconciliation’s are properly prepared and presented for audit in accordance with relevant guidelines and statutes; undertake the day to day management of the financial work of the Council; provide advice on the retention and safe custody of all accounting records; produce and circulate to relevant officers a set of guidance notes for the production of final accounts; present the Statement of Accounts for the year in question to the Council’s external auditors; and retain copies of the Statement of Accounts;
be informed of the existence of all ‘unofficial funds’ and shall issue and update
accounting instructions for them where necessary; (n.b.) An ‘Unofficial Fund’ is any fund where the income and expenditure does not form part of the Council’s accounts but which is controlled wholly or in part by an officer by reason of employment by the Council or employment, e.g. the Governors of a school or other semi-autonomous body);
be authorised to pay all amounts to which the Council is legally committed; make imprest advances to officers for the purpose of defraying petty cash expenses
and issue instructions on the control and operation on the imprest account; have the final approval to authorise arrangements for payments to be automatically
debited from the Council’s bank account; set out the arrangements necessary to ensure that all monies due are received and
banked promptly; along with the Monitoring Officer, take all reasonable steps to obtain recovery of debts; be responsible for all Executive decisions on borrowing, investment or financing
delegated to the Chief Finance Officer who shall be required to act in accordance with CIPFA’s Code of Practice for Treasury Management in Local Authorities;
be responsible for the administration and day to day operation of the Council’s
borrowings for all purposes and shall raise, repay or vary the terms of loans as necessary.
be the registrar for all stocks, bonds and mortgages of the Council and shall maintain
records of all transactions relating thereto, and of all borrowings of money by the Council;
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be responsible for ensuring that secure arrangements are made for the preparation
and holding of pre-signed cheques, stock certificates, bonds and other financial documents;
ensure that adequate insurance protection is maintained for the Council’s assets and
operations where it is considered to be cost effective and appropriate; be responsible for the negotiation of all the Council’s insurance contracts and have
delegated responsibility for the maintenance of an adequate and effective internal audit;
ensure that the accounting arrangements to be adopted relating to partnerships and
joint ventures are satisfactory and ensuring that the risks have been fully appraised before agreements are entered into with external bodies;
ensure that exemptions to Standing Orders must be recorded, signed by the
Strategic/Assistant Director and countersigned by the Chief Finance Officer. All exemptions must be monitored;
consult the Monitoring Officer and the Strategic Commissioning and Procurement
Technical Manager where contracts to work for organisations other than the Council are contemplated;
take advice from the Monitoring Officer, and the Strategic Commissioning and
Procurement Officer must be consulted where contracts to work for organisations other than the Council are contemplated;
ensure that Best Value and Partnership Arrangements comply with all United Kingdom
and EC Procurement legislation and follow the usual principles in Standing Orders. The advice of the Monitoring Officer, and the Strategic Commissioning and Procurement Officer must be taken;
The Chief Finance Officer shall have the power to make technical amendments to
Standing Orders to make them consistent with legal requirements; IN CONTRIBUTING TO CORPORATE MANAGEMENT contribute to the corporate management of the Council, in particular through the
provision of professional financial advice; IN PROVIDING ADVICE/INFORMATION provide advice on the scope of powers and authority to take decisions,
maladministration, financial impropriety, probity and budget and policy framework issues to all councillors and the Elected Mayor and support and advise the Elected Mayor, councillors and officers in their respective roles;
be responsible for issuing advice and guidance to underpin the financial regulations
that the Elected Mayor, councillors and officers and others acting on behalf of the Authority are required to follow;
be responsible for advising on effective systems of internal control. Those
arrangements need to ensure compliance with all applicable statutes and regulations, and other relevant statements of best practice.
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provide advice on Risk with every Strategic/Assistant Director having a responsibility to support these initiatives;
Provide financial information to the media, members of the public and the community.
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MONITORING OFFICER
STATUTORY AND CONSTITUTIONAL RESPONSIBILITIES Unless Council determines otherwise, tThe Monitoring Officer shall be the Council’s
chief legal officer.
The Monitoring Officer shall be responsible for all non-financial elements of the Corporate Governance of the Council;
It is the duty of the Monitoring Officer to prepare a report to the Council with respect to
any proposal, decision or omission by the Council, committee, sub-committee or officer which could give rise to unlawfulness, maladministration or injustice.
In preparing the report there is a duty to consult with the Head of Paid Services and
the Chief Finance Officer and then arrange for a copy of it to be sent to each member of the Authority.
The Monitoring officer cannot be the Chief Finance Officer or the Head of Paid Service. The Monitoring Officer will: IN RELATION TO THE CONSTITUTION provide access to an electronic copy of the Constitution to eachfor all members of the
Authority, ensure a like copy is available for inspection by members, staff and the public, on via the Council’s website, and ensure that any updated version of the Constitution is updated as necessaryavailable within a reasonable period;
maintain an up-to-date version of the Constitution; monitor and review the operation of the Constitution to ensure that the aims and
principles of the Constitution are given full effect; be aware of the strengths and weaknesses of the Constitution and make
recommendations for ways in which it could be amended including observing meetings; undertaking audit trails of a sample of decisions; record and analyse issues raised by members, officers, public and stakeholders; compare practices with other comparable authorities or national examples of best practice;
give notice to the public of the time and place of any meeting in accordance with the
Access to Information Rules; Be responsible for the system of record keeping in relation to all the full Council’s
decisions. IN RELATION TO STANDARDS AND GOVERNANCE after consulting with the Head of Paid Service and Chief Finance Officer, the
Monitoring Officer will report to full Council, or to the Executive in relation to an Executive function, if they consider that any proposal, decision or omission would give rise to unlawfulness or if any decision or omission has given rise to maladministration. Such a report would have the effect of stopping the proposal or decision being implemented until the report had been considered;
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contribute to the promotion and maintenance of high standards of conduct through the provision of support to the Standards Committee;
conduct investigations into complaints against elected and co-opted Members, which
after consultation with an Independent Person appointed for such purposes, are felt to have breached the Council’s Code of conduct and make reports or recommendations in respect of them to the Standards Committee;
conduct such other investigations as it appears to the Monitoring Officer are necessary to ensure appropriate corporate governance;
ensure that Executive decisions, together with the reasons for those decisions and
relevant officer reports and background papers are made publicly available as soon as possible;
advise on whether decisions of the Executive are in accordance with the budget and
policy framework; provide advice on the scope of powers and authority to take decisions,
maladministration, financial impropriety, probity and budget and policy framework issues to all councillors and the Elected Mayor;
be responsible for Corporate Complaints, Ombudsman Cases, reviewing the
Constitution and Whistle Blowing; be responsible for establishing a framework for management direction, style and
standards and for monitoring the performance of the organisation; be responsible for reporting any actual or potential breaches of the law or
maladministration to the full Council and/or to the Executive, and for ensuring that procedures for recording and reporting key decisions are operating effectively;
ensure that the Executive decisions and the reasons for them are made public; be responsible for advising the Elected Mayor, all councillors and officers about who
has authority to take a particular decision; be responsible for referring to full Council any proposed variations to approved
budgets, plans and strategies and which form part of the policy framework; be responsible for promoting and maintaining the same high standards of conduct with
regard to financial administration in partnerships that apply throughout the Authority; Receive written notice from the Elected Mayor on amendments to the scheme of
delegation of Executive functions.
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STATUTORY SCRUTINY OFFICER
STATUTORY AND CONSTITUTIONAL RESPONSIBILITIES
It shall be the duty of the Statutory Scrutiny Officer
to promote the role of the authority’s Overview & Scrutiny Board and Scrutiny Panels to provide support to the authority’s Overview & Scrutiny Board and Scrutiny Panels,
and to the Members of those committees to provide support and guidance to:
members of the authority, including members of the Executive of the Council; and officers of the authority,
in relation to the Council’s overview and scrutiny functions.
All of the above shall also apply to any sub-Committee, working party or other
arrangement that undertakes Scrutiny function within or on behalf of the Council.
The Scrutiny Officer will not be the authority’s Head of Paid Service, monitoring officer or chief finance officer.
The Statutory Scrutiny Officer will:
have responsibility for the overall management of the Council’s Scrutiny functions as
set out above; be responsible for the corporate and overall strategic development of the Council’s
Scrutiny functions; be responsible for establishing a framework for standards in respect of, and for the
monitoring of, the performance of the Council’s Scrutiny functions; report to full Council on the manner in which the Council’s Scrutiny functions have
been discharged; publicise the Council’s Scrutiny functions within and outside the Council;
(Local Democracy, Economic Development and Construction Act 2009, s31)
COMPLAINTS MANAGER
STATUTORY AND CONSTITUTIONAL RESPONSIBILITIES
It shall be the duty of the Complaints Manager: to ensure that the Council fulfils its requirements in relation to:
representations made under the Children Act 1989; complaints made under the Health & Social Care(Community Health and Standards)
Act 2003, and the requirements of Part III of the Local Government Act 1974
to ensure best practice in relations to complaints and representation made to the Council
to promote the authority’s Complaint Procedures to provide support and guidance to Members of the authority, including members of
the Executive of the Council and officers of the authority, in relation to the duties, practices and procedures in dealing with Complaints.
The above shall also apply to Independent Panels constituted under the requirements of the Children Act 1989 Representations Procedures (England) Regulations 2006.
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The Complaints Manager will:
have responsibility for the overall management and overview of the Council’s Complaints functions as set out above
be responsible for the corporate and overall strategic development of the Council’s Complaints functions,
be responsible for establishing, updating, maintaining and publishing the framework for standards and practice in relation to complaints (the Corporate Complaints
Procedures) be responsible for the monitoring of the performance of the Council’s Corporate
Complaints Procedures report to full Council on the manner in which the Council’s Corporate Complaints
Procedures have been discharged publicise the Council’s Complaints Procedures within and outside the Council; ensure that the directorates with responsibility for discharging those functions
provided for within the Children Act 1989 Representations Procedures (England) Regulations 2006 and the Local Authority Social Services and National Health Service Complaints (England) Regulations 2009 meet the requirements of those regulations
JOINT STATUTORY AND CONSTITUTIONAL RESPONSIBILITIES
The Head of Paid Service, in consultation with the Chief Finance Officer shall produce
and circulate to all relevant officers a set of guidance notes for the production of the Capital Programme
The Monitoring Officer and the Chief Finance Officer will Give advice to the Executive, committees of the Executive, individual members of the
Executive and any officers or joint arrangements discharging Executive functions on making decisions outside the budget or policy framework.
Provide advice to the Overview and Scrutiny Board or a scrutiny panel on the process
of call in of decisions, which if made, would be contrary to the policy framework or not in accordance with the Council’s budget.
Be responsible for advising the Executive or full Council whether a decision is likely to
be considered contrary to or not wholly in accordance with the budget The Head of Paid Service and the Monitoring Officer will Be responsible for the system of record keeping in relation to all the full Council’s
decisions
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OTHER STATUTORY ROLE PROFILES
STATUTORY SCRUTINY OFFICER
STATUTORY AND CONSTITUTIONAL RESPONSIBILITIES The Statutory Scrutiny Officer shall be the Members and Statutory Services Manager. It shall be the duty of the Statutory Scrutiny Officer: to promote the role of the authority’s Overview & Scrutiny Board and Scrutiny Panels to provide support to the authority’s Overview & Scrutiny Board and Scrutiny Panels,
and to the Members of those committees to provide support and guidance to:
members of the authority, including members of the Executive of the Council; and
officers of the authority,
in relation to the Council’s overview and scrutiny functions. All of the above shall also apply to any sub-Committee, working party or other arrangement that undertakes Scrutiny function within or on behalf of the Council. The Scrutiny Officer will not be the authority’s Head of Paid Service, monitoring officer or chief finance officer. The Statutory Scrutiny Officer will: have responsibility for the overall management of the Council’s Scrutiny functions as
set out above; be responsible for the corporate and overall strategic development of the Council’s
Scrutiny functions; be responsible for establishing a framework for standards in respect of, and for the
monitoring of, the performance of the Council’s Scrutiny functions; report to full Council on the manner in which the Council’s Scrutiny functions have been
discharged; publicise the Council’s Scrutiny functions within and outside the Council; (Local Democracy, Economic Development and Construction Act 2009, s31)
COMPLAINTS MANAGER
STATUTORY AND CONSTITUTIONAL RESPONSIBILITIES
It shall be the duty of the Complaints Manager: to ensure that the Council fulfils its requirements in relation to: representations made under the Children Act 1989; complaints made under the Health & Social Care(Community Health and Standards)
Act 2003, and the requirements of Part III of the Local Government Act 1974 to ensure best practice in relations to complaints and representation made to the
Council to promote the authority’s Complaint Procedures to provide support and guidance to Members of the authority, including members of
the Executive of the Council and officers of the authority, in relation to the duties, practices and procedures in dealing with Complaints.
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The above shall also apply to Independent Panels constituted under the requirements of the Children Act 1989 Representations Procedures (England) Regulations 2006. The Complaints Manager will: have responsibility for the overall management and overview of the Council’s
Complaints functions as set out above be responsible for the corporate and overall strategic development of the Council’s
Complaints functions, be responsible for establishing, updating, maintaining and publishing the framework
for standards and practice in relation to complaints (the Corporate Complaints Procedures)
be responsible for the monitoring of the performance of the Council’s Corporate Complaints Procedures
report to full Council on the manner in which the Council’s Corporate Complaints Procedures have been discharged
publicise the Council’s Complaints Procedures within and outside the Council; ensure that the directorates with responsibility for discharging those functions provided
for within the Children Act 1989 Representations Procedures (England) Regulations 2006 and the Local Authority Social Services and National Health Service Complaints (England) Regulations 2009 meet the requirements of those regulations
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PROPER OFFICER FUNCTIONS
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PROPER OFFICER FUNCTIONS
1. The Council has appointed the following Proper Officers:
2. Head of Paid Service:
(i) Head of Paid Service (Section 4, Local Government and Housing Act 1989). (ii) Acceptance of declaration of office of Chair and Vice Chair of the Council
(Section 83 Local Government Act 1972) . (iii) Not withstanding 3 (i) of the functions of the Monitoring Officer, the Head of
Paid Service will be the Proper Officer for distribution of all papers relating to the Executive.
3. Monitoring Officer
(i) Monitoring Officer (Section 5, Local Government and Housing Act 1989). (ii) In relation to any reference in any enactments passed before or during the
1971–1972 session of Parliament, other than the Local Government Act 1972, or in any instrument made before 26th October 1972, to the Clerk of a Council or the Town Clerk of a Borough, which by virtue of any provision in the said Act, is to be construed as a reference to the Proper Officer of the Council.
(iii) Preparation, publication, distribution, and retention of papers and records of decisions taken by Council, Committees, Sub-Committees, Executive, Individual Executive Members, and Executive Sub-Committees (Local Government Act 1972).
(v)(iv) Section 6(3) Sheriffs Act 1887. (vi)(v) Returning Officer and Electoral Registration Officer (Section 35 and Section 38
representation of the People Act 1983).
(vii)(vi) Acceptance of declaration of office of members (Section 83 Local Government Act 1972).
(ix)(vii) For the purposes of the Common Registration Act 1965 and the Commons Act
2006. (xi)(viii) Section 82 Representation of the People Act 1983 (Election candidates
expenses). (xiii)(ix) Local Authorities (Members Interests) Regulations 1992. (xv)(x) Section 61(2A) Local Government (Miscellaneous Provisions) Act 1976 issue
of certificate of decision of Executive. (xvii)(xi) Record of Executive Members prejudicial interests (Local Authorities
(Executive and Alternative Arrangements) (Modification of Enactments) Order 2001.
(xix)(xii) Determination of confidential and exempt reports and decisions of
Executive (Local Authorities) (Executive Arrangements) (Access to Information) (England) Regulations 2000.
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(xxi)(xiii) Parish trustee (Section 13(3) Local Government Act 1972). (xxiii)(xiv) Receipt of declaration of resignation of office (Section 84 Local
Government Act 1972). (xxv)(xv) Convening Council meeting to fill casual vacancy of Chair (Section
88(2) Local Government Act 1972). (xxvii)(xvi) Receipt of Notice of casual vacancy from 2 local government electors
(Section 89(1)(b) Local Government Act 1972). (xxix)(xvii) Receipt and keeping of record notice of pecuniary interests (Section 96
Local Government Act 1972). (xxxi)(xviii) Access to information (Section 100 B-F Local Government Act 1972). (xxxiii)(xix) Freedom of Information requests (Freedom of Information Act 2000). (xxxv)(xx) Charity functions of offices with existing authorities transferred to
holders of equivalent office with new authority (Section 210(6) and (7) Local Government Act 1972).
(xxxvii)(xxi) Deposit of documents (Section 225(1) Local Government Act 1972). (xxxix)(xxii) Certification of photographic copies of documents (Section 229(5) Local
Government Act 1972). (xli)(xxiii) Authorisation of documents (Section 234(1) and (2) Local Government
Act 1972). (xliii)(xxiv) Copies of Bye-laws (Section 236(9) and (10) Local Government Act
1972). (xlv)(xxv) Certification of Bye-laws (Section 238 Local Government Act 1972). (xlvii)(xxvi) Roll of Freeman (Section 248 Local Government Act 1972). (xxvii) Signature of summonses to Council meetings (Schedule 12 para 4(2)(b) Local
Government Act 1972). (xxviii) Receipt of notices of addresses to send summonses (Schedule 12 para 4(3)
Local Government Act 1972). (xxix) Certificate of resolutions (Schedule 14 para 25(7) Local Government Act 1972). (xxx) Receipt a deposit of lists of protected buildings (Schedule 16 para 28 Local
Government Act 1972). (xxxi) Rent Office Service (Section 63 Rent Act 1977). (xxxii) Receipt of notification from The Elected Mayor of the appointment and terms
and conditions of appointment of The Elected Mayor’s Assistant (The Local Authority Elected Mayor’s and Mayor’s Assistants Regulations 2002 (2002 SL 975).
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(xxxiii) Receipt of notification from The Elected Mayor of any objections to the proposed appointments made by the Chief Officer Appointments Committee (The Local Authorities (Standing Orders) (England) Regulations 2001, as amended).
(xxxiv) Proper Officer for the purpose of the Registration Services Act 1953. (xlix) (iv) For the purposes of the Common Registration Act 1965 and the Commons Act
2006. (v) Section 82 Representation of the People Act 1983 (Election candidates
expenses). (vi) Local Authorities (Members Interests) Regulations 1992. (vii) Section 61(2A) Local Government (Miscellaneous Provisions) Act 1976 issue
of certificate of decision of Executive. (viii) Record of Executive Members prejudicial interests (Local Authorities
(Executive and Alternative Arrangements) (Modification of Enactments) Order 2001.
(ix) Determination of confidential and exempt reports and decisions of Executive
(Local Authorities) (Executive Arrangements) (Access to Information) (England) Regulations 2000.
(x) Acceptance of declaration of office of members. (Section 83 Local Government
Act). (xi) Parish trustee (Section 13(3) Local Government Act 1972). (xii) Receipt of declaration of resignation of office (Section 84 Local Government
Act 1972). (xiii) Convening Council meeting to fill casual vacancy of Chair (Section 88(2) Local
Government Act 1972). (xiv) Receipt of Notice of casual vacancy from 2 local government electors (Section
89(1)(b) Local Government Act 1972.)
(xv) Receipt and keeping of record notice of pecuniary interests (Section 96 Local Government Act 1972).
(xvi) Access to information (Section 100 B-F Local Government Act 1972). (xvii) Charity functions of offices with existing authorities transferred to holders of
equivalent office with new authority (Section 210(6) and (7) Local Government Act 1972).
(xviii) Deposit of documents (Section 225(1) Local Government Act 1972) (xix) Certification of photographic copies of documents (Section 229(5) Local
Government Act 1972). (xx) Authorisation of documents (Section 234(1) and (2) Local Government Act
1972).
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(xxi) Copies of Bye-laws (Section 236(9) and (10) Local Government Act 1972). (xxii) Certification of Bye-laws (Section 238 Local Government Act 1972). (xxiii) Roll of Freeman (Section 248 Local Government Act 1972). (xxiv) Signature of summonses to Council meetings (Schedule 12 (xxv) Receipt of notices of addresses to send summonses (Schedule 12 para 4(3)
Local Government Act 1972). (xxvi) Certificate of resolutions (Schedule 14 para 25(7) Local Government Act 1972). (xxvii) Receipt a deposit of lists of protected buildings (Schedule 16 para 28 Local
Government Act 1972.) (xxviii) Rent Office Service (Section 63 Rent Act 1977). (xxix) Receipt of notification from The Elected Mayor of the appointment and terms
and conditions of appointment of The Elected Mayor’s Assistant (The Local Authority Elected Mayor’s and Mayor’s Assistants Regulations 2002 (2002 SL 975).
(xxx) Proper Officer for the purpose of the Registration Services Act 1953. (xxxi) Politically restricted post (Section 2 Housing and Local Government Act 1989)
as amended by the Local Government and Public Involvement in Health Act 2007
(xxxii) Monitoring Officer (Local Government and Housing Act 1989)
4. Chief Finance Officer
(i) Proper administration of financial affairs (Section 151 Local Government Act 1972).
(ii) In relation to any reference in any enactment or instrument to a Borough
Treasurer or Treasurer which, by any such provision is to be construed as a reference to the Proper Officer of the Council.
(iii) Receipt of money due from officers (Section 115 Local Government Act 1972). (iv) Declarations and certificates with regard to securities (Section 146(1)(a) and
(b) Local Government Act 1972.) 5. Head of Human Resources
(i) Politically restricted post (Section 2 Housing and Local Government Act 1989) as amended by the Local Government and Public Involvement in Health Act 2007.
65. Assistant Director of Environment, Property & and Commercial Services
(i) To receive applications under Section 1 Ordnance Survey Act 1841.
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(ii) In relation to any reference in any enactment or instrument to a Borough Engineer, Borough Surveyor, Surveyor or Head of Engineering which by any provision of the Local Government Act 1972, is to be construed as a Proper Officer of the Council.
(iii) Traffic Manager –Traffic Management Act 2004. 76. Assistant Director of Public Health and Public Protection
(i) In relation to any reference in any enactment or instrument to a Sanitary Inspector or Public Health Officer, which by any such provision is to be construed as a reference to the Proper Officer of the Council.
(ii) Representation of unfit houses (Section 606 Housing Act 1985). (iii) Receipt of application for Licence under Schedule 2 Licensing Act 1964.
87. Assistant Director of Social Care and Health Integration
( )(i) The Proper Officer appointed under Section 6 of the Local Authority Social Services Act 1970
98. Strategic Executive Director of Children’s Services
(i) The Proper Officer appointed under Section 18 of the Children Act 2004.
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Local Code of Corporate Governance
Live: February 2018Review date: February 2019
1Page 41 of 60
Title Local Code of Corporate Governance
Creator
Author(s) Ann-Marie Johnstone
Approved by Corporate Affairs and Audit Committee
Department Finance and Governance
Service area Performance and Partnerships
Head of Service Paul Stephens
Director James Bromiley
Date
Created February 2017
Submitted
Approved
Updating Frequency Annual
Status Version: 2.0
Contributor(s)Ann-Marie Johnstone, Paul Stephens, Bryn Roberts, Jennifer Barker, Sylvia Reynolds, John Shiel, Ian Wright, James Bromiley.
Legislation Accounts and Audit (England) Regulations 2011, regulation 4 (3)
Subject Corporate Governance
Type Policy
Vital Record EIR
Coverage Middlesbrough Council
Language English
Document Control
Version Date Revision History Reviser
1.0 March 2018
2.0 February 2018 Annual review
Distribution List
Version Date Name/Service area Action
1.0 March 2017 Corporate Affairs and Audit Committee membership Endorse
2.0 February 2018 Corporate Affairs and Audit Committee Endorse
2Page 42 of 60
INTRODUCTION
1. Corporate governance is about the systems, processes and values by which localauthorities operate and by which they engage with, and are held accountable to, theircommunities and stakeholders.
2. The Council is committed to achieving effective corporate governance, and hasadopted this Local Code of Corporate Governance, which establishes how goodgovernance will be achieved within the organisation.
GOOD GOVERNANCE
3. The Council’s code follows principles of good governance set out in guidance issued bythe Chartered Institute of Public Finance and Accountancy (CIPFA) and the Society ofLocal Authority Chief Executives (SOLACE) (Delivering Good Governance in LocalGovernment (2016)). These are:
behaving with integrity, demonstrating strong commitment to ethical values, andrespecting the rule of law;
ensuring openness and comprehensive stakeholder engagement; defining outcomes in terms of sustainable economic, social and environmental
benefits; determining the interventions necessary to optimise the achievement of the
intended outcomes; developing the entity’s capacity, including the capability of its leadership and the
individuals within it; managing risks and performance through robust internal control and strong public
financial management; and implementing good practices in transparency, reporting, and audit to deliver
effective accountability.
BENEFITS OF GOOD GOVERNANCE
4. Good governance leads to good management, good performance, good stewardship ofpublic money, good public engagement and ultimately good outcomes for those wholive, work in or visit Middlesbrough.
5. It enables the Council to effectively pursue delivery of the Mayor’s Vision forMiddlesbrough, as well as underpinning plans for delivery with mechanisms for thecontrol and management of risk.
IMPLEMENTING GOOD GOVERNANCE
6. The Council has a robust governance framework in place. The table below sets out inhigh level terms the steps the Council takes to ensure its processes, policies, systemsand practices align with the principles of good governance.
7. The framework comprises of a wide range of policies and procedures, which embedthe core principles of the CIPFA/SOLACE framework into all aspects of the Council’sconduct and operation.
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CIPFA / SOLACE principle / supporting principles To meet these requirements, the Council will:
Behaving with integrity, demonstrating strong commitment to ethical values and respecting the rules of law
Behaving with integrity
Demonstrating strong commitment to ethical values
Respecting the rule of law
Work diligently and with integrity to achieve the Elected Mayor’s Vision of a Fairer, Safer, Stronger Middlesbrough by 2025.
Clearly document expected behaviours, and decision-making processes, for members and officers, and regularly review these.
Effectively communicate expected behaviours to members and officers, and provide appropriate training on ethical behaviour.
Ensure members, statutory officers, other key postholders are able and supported to fulfil their duties and meet their responsibilities.
Ensure compliance by maintaining effective audit committee, internal audit and scrutiny functions, and standards and disciplinary processes.
Ensuring openness and comprehensive stakeholder engagement
Openness
Engaging comprehensively with institutional stakeholders
Engaging with individual citizens and service users effectively
Document and operate a culture of openness and transparency within the organisation.
Maintain a culture of accountability, so that membersand officers understand for what they are accountable and to who.
Consult appropriately with stakeholders on the development of its budget, key plans and service development.
Maintain effective decision making processes, ensuring that reports to decision makers clearly set out stakeholder views where relevant.
Publish all Executive and Committee reports and decision papers, unless there is a legitimate need to preserve confidentialities on the basis of the statutory tests.
Publish on its website information on the Council’s strategies, plans and finances as well as on outcomes, achievements and challenges.
Defining outcomes in terms of sustainable economic, social and environmental benefits
Defining outcomes
Sustainable economic, social and environmental benefits
Clearly set out its contribution to delivery of the Vision for Middlesbrough, and use this as the basis for its overall strategy, planning and other decisions.
Define outcomes through robust consideration of appropriate evidence bases, such as the Joint Strategic Needs Assessment.
Ensure that it delivers defined outcomes on a sustainable basis within available resources.
Effectively identify and manage risks to the achievement of targeted outcomes.
Manage customer expectations effectively when determining priorities to make best use of resources, and ensure fair access to services.
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CIPFA / SOLACE principle / supporting principles To meet these requirements, the Council will:
Determining the interventions necessary to optimise the achievement of the intended outcomes
Determining interventions
Planning interventions
Optimising achievement of intended outcomes
Ensure reports to decision makers on services are fair, balanced, and analyse options and the risks associated with those options, to ensure Best Value is achieved.
Ensure that external and internal stakeholders are engaged with when the Council is determining how services should be planned and delivered, and the outcome of consultations is considered when decisions are made.
Ensure achievement of social value through service planning and commissioning.
Ensure that it has clear and robust planning and control cycles for its strategic and operational plans, priorities and targets.
Determine appropriate KPIs to demonstrate service and project performance, and provide members and senior managers with timely updates on these.
Ensure medium and long term resource planning is realistic, sustainable and inclusive.
Prepare budgets that are aligned to the strategic objectives of the organisation and its MTFP.
Developing the Council’s capacity, including thecapability of its leadership and the individuals within it
Developing the Council’s capacity
Developing the capability of the Council’s leadership and other individuals
Regularly review operations to ensure that it is continuing to deliver services that are effective, including the use of benchmarking and sectoral research.
Work collaboratively and in partnerships where added value can be achieved.
Maintain an effective approach to organisational development to ensure continued capacity and capability to deliver.
Clearly define roles, responsibilities and terms of engagement for members and employees.
Maintain and regularly review its schemes of delegations that outline the types of decisions that are delegated and those that are reserved for collective decision-making.
Develop the capabilities of members and senior management to achieve effective shared leadership.
Ensure there are appropriate structures in place to encourage public participation.
Ensure that systems are in place to ensure that members and staff can be both held to account for performance, and supported as appropriate.
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CIPFA / SOLACE principle / supporting principles To meet these requirements, the Council will:
Managing risks and performance through robust internal control and strong public financial management
Managing risk
Managing performance
Robust internal control
Managing data
Strong public financial management
Embed effective risk management within all activities, ensure that progress is reviewed regularly and that risk is considered as part of decision making.
Ensure effective performance management of service delivery, and provide members and senior managers with timely updates on service performance and progress towards outcomes.
Ensure reports to decision makers on services are fair, balanced, and analyse options and the risks associated with those options, to ensure Best Value is achieved.
Ensure effective, member-led scrutiny is in place thatprovides constructive challenge and debate on objectives and policies before, during and after decisions are taken.
Ensure an effective, risk-led Internal Audit service is in place to provide assurance on the overall adequacy and effectiveness of the Council’s governance arrangements.
Ensure effective counter fraud and anti-corruption policies and arrangements are in place.
Ensure effective internal control arrangements exist for sound financial management.
Maintain an effective audit committee function.
Ensure effective arrangements are in place to collect, store, use and share data, including processes to safeguard personal data,
Put in place arrangements to ensure that data used to support decision-making is accurate and clear.
Ensure financial management arrangements supportboth long term outcome delivery and day-to-day operations.
Implementing good practices in transparency, reporting, and audit to deliver effective accountability
Implementing good practice in transparency
Implementing good practices in reporting
Assurance and effective accountability
Provide reports in plain English wherever possible, ensuring that they are easy to access and interrogate and balancing transparency requirementswith clarity.
Report regularly on performance, delivery of value for money and stewardship of resources.
Report on compliance with good governance principles within its Annual Governance Statement, including an action plan for continued improvement.
Ensure compliance with good governance principles extends to its partnership arrangements.
Ensure that recommendations made by external audit are addressed
Ensure that the internal audit service has direct access to members to enable it to provide assurancewith regard to governance arrangements.
Welcome and positively engage with peer challenges, reviews and inspections of its services.
MONITORING AND REVIEW
8. The policies and procedures that underpin the Council’s governance framework arereviewed regularly, with revisions presented to Corporate Affairs and Audit Committeefor agreement.
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9. The Council’s alignment with the CIPFA / SOLACE principles will be reviewed eachyear within the Annual Governance Statement (AGS) document, which is part of theCouncil’s Statement of Accounts. The AGS will assess the Council’s compliance, andoutline any improvement actions to be taken as a result of this assessment.
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MIDDLESBROUGH COUNCIL
Report of: The Monitoring Officer – Bryn Roberts
Submitted to: Constitution and Members’ Development Committee – 30 November 2018
Subject: Localism Act 2011 – Repeal of Legislation – Dealing with Petitions
Summary
Proposed decision(s)
To provide Council with the opportunity to review the Council’s current Petitions Scheme adopted at the Council meeting on 19 May 2010, following the repeal of legislation relating to the requirement for the Council to have a statutory Petitions scheme.
Report for: Key decision:
Confidential: Can be called-in:
Decision No No No
Contribution to delivery of the 2018-22 Strategic Plan
Business Imperatives Physical Regeneration Social Regeneration
The legislation relating to therequirement to have a statutory petitions scheme was repealed in 2012. In linewith the review of the Council Constitution it is considered timely to review the Council’s current Petitions Scheme which waslast reviewed in 2010.
Not applicable Not applicable
Ward(s) affected
Not applicable
What is the purpose of this report?
1. The purpose of the report is to agree the revised Petitions Scheme following the repeal of legislation relating to the requirement for local authorities to have a statutory scheme.
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Why does this report require a Member decision?
2. The initial statutory Petitions Scheme was agreed by full Council on 19 May 2010 and any revisions to the scheme should be confirmed by full Council.
Report Background
3. The Local Democracy and Construction Act 2009, made it a statutory duty for allCouncils to adopt a formal petition scheme. The Localism Act 2011 repealed therequirement for such a scheme and provided the opportunity for the currentpetitions scheme to be reviewed in order to provide greater clarity and flexibility inrespect of dealing with petitions. As part of the review research was carried out inrelation to other local authority’s petition schemes and to examine best practice.Whilst there is no longer a legal requirement for the authority to have a petitionsscheme it is deemed appropriate to have a mechanism that allows the public tohighlight issues that are of importance to many people and requires some form ofresponse from the Council
What decision(s) are being asked for?
4. (i) That Council decide whether to revise the Council’s current Petitions Scheme adopted at the Council meeting on 19 May 2010, following the repeal of legislation relating to the requirement for the Council to have a statutory petitions scheme.
(ii) If the decision is to revise the scheme, for Council to adopt the suggested new Petitions Scheme. See appendix1 & 2
Why is this being recommended?
5. There has been some confusion with regards to the process for dealing with petitions received by the Council, which has resulted in some negative experiences by the public. The revised petition scheme will provide greater clarity in respect of how petitions will be dealt with in the future. As a full review of the Council’s constitution is also being considered this will provide Council with the opportunity to review the Council’s current Petitions Scheme which has not been reviewed since 2010.
Other potential decisions and why these have not been recommended
6. Maintain the current procedure which is out of date and not in line the customer focussed ethos that the Council is promoting.
Impact(s) of recommended decision(s)
Legal
7. No impact.
Financial
8. No impact.
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Policy Framework
9. Not applicable. The report does not propose an amendment to the policy framework.
Equality and Diversity
10.Not applicable.
Risk
11.The public may become disenfranchised with the democratic process if clarity is notprovided which could also lead to negative publicity
Actions to be taken to implement the decision(s)
12. If agreed, the Council’s Petition scheme will be amended and put into a user friendly format
Background papers
No background papers were used in the preparation of this report.
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APPENDIX 1
MIDDLESBROUGH COUNCIL - DRAFT REVISED PETITIONS SCHEME
Summary Middlesbrough Council welcomes petitions and recognises that they are one of manyways in which people can let the Council know about their concerns and participate in the democratic process. This document sets out how the Council will deal with petitions that meet the criteria set out in the scheme. Petitions may be in paper format or via an e-petition (found on the Council website) click here
Please ensure that you read the full scheme prior to submitting a petition to the Council.
The type of petition determines how a petition will be responded to. There are two types of petitions:
I. Ordinary petitions requiring at least 100 signatures
II. Petitions for debate at full Council requiring at least 1,500 signatures
More detail about how the Council will respond to each of these is found on page 3 of this scheme. For the purposes of this scheme, the number of signatures is judgedat the date of submission to the Council; signatures added after submission will not be counted.
If something is clearly intended to be a petition but does not meet the requirements set out in this scheme, we will ask the relevant service area to provide a response directly to the petition organiser.
What is a petition? We treat a petition as any communication which is signed by or sent to us on behalf of a number of people.
Who can submit a petition? Anyone who lives, works or studies in Middlesbrough can organise or sign a petition.
What must a petition contain? A clear and concise statement of your concerns and what action you would
like the Council to take. If this is not clear we may need to return the petition to you for further clarification. This statement should be present prior to any signature being applied to the petition, and should be included on every page.
The name and contact details of the “petition organiser” or someone to whom you would like any correspondence about the petition to be sent.
The name, full address (including postcode) and signature of any person supporting the petition. If the details of any person are not clear then these may not be counted towards the total number.
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In addition to the above for Paper petitions the Council requires that the petition also contains:
a total number of signatories on each page and ensure each page/ side has apage number before submission. See the example petition form
What can a petition be about? Petitions should relate to any matter which is relevant to the functions of the Council or where the Council has influence.
Exceptions to the Petitions Scheme The majority of petitions we receive will be accepted but there are some circumstances where we will not be able to deal with your petition under this scheme. Petitions that fall outside of this scheme include:
Any matter that the Council is not directly responsible for or has no influence over. We will return the petition to you and where possible direct you to the correct organisation.
Any matter relating to a planning decision which has been made. For further information about making representations about planning decisions, please contact [email protected]
Any matter relating to a licensing application. For further information about making representations please contact the Councils licensing section
A statutory petition (for example a petition in respect of the creation or abolition of a directly elected Mayor). Please contact the Council’s Returning Officer.
Any matter where there is already an existing right of appeal or a separate complaints process, such as council tax banding, non-domestic rates and scrutiny call-in.
Any specific issue that the Council is carrying out a formal consultation on. Please see page 5 for further information regarding how we will deal with yourpetition in this circumstance.
A petition where we have received another petition on the same issue within the previous two years and the issues are fundamentally similar in nature. In these circumstances, we will write to the petition organiser and include a copyof the response to the first petition received.
Any petition we consider to be vexatious, abusive or otherwise inappropriate. You should not include confidential information or potentially libellous, false or defamatory statements or statements which cause personal offence, distress or loss.
Any petition that is asking the Council to do anything unlawful or relating to the subject of any legal action taken by the Council or individual.
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Types of petition and numbers of signatures required
Ordinary Petitions To be considered valid, a petition should contain at least 100 signatures, names and addresses. If your petition contains less than 100 signatories but you are able to demonstrate that, in relation to a particularly local issue of concern, it was simply not possible to obtain 100 signatures, the Council may still consider your petition under this scheme.
If your petition is accepted as an ‘ordinary petition’ you will receive an acknowledgement within 10 working days of receipt and be advised of the action being taken with regards to your petition.
In most circumstances an ordinary petition will be submitted to the appropriate Executive member who will liaise with the appropriate Service Director’s for consideration. You will receive a response to your petition from the Executive Member or the relevant officer within four weeks of acceptance of your petition. If more time is required, the petitioner will be contacted with a new deadline for response and the reasons why.
Petitions for debate at full Council (1500 or more signatories)On receipt the appropriate Executive Member, the relevant service area and where appropriate the local ward councillors will be informed of the details of the petition.
If your petition is accepted as a valid petition and suitable for debate at full Council you will be contacted within 7 working days of receipt. The validity of a petition for fullCouncil will be determined by the Monitoring Officer in consultation with the Chair of the Council.
This means that the issue raised in the petition may be discussed at a meeting where all councillors can attend, if the petition organiser wishes to take this opportunity.
The Council will aim to consider the petition at its next ordinary meeting providing it has been accepted, although on some occasions this may not be possible and consideration will then take place at the following meeting.
For a petition to be considered at the next ordinary Council meeting the petition mustbe submitted with a minimum of 10 clear working days’ notice prior to the next ordinary Council meeting. This is to allow the governance / administrative processes to take place. Petitions may not be submitted to the Annual meeting or any Extraordinary meeting of the Council.
Petition organisers are welcome to present their petition at full Council up to a maximum of five minutes. Councillors may then debate the petition for up to a maximum of 10 minutes. Democratic Services Officers will contact the lead petitionerto inform them of the Council procedures.
The Council will decide how to respond to the petitioner at the meeting. It may decide to take the action the petitioner requests, take no further action, request
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further investigation i.e. via a scrutiny review into the matter or refer to the appropriate service area to respond. If the issue is one that requires the Executive tomake the final decision, the Council will decide whether to make recommendations to inform that decision.
Petition debates cannot not take place at the Council’s budget setting, annual or extraordinary meetings.
All petitions When a petition is received which relates to a local matter (particularly affecting specific electoral wards) a copy of the petition will be sent to each relevant ward councillor and the relevant executive Member at the same time as acknowledging receipt of the petition to the petition organiser.
It may be inappropriate for the Council to deal with certain petitions during periods when it is subject to restrictions, such as immediately before elections or referendums. In these circumstances, the petition organiser will be informed when the petition will be considered, or when any material relating to it will be published onthe Council’s website. In this circumstance we will contact you within 7 working days to explain the situation to you.
If your petition falls outside of the criteria of the scheme it will be treated as correspondence and sent to the relevant service area for a response. The relevant senior officer will have discretion and flexibility to decide how to reply to this correspondence so that they are able to take appropriate action and respond to the request within 20 working days.
How to submit a petition You can submit a petition either as a paper petition to the following address: Democratic Services Middlesbrough Council PO BOX 503Town HallMiddlesbroughTS1 9FX
or by using the Council’s e-petition facility:
E-Petitions The Council welcomes e-petitions that are created and submitted through our website. E-petitions must follow the same guidelines as paper petitions; electronic petitions which do not follow these guidelines will be treated as correspondence and will be responded to as noted above.
The petition organiser will need to provide the Council with their name, postal address and email address. Unless otherwise agreed following discussions with the petition organiser, an e-petition will remain open for signatures for a period of 90 days.
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When an e-petition is created, it may take up to five working days before it is published online. This is because checks will need to be made on the suitability of the content matter before it is made available for signatures. If the petition falls outside the scheme you will be advised and are welcome to submit a revised version. If the petition does not fall within the scheme it will not be published on the Council’s website.
When an e-petition has closed for signatures, it will be considered as part of this petitions scheme.
Joint Petitions Petitions can also be made up of both paper and electronic and must follow the rulesfor both types of petition. The submission of signatures on paper must take place prior to the closing date of the e-petition and the petition organiser must state on both the paper petition and e-petition that it is a joint petition.
How do I sign an e-petition? When you sign an e-petition you will be asked for your name, postcode and a valid email address. When you have submitted this information you will be sent an email with a link that you must click in order to validate your email address and petition signature.
Further information
How will the Council deal with petitions relating to ongoing consultations? If the Council receives a petition about an issue that it is already consulting with residents about, the petitions scheme will be suspended for that petition. All petitions received that relate to the subject of a formal consultation will automatically be incorporated into the formal consultation process at the earliest stage possible. Petition organisers will be informed of this course of action within 7 working days.
Sometimes we receive petitions after the consultation deadline has passed but before a final decision has been taken. In these circumstances the decision maker will be asked to take your petition into consideration when they make the decision.
All petitions received after a decision has been taken on a matter that the Council has previously consulted residents on will not be considered under the scheme but will be passed to the relevant senior officer to respond.
What happens after the petition is submitted? We will send an acknowledgement letter within 7 working days of receipt to the petition organiser.
This acknowledgement will also say as much as we can at that stage of about what we have done or plan to do. If your petition meets the requirements for a debate at a Council meeting you will also be informed of the process for this.
Other reasons your petition may be rejected The specific criteria for the petitions scheme are set out earlier in this guidance. If a petition does not meet the criteria it will not be considered under the scheme. If we are unable to consider your petition using the scheme we will send an
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acknowledgement letter within 7 working days of receipt to the petition organiser setting out the reasons why and what action we can take, if any, in response to your submission.
Outside the general exceptions there are several reasons why a petition may be rejected, including but not exclusively:
the petition statement is not clear
the subject matter of the petition is not within the remit of the Council
the entries contain incomplete or invalid information such as no full address
What can I do if I feel my petition has not been dealt with properly? If you are unhappy with the way that your petition has been processed, you can submit a complaint to the Council via the Corporate Complaints scheme.
Will my paper petition be published on the Council’s website? No. For paper petitions the subject of the petition and the number of signatures in support of the petition will be published. Signatures and addresses will not be will be published for Data Protection reasons. We aim to publish petitions on our website within 10 working days of receipt.
If you create an e-petition using the Council’s facility this will be published on the website as soon as it has been checked for suitability.
Petitions are presented on the website in the order in which they are received. Details of petitions received will be kept on the website for up to two years from the date of receipt unless subject to further appeal or other action.
Will the Council check each signature? The Council 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 a specific process.
Privacy Policy The details you provide when signing a paper or e-petition are needed to validate your support. For paper petitions no personal details will be included on the website, for e-petitions only your name will be listed. The Council may contact you in relation to any petitions you have signed, unless you have requested not to be contacted when signing the petition.
Middlesbrough Council is the data controller for personal information collected in respect of both the Council’s E-petition facility and for paper petitions.
Your personal information will not be shared outside of the Council, unless otherwise required to by law.
Paper petitions will be scanned and stored securely in electronic format and will be deleted after 12 months unless subject to further appeal or other action.
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EXAMPLE PETITION FORM APPENDIX 2
We the undersigned Statement …………………………(Put here what your issue/concern is)
We request the council ………………(Put here what action you want the Council to take)
Please note: Only people who live, work or study in Middlesbrough can sign this petition. If you work or study in Middlesbrough - please also indicate which in the address No. LEAD PETITIONER Contact details -address & tel or
email addressSIGNATURE
1
PRINTED NAME HOME ADDRESS SIGNATURE
2 A Nother 123 full Home Address - Stockton (Work)
345678910111213141516171819202122232425
Please note addresses may be checked to ensure they meet the Council’s petition criteria.
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Please submit your petition to:Democratic Services, Middlesbrough Council, PO BOX 503 Town Hall, Middlesbrough TS1 9FX
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