Council Constitution Part 3 – Procedure Rules

Section 1 – Overview

The Budget and Policy Framework

1.1 The Council will be responsible for the approval and adoption of the Budget and Policy Framework as set out in Part 2 of the Constitution. Once a budget or policy framework is in place it will be the responsibility of the Executive to implement it.

1.2 The Budget and Policy Framework refers to the financial and policy decisions of the Council where:

• the Leader and Cabinet makes recommendations for the policy or budget decision to Full Council, and
• the Full Council makes the final decision to adopt the Leader and Cabinet’s recommendations. If Full Council does not accept or fully accept the Leader and Cabinet’s recommendations, the procedure below must be followed.

1.3 The following rules are mandatory Standing Orders required to be adopted by the Council under the Local Authorities (Standing Orders) (England) Regulations 2001 to set out how the Budget and Policy Framework will be agreed.

Process for Developing the Policy Framework

Leader and Cabinet policy proposals

1.4 The Leader and Cabinet will publicise in the Forward Plan published on the Council’s website a timetable for making proposals to the Council for the adoption of any plan or strategy that forms part of the Policy Framework and its arrangements for consultation, and the period of such consultation, after the publication of those initial proposals.

1.5 The Chair of the Scrutiny and Performance Committee will be notified in relation to such proposals to enable that Committee to investigate and respond to those proposals during the consultation period.

1.6 The consultation period shall be not less than 3 weeks.

1.7 At the end of that period, the Leader and Cabinet will draw up final proposals, having regard to the responses to the consultation.

1.8 The Leader and Cabinet will submit its draft plan or strategy to Full Council for adoption.

Council’s Consideration of Leader and Cabinet draft plan or strategy

1.9 Full Council will consider the draft plan or strategy and take one of the following decisions:

• Adopt the Leader and Cabinet’s proposals and if so the draft plan or strategy is agreed as Council policy; or
• Inform the Leader of any objections it has to the Leader and Cabinet’s draft plan or strategy, including any amendments to the proposals.

1.10 If the Council has objections to the Leader and Cabinet’s initial proposals, it must:

• Give the Leader instructions requiring the Cabinet to reconsider, in the light of those objections, the draft plan or strategy submitted to it.
• Specify a period (“the relevant period”) of at least 5 Working Days beginning on the day after the date on which the Leader receives the instructions on behalf of the Cabinet within which the Leader may reconsider the draft plan or strategy.

Leader’s consideration of the Council’s objections

1.11 The Leader may, within the relevant period, give notice in writing to the Monitoring Officer of her/his intention to:

• submit a revised draft plan or strategy to Full Council including the reasons for any amendments; and
• inform Full Council of its disagreement with the Council’s objections to the draft plan and strategy and the reasons for the disagreement.

1.12 If the Leader does not take the above action within the relevant period, the Council’s decision on the draft plan or strategy (with any amendments) will become effective at the expiry of the relevant period.

Full Council’s final decision

1.13 If the Leader gives notice in writing to submit a revised draft plan or strategy, or disagrees with the Council’s objections to the original draft plan or strategy, the Full Council must meet to reconsider and agree the plan or strategy either:

• at the next ordinary Council meeting; or
• at an extraordinary Council meeting for this purpose if a decision needs to be made at a sooner date.

1.14 The Council’s final decision to adopt the plan or strategy must take into account, where applicable, the Leader’s revised draft plan or strategy or disagreement with the Council’s objections.

Process for Developing the Budget Framework: Setting the Annual Council Tax and Budget

The Formulation of Budget Proposals

1.15 The Leader and Cabinet will publicise in the Forward Plan published on the Council’s website a timetable for making its budget proposals to the Council for the adoption and its arrangements for consultation, and the period of such consultation, after the publication of those initial proposals.

1.16 The Chair of the Scrutiny and Performance Committee will be notified in relation to such proposals to enable that Committee to investigate and respond to those proposals during the consultation period.

1.17 The consultation period shall be not less than 3 weeks.

1.18 At the end of that period, The Leader and Cabinet will draw up final proposals, having regard to the responses to the consultation.

1.19 The Leader and Cabinet will submit its draft budget proposals to Full Council in accordance with the following procedure.

Leader and Cabinet’s Budget Estimates or Amounts

1.20 In any financial year the Leader and Cabinet shall submit to Full Council for its consideration in relation to the following financial year:

• estimates of the amounts to be aggregated in making a calculation (whether originally or by way of substitute) in accordance with any of sections 31A, 31B, 34 to 36A,42A,42B, 45 to 49, 52ZF, 52ZJ of the Local Government Finance Act 1992;
• estimates of other amounts to be used for the purposes of such a calculation;
• estimates of such a calculation; or
• amounts required to be stated in a precept under Chapter IV of Part I of the Local Government Finance Act 1992.

1.21 The proposals at 1.20 shall be called collectively the “Budget Estimates or Amounts”.

The Budget Setting Meeting: Full Council’s consideration of the budget estimates or amounts

1.22 The Full Council shall consider the Budget Estimates or Amounts at its annual budget setting meeting.

1.23 Where the budget decision meeting takes place before 8^th February in any financial year the provisions in paragraphs 1.24 to 1.28 below are applicable.

1.24 If the Full Council approves the Budget Estimates or Amounts without amendment, this decision will be final.

1.25 If the Full Council has any objections to the Budget Estimates or Amounts, it must:

• before it makes a calculation (whether originally or by way of substitute) in accordance with any of the sections referred to in paragraph 1.20 above or issues a precept under Chapter IV of Part I of the Local Government Finance Act 1992;
• inform the Leader of any objections which it has to the Budget Estimates or Amounts; and
• give the Leader instructions requiring the Cabinet to reconsider, in the light of those objections, those estimates and amounts in accordance with the Council’s requirements.

Leader’s revised budget estimates or amounts

1.26 Where the Council gives instructions in accordance with paragraph 25 above, it must specify a period (“the relevant period”) of at least 5 Working Days beginning on the day after the date on which the Leader receives the instructions on behalf of the Cabinet, within which the Leader may:

• submit a revision of the estimates or amounts as amended by the Cabinet (“revised estimates or amounts”), which have been reconsidered in accordance with Full Council’s requirements, with the Cabinet’s reasons for any amendments made to the estimates or amounts, to the authority for Full Council’s consideration; or
• inform the Full Council of any disagreement that the Cabinet has with any of the Council’s objections and the Cabinet’s reasons for any such disagreement.

Full Council’s consideration of the Leader’s revised budget estimates or amounts

1.27 The Full Council must meet after the expiry of the relevant period to make calculations (whether originally or by way of substitute) in accordance with the sections referred to in paragraph 1.20 above or issue a precept under Chapter IV of Part I of the Local Government Finance Act 1992.

1.28 When making the decisions at paragraph 1.27, Full Council must take into account the Leader’s submissions under paragraph 1.26 including:

• any amendments to the estimates or amounts that are included in any revised estimates or amounts;
• the Cabinet’s reasons for those amendments;
• any disagreement that the Cabinet has with any of the Council’s objections; and
• the Cabinet’s reasons for that disagreement.

Recorded Vote

1.29 A recorded vote will be held for any vote taken at the Council’s budget setting meeting, including in respect of amendments.

Decisions outside the Budget or Policy Framework

1.30 Subject to the provisions of the Financial Procedure Rules, the Cabinet, individual Portfolio Holders, individual Officers, Committees or joint arrangements discharging Executive functions may only take decisions which are in line with the approved Budget and Policy Framework.

1.31 If any of those bodies or persons wishes to make a decision which is contrary to the approved Budget or Policy Framework the decision may only be taken by Council, subject to the Rule below in respect of urgent decisions outside the Budget and Policy Framework.

1.32 If those bodies or persons detailed above want to make a decision which is or may be contrary to the Budget and Policy Framework, they shall first consult and take advice from the Monitoring Officer and/or the Section 151 Officer as to whether the decision they want to make would be contrary to the Budget and/or Policy Framework.

1.33 If the advice of the Monitoring Officer or the Section 151 Officer is that the decision would not be in line with the existing Budget and/or Policy Framework, then the decision must be referred by that body or person to the Council for decision, unless the decision is a matter of urgency, in which case the provisions in paragraphs 1.35 to 1:37 below (urgent decisions outside the Budget and Policy Framework) shall apply.

1.34 Council may either:

• endorse a decision or proposal of the Cabinet decision taker as falling within the existing Budget and Policy Framework.  In this case no further action is required, save that the decision of the Council be minuted and circulated to all Councillors in the normal way; or
• amend the budget framework or policy concerned to encompass the decision or proposal of the decision taker responsible for that Cabinet function and agree to the decision with immediate effect. In this case, no further action is required save that the decision of the Council be minuted and circulated to all Councillors in the normal way; or
• where the Council accepts that the decision or proposal is contrary to the policy framework or contrary to, or not wholly in accordance with the budget and does not amend the existing framework to accommodate it, require the decision taker to reconsider the matter in accordance with the advice of either the Monitoring Officer/ Chief Financial Officer and refer it back to the Cabinet.  The decision taker must reconsider within 7 Working Days of the Council meeting; and
• Whatever decision the Cabinet takes at that meeting is final, bearing in mind that a decision taken outside the Budget or Policy Framework will be unlawful.

Urgent decisions outside the Budget or Policy Framework

1.35 The Leader, the Cabinet, a Cabinet Committee, an individual member of the Cabinet, Officers, or joint arrangements discharging Executive functions may take a decision which is contrary to the Council’s Policy Framework or contrary to or not wholly in accordance with the Budget approved by Full Council if the decision is a matter of urgency. However, the decision may only be taken if:

• any delay likely to be caused by the Call-in process would seriously prejudice the Council’s or the public’s interest;
• it is not practical to convene a quorate meeting of the Full Council within the Access to Information Rules; and
• the Chair of the Scrutiny and Performance Committee agrees that the decision is a matter of urgency.

1.36 The reasons why it is not practical to convene a quorate meeting of Full Council and the Chair of the Scrutiny and Performance Committee’s consent to the decision being taken as a matter of urgency must be noted on the record of the decision.  In the absence of the Chair the consent of their Deputy Chairperson or, in the absence of both, the Chairman or Vice-Chairman of Council will be sufficient.

1.37 Following the decision, the decision taker will provide a full report to the next available Full Council meeting explaining the decision, the reasons for it and why the decision was treated as a matter of urgency.

Amendments of Approved Budgets and Budget Transfers (Virement)

1.38 Virement is the ability to meet increased expenditure or reduced income under one expenditure code from savings in another expenditure code. The Council’s Rules on virement are set out in the Financial Procedure Rules (Part 3.3) of this Constitution.

In-year changes to Policy Framework

1.39 No changes to any policy and strategy which make up the Policy Framework may be made by the Leader, Cabinet, Committees or Officers, or joint arrangements except those changes:

• which will result in the closure, amendment or discontinuance of a service or part of a service to meet a budgetary constraint;
• are necessary to ensure compliance with the law, ministerial direction, or government guidance; and
• which are within the scope set out for in year changes in the policy document in question, or when the policy document was approved by Full Council.

Call-in of Decisions outside the Budget or Policy Framework

1.40 Where the Scrutiny and Performance Committee is of the opinion that an Executive decision is, or if made would be, contrary to the Policy Framework, or contrary to or not wholly in accordance with the Council’s Budget, then it shall seek advice from the Chief Executive, Monitoring Officer and/or S151 Officer.

1.41 In respect of functions which are the responsibility of the Cabinet, the Monitoring Officer’s report and/or Section 151 Officer’s report shall be to the Cabinet with a copy to every Member of the Council. Regardless of whether the decision is delegated or not, the Cabinet must meet to decide what action to take in respect of the Monitoring Officer’s and/or Section 151 Officer’s report and to prepare a report to Council in the event that the Monitoring Officer or the Section 151 Officer conclude that the decision was a departure, and to the Scrutiny and Performance Committee if the Monitoring Officer or the Section 151 Officer conclude that the decision was not a departure.

1.42 If the decision has yet to be made, or has been made but not yet implemented, and the advice from the Monitoring Officer and/or the Section 151 Officer is that the decision is or would be contrary to the Policy Framework or contrary to or not wholly in accordance with the Budget, the Scrutiny and Performance Committee may refer the matter to Council. In such cases, no further action will be taken in respect of the decision or its implementation until the Council has met and considered the matter. The Council shall meet within ten days of the request by the Scrutiny and Performance Committee. At the meeting it will receive a report of the decision or proposals and the advice of the Monitoring Officer and/or the Section 151 Officer. The Council may either:

• a. Endorse a decision or proposal of the Cabinet decision taker as falling within the existing Budget and Policy Framework. In this case no further action is required, save that the decision of the Council be minuted and circulated to all Members in the normal way;
• b. Amend the Council’s financial regulations or policy concerned to encompass the decision or proposal of the body or individual responsible for that Executive function and agree to the decision with immediate effect. In this case, no further action is required save that the decision of the Council be minuted and circulated to all Members in the normal way; or
• c. Where the Council accepts that the decision or proposal is contrary to the Policy Framework or contrary to or not wholly in accordance with the Budget, and does not amend the existing framework to accommodate it, it may require the Cabinet to reconsider the matter in accordance with the advice of either the Chief Executive, the Monitoring Officer or the Section 151 Officer.

Introduction

1.1 The Procurement and Contracting Procedures Rules (‘PCRs’) aim to set clear guidelines for procuring all goods, works and services mandated by the Local Government Act 1972. They are intended to promote good purchasing practice, public accountability and deter corruption, incorporating the legal requirements of the Procurement Act 2023 and related legislation. Additionally, the PCRs align with Procurement Policy Notes (PPNs) and National Procurement Policy Statements (NPPS) issued by the Cabinet Office.

1.2 The Procurement Act 2023 sets out the following objectives. A contracting authority must have regard to:

• delivering value for money;
• maximising public benefit;
• sharing information for the purpose of allowing suppliers and others to understand the authority’s procurement policies and decisions;
• acting, and being seen to act, with integrity.
• have regard to the fact that small and medium-sized enterprises may face particular barriers to participation, and
• consider whether such barriers can be removed or reduced.

and must

• treat suppliers the same unless a difference between the suppliers justifies different treatment; and
• if different treatment is justified, not put a supplier at an unfair advantage or disadvantage.

1.3 The PCRs must be read in conjunction with any other relevant laws, regulations, policies and/or procedures including the Procurement Guide, Financial Procedure Rules, the Officer Scheme of Delegation, and English Law.

1.4 Where a procurement was started under the Public Contracts Regulations 2015 governance for that procurement and any resulting contract continues to be those Regulations rather than the Procurement Act 2023.

1.5 Officers involved in procurement activities and making procurement decisions must be fully aware of and comply with the PCRs as they form part of this Constitution.

1.6 Following the PCRs will ensure compliance with the Procurement Act 2023 objectives in respect of transparency, integrity and accountability in procurement practices that will contribute towards excellence in financial management and also provide a full audit trail to counter any allegations that a purchase has been made unfairly, incorrectly or fraudulently.

1.7 In the event of any conflict between the PCRs and any procurement legislation, the relevant procurement legislation takes precedence.

1.8 In the event of any conflict between these rules, the Officer Scheme of Delegations and the Financial Procedure Rules the order of precedence shall be, the Financial Procedure Rules, the PCRs and the Officer Scheme of Delegation.

1.9 Procurement decisions are crucial because they involve public funds, and the Council is responsible for ensuring efficient resource use to drive continuous improvement and maximise public benefit by providing quality and value for money services. Equally important is the Council’s reputation from any accusations of dishonesty or corruption. As these rules are required by law failure to comply with them could lead to disciplinary action.

1.10 In the event of a breach of these rules, the Officer must make an immediate report to Procurement Manager (PM) and Monitoring Officer (MO) detailing the nature of the breach and any management action taken to address the issues arising from the breach. The PM/MO will maintain a record of all such breaches.

1.11 Procurement practices are supported by the procurement strategy which outlines the future direction and deliverables of strategic procurement. For practical and more detailed advice about how to undertake a procurement exercise, please contact the Procurement Team.

1.12 The PCRs must be followed by the Council and its strategic partners where contractually binding. The PCRs must also be followed by arms-length organisations when they are entering into contracts on behalf of the Council.

1.13 The PCRs do not apply to grants; however, the Officer dealing with the grant (either incoming or outgoing grants) must ensure that any procurement requirements that the funding body may have within the terms and conditions of the grant are included in any procurement and contract documentation. For more information regarding the grant procedure speak to Legal Services.

1.14 The PCRs must be considered along with the Financial Procedure Rules and Officer Scheme of Delegation. The Section 151 Officer is responsible for keeping the PCRs under review and is also responsible for monitoring compliance with the PCRs and for undertaking an annual review of them.

1.15 The PCRs applies to all purchases by the Council of goods, works and services, apart from the list stated below. It applies to all Council employees and elected Members.

1.16 The PCRs do not apply to the following:

• Certain types of legal advice such as relating to judicial proceedings and / or dispute resolution
• Certain types of financial advice such as funding or financing arrangements and investment services
• Direct employment of permanent or fixed term employees or of interim or agency staff. For the avoidance of doubt, the PCRs do apply to consultancy and employment agency contracts.
• Land contracts (including leases, licences and transfers)
• Grants of money since these cannot be contracts as there is no consideration and they are not services required to be delivered by the Council
• Vertical arrangements – the Council exercises a parent or similar control or joint control with other Councils on the entity as much as it does with its own departments, and the entity carries out more than 80% of its activities for the controlling Council and there is no private sector money in the entity
• Horizontal arrangements (Council to Council / public body co-operation) – to achieve objectives which the bodies have in common through an arrangement that is solely for the public interest and that the parties perform less than 20% of the services covered by the arrangement on the open market
• Any other goods/services/works falling under the definition of an “exempted contract” in the Procurement Act 2023
• Expenditure incurred as a result of an insurer led arrangement
• When procuring a part of a joint procurement, where another contracting authority is acting as the procurement lead. The PM must be satisfied that the procurement complies with all applicable laws. The lead authority’s rules will take precedence.

1.17 Whilst the PCRs covers the key aspects of procurement legislation it would not be practical for it to cover all eventualities. If you want advice or further information, see the Procurement Guide.

Roles and Responsibilities

1.18 All purchasing and disposal procedures and contracts must be compliant with the latest versions of the following: applicable procurement legislation, Government Procurement Agreement (GPA), National and Council policies and regulations.

1.19 It is each Officers’ responsibility to ensure compliance against Council policies and procedures, and any further service specific requirements. If in any doubt, please seek further advice from Procurement. Any specific queries on complying with all other legal requirements must be handled by Legal Services.

1.20 It is the responsibility of each Officer to ensure that any relevant procurements are included in the annual Procurement Programme.

1.21 Any Officer undertaking a procurement process must:

• seek and take due account of all necessary legal, financial and procurement professional advice as early as possible at the beginning of any procurement project
• ensure that there is an adequate approved budget to cover the full cost of the goods, services or works to be procured
• ensure that appropriate authority has been obtained, whether that is in accordance with the Officer Scheme of Delegations as set out in the Constitution; as part of the Procurement Programme approved by Cabinet or as a standalone Cabinet or Full Council approval.
• ensure that agents, consultants and any contractual partners acting on the Council’s behalf also comply with the PCRs.
• comply with the rules set out in the PCRs, the Procurement Guidance, the Financial Procedure Rules, the relevant procurement legislation, the Officer Code of Conduct, and with any other UK legislation, any Government Procurement Policy Notes (PPNs) and the National Procurement Policy Statement (NPPS).
• where applicable, comply with the requirements of the Equalities Act 2010, the Public Services (Social Value) Act 2012, the Localism Act 2011, the Bribery Act 2010, the Modern Slavery Act 2015, General Data Protection Regulation 2018, TUPE 2006, Freedom of Information Act 2000, and Transparency Code 2015.
• Declare any personal interest in a contract, financial or otherwise and keep and maintain a conflict-of-interest assessment throughout any procurement process (see section 5).
• not enter into any leasing agreements or other forms of borrowing, including the set-up of store or credit cards other than those arranged or approved by the Section 151 Officer or as may otherwise be required as set out in the Officer Scheme of Delegations.
• keep the relevant Head of Service updated on all the relevant stages of the procurement process.
• Check whether there is an existing corporate contract that can be used before seeking to award another contract; where a suitable contract exists this should be used unless there is a justifiable reason not to.
• ensure that all procurements above the value of £30,000 are completed in consultation with the Procurement and Legal teams.
• ensure that when a Framework is being used, consult with Procurement and Legal Services regardless of value so checks can be undertaken to ensure the Council has been clearly identified in the contract advert and that the framework is being accessed as per the conditions set out in the Framework (see section 10).
• Give due regard to the local economy, the economic, social and environmental wellbeing and value for the Council area and any other sustainability factors.
• Ensure that, where appropriate, whole life cost consideration is given to the goods, service or works to be purchased.
• issue an order using the Council’s financial management system, where appropriate.
• comply with the Council’s Transparency Code obligations by promptly submitting information about any procurement or commissioned activity over £5,000 immediately after it has taken place using the e-form and ensuring that all contracts are recorded on the Council’s Contracts Register.
• ensure appropriate contract management is undertaken.

Additional Responsibilities:

Corporate Directors and Heads of Service (Senior Leadership Team) (‘SLT’)

1.22 SLT has responsibility for all contracts tendered and let by their service area. The Head of Service is accountable to the Cabinet for the performance of their duties in relation to contracts tendered and the management of contracts, which are to:

• ensure that all relevant staff are familiar with the provisions of the PCRs and that they have access to appropriate training
• ensure compliance with any guidelines issued in respect of the PCRs
• take immediate action in the event of a breach of the PCRs within their area
• ensure that the Portfolio Holder is kept up to date with the progress of relevant procurements
• ensure that the Council’s Contract Register is updated with the details of any new contracts or extension to an existing contract or agreement

Section 151 Officer and Monitoring Officer

1.23 The Section 151 Officer and Monitoring Officer ensure that:

• the PCRs and associated Procurement Guidance are kept up to date and easily accessible
• training is available to Officers and members

The Role of Members

1.24 Members have a key role to play in providing oversight to the PCRs, making decisions on major projects, considering risks and ensuring that the Council takes best advantage of the public procurement rules.

1.25 Full details on the role that Members play in procurement activity can be found in the LGA’s A Councillor’s Guide to Procurement, 2025 edition (local.gov.uk)

Prevention of Corruption/Declaration of Interests

1.26 Officers involved in procurement activity must comply with the PCRs and must not offer, promise or give any gift or reward in respect of the award or performance of any contract, unless the contract is financially constructed in such a way to pay the supplier payment by results. Members involved in procurement activity will at all times act in a manner consistent with the Members’ Code of Conduct.

1.27 Officers must take all reasonable steps to identify and keep under review any conflicts of interest or potential conflicts of interest.

1.28 Where an Officer has a potential conflict of interest in a procurement, the Officer must declare this immediately to the relevant Director. The Officer may be required to withdraw from the procurement process. Any Officer who fails to declare such a conflict of interest may be subject to disciplinary proceedings and risks being prosecuted under the Bribery Act 2010.

1.29 Officers must take all reasonable steps to ensure that a conflict of interest does not put a supplier at an unfair advantage or disadvantage. If the Officer deems that the advantage or disadvantage cannot be avoided, they should contact the procurement team before progressing further with the procurement. This obligation starts when the need for the procurement is first identified and continues until the termination of the contract.

1.30 Where the procurement is valued over £30,000, a conflicts assessment must be prepared by the Officer in conjunction with the Procurement Team before the procurement is issued. This should include details of all conflicts or potential conflicts of interest and any steps that the Council has taken or will take to mitigate that conflict of interest. This may include any steps taken to demonstrate that there is no conflict of interest where one might be perceived.

1.31 This conflicts assessment must be kept under review and revised as necessary during the procurement and contract term.

1.32 Any person who influences a decision must be included in the conflict of interest review.

1.33 The Procurement Manager shall maintain a record of conflict of Interest declarations and will escalate declared conflicts of interest to the Section 151 and Monitoring Officers;

1.34 The Section 151 Officer and MO shall consider any declarations of interest and determine whether the individual making the declaration can continue to be involved in the procurement process or contract award;

Risk Management

1.35 All procurements valued over £30,000 will need a constantly reviewed and updated risk assessment. This will need to be established during the procurement planning phase by the Officer and kept updated until the contract is terminated, where appropriate this should be incorporated into the Corporate Risk Management Policy and Framework. The Procuring Officer will need to establish the risk assessment and keep it updated during the procurement phase and then pass it on to the Contract Manager so that it can be updated through the contract management phase.

1.36 For each risk you should establish the likelihood of it happening, the impact of it happening and any mitigations that can be put in place.

1.37 Having a complete risk assessment is more important than ever under the Procurement Act 2023, as the materialisation of known risks (those which are detailed in either your tender notice and/or tender documents) can enable you to make a contract modification without the need to re-procure.

1.38 Some example procurement risks are provided below but this list is not by any means exhaustive:

• Not enough time to complete the procurement. 
• Insufficient resources to complete the procurement.
• Lack of a competitive market
• Supplier stability 
• Poor performance
• Market inflation

Public Services (Social Value) Act 2012

1.39 The Public Services (Social Value) Act 2012 requires the Council to have regard to economic, social and environmental well-being in connection with any service contract above threshold where the Council commissions an individual, voluntary sector organisation, or company to provide those services on behalf of the Council. It may also be applied voluntarily on sub threshold procurements.

1.40 The Council has a Social Value Policy which sets out the Council’s social value requirements. The Policy has a number of commitments that it expects suppliers to sign up to either on a voluntary or a mandatory basis, depending on the value of the contract being procured. In addition, for higher value contracts, suppliers should be asked a specific question relating to social value as part of the quality evaluation criteria.

1.41 Prior to undertaking a procurement process the Officer should consider:

• how the procured service might improve the economic, social and environmental well-being of the relevant area (within the boundaries of the public bodies involved in the procurement exercise)
• how the economic, social and environmental elements should be incorporated into the relevant procurement documents such as the specification, evaluation criteria, and contract conditions. Only economic, social and environmental matters which are relevant to what is to be procured may be incorporated. Those that are included must be proportionate to the requirement being procured.

Sustainability and Environmental Considerations

1.42 In 2019 the Council declared a Climate Change and Environment Emergency and there is a target to reduce Scope 3 emissions (including those of our suppliers) by 52% by 2030. You should therefore consider how you can build climate change into your procurement.

Supporting Local Businesses

1.43 Officers are required to use their purchasing power to work with local businesses wherever possible where this provides equal or better Value for Money for the Council than alternatives.

1.44 Officers should carefully review the required specifications of any Contract to ensure that small and medium sized enterprises are not being disadvantaged in their ability to tender for goods, works or services with the Council.

1.45 For large value contracts, consideration should be given as to whether the contract can be divided into Lots in order that small and medium sized enterprises can bid for local work. The decision not to divide into Lots should be clearly documented in the Procurement and Legal Instruction Form (PLIF). Where a contract is to be divided into Lots the process followed should still be in line with the total value of all requirements.

Preliminary Market Engagement

1.46 Prior to undertaking a competitive procurement exercise, early market engagement or soft market testing (SMT) is encouraged.

1.47 Preliminary market engagement with suppliers and other persons (such as trade associations or consultant advisors) can be used to develop requirements and approach (e.g. specification), identifying any innovation or new developments in the pipeline, and assist in estimating the cost of the requirements.

1.48 The Officer responsible for the purchase may consult potential suppliers prior to the issue of the Invitation to Tender in general terms about the nature, level and standard of the supply, contract packaging and other relevant matters, provided this does not prejudice any potential candidate.

1.49 Officers must not seek or accept technical advice on the preparation of an Invitation to Tender or quotation from anyone who may have a commercial interest in the tender, as this may prejudice the equal treatment of all potential candidates or distort competition.

1.50 Officers should avoid seeking quotes from suppliers or having demonstrations prior to a formal procurement process without speaking to the Procurement Team beforehand.

1.51 Any advice obtained may be used to assist in the creation of the procurement documents and inform how the procurement process is conducted but the lead Officer must ensure the use of this information does not distort competition by favouring any supplier or discriminate against any suppliers or organisations. If information is provided to organisations taking part in the market engagement process, the Officer must consider how it is subsequently made available to any organisations taking part in the formal procurement process. In some cases, there may be grounds to exclude a supplier from the procurement process so the Procurement Team should be consulted prior to any engagement.

1.52 If the Council is carrying out a market engagement event for an above threshold tender this must be conducted with the Procurement Team.

Frameworks

1.53 A framework is usually a contract that has been officially tendered for by a local authority, public sector organisation, purchasing consortium, or central government. Acquiring goods, works or services under a framework can be an efficient method of procuring the Council’s requirements. The contract is awarded to one or more suppliers and has provision for other named public sector bodies to use the contract without having to undertake their own tender process so long as these public bodies have been clearly identified in the advert which led to the creation of the framework.

1.54 Frameworks can be used at any of the threshold levels, however procurement and legal advice must be sought. A direct award under a framework should only be used when the benefits justify its use and the Council is able to prove value for money has been achieved.

1.55 Caution must be taken as the requirements for accessing a framework can vary from one agreement to another. Failure to comply with the rules of a framework could result in the Council being found in breach of the Procurement Act 2023.

Dynamic Markets

1.56 Dynamic Markets can only be used for contracts valued over the relevant UK threshold and so the Procurement Team should always be contacted for advice before you consider using a dynamic market.

Joint Procurement

1.57 The Council may participate in a procurement process organised by another authority; however, each Council is legally responsible for ensuring compliance with the Procurement Act 2023 whether undertaking the procurement exercise itself, or jointly with other authorities. The Council will be responsible for adhering to the associated governance processes.

1.58 Officers shall ensure in consultation with the Procurement Team that all procurement activity whether undertaken directly by their department on behalf of other authorities or through participation in a joint procurement process led by another authority that it is conducted in accordance with the Procurement Act 2023. Officers should immediately inform the Procurement team about any concerns of non-compliance should any occur during the procurement process.

Exemptions

1.59 The PCRs allows for the requirement to obtain quotations or tenders, or parts of the process, to be exempted under certain conditions however:

• no exemptions can be made if the relevant above UK Threshold applies
• no exemptions can be made retrospectively

1.60 An exemption can only be applied if it clearly benefits the Council. When considering an exemption, an assessment of the associated costs, benefits, and risks must be conducted. An exemption will only be granted if the risks are proportionate to the benefits, and the justification for the exemption must be well-documented and a subsidy assessment will need to be undertaken to ensure compliance with the Subsidy Control Act 2022.

1.61 While not exhaustive, the grounds for exemption are likely to be one of the following:

• a contract is required as a matter of genuine urgency (for example, flood alleviation or damage) or in force majeure situations where it is not possible to complete a full procurement process.
• unforeseen circumstances that any diligent Council could not have foreseen (for example, a national pandemic).
• there are sound reasons why there would not be a genuine competition, and no reasonable alternative is available, for example IT software maintenance.
• the specification for goods and services is of a specialised nature which only a limited number of suppliers can meet, and tenders will be invited from all suitable suppliers.
• the contract period cannot be accurately determined as the service area is undergoing review or restructure which may change future requirements. In these instances, an exemption may be granted for a limited period of time in order to ensure the correct delivery model can be agreed prior to tender or quote.
• an additional piece of work is required that could not have been originally envisaged and can therefore only be completed by a specific supplier. For example, upgrades to existing IT systems where it is not financially feasible to use an alternative supplier. Please note, this may result in a contract variation being required rather than an exemption. In all instances, if the original contract value is likely to be exceeded you should seek advice from the Procurement Team.
• the contract offered by a supplier is to undertake investigative spend and/or contract analysis with the intention of achieving savings.
• price control- if the price is controlled by trade organisations or government order and there is no reasonable alternative.
• repairs or parts — if the only option is to repair or buy new parts for existing equipment or buildings, and there is only one supplier.
• purchase is to be made by auction (including online auctions).
• purchase is for a patented article.
• there are other circumstances that the Monitoring Officer in consultation with the Section 151 Officer agrees.

1.62 In instances where a repeat exemption is requested, the value of the requested exemption must be added to the value of any previous exemptions and the appropriate rule/regulation applied.

1.63 Where the total value of the ensuing contract exceeds £5,000, it must be added to the Council’s Contract Register to ensure compliance with Local Government Transparency Code 2015.

1.64 All exemptions and their justifications must be documented, see Procurement Guidance for more information.

Procurement Procedures

Type A

1.65 Type A applies to procurements valued between:

1.66 Up to £120,000 (inclusive of VAT) for goods and services

1.67 Up to £250,000 (inclusive of VAT) for works, concessions and light touch services

1.68 Before commencing a Type A procurement, Officers must seek advice from the Procurement and Legal Teams to discuss appropriate procurement strategy, route to market and suitable contract terms

1.69 A procurement and legal instruction form must be completed

1.70 Valid Routes to market include:

• Closed quotes i.e. invite a minimum of 3 suppliers to quote.
• Open tender quote
• Framework

1.71 Officers should first consider if any current corporate contracts or framework agreements can be used prior to procuring goods, works or services.

1.72 Officers should prioritise the use of local companies when soliciting a quote, except where this would not provide value for money.

1.73 Approval to award the contract must be obtained from

• For contracts up to £30,000 – the appropriate budget holder.
• For contracts over £30,000 up to the thresholds above – the appropriate Head of Service.

1.74 Authority to enter into the contract must be obtained in accordance with the Officer Scheme of Delegation or as is otherwise appropriate.

Type B

1.75 Type B applies to procurements valued between:

• £120,000 to UK Threshold (inclusive of VAT) for goods and services.
• £250,000 to UK Threshold (inclusive of VAT) for works, concessions and light touch services.

1.76 The UK thresholds are reviewed regularly. For the current thresholds, see Procurement Guidance for current values.

1.77 Type B procurements must be run by the Procurement Team and advice on suitable terms must be sought from the Legal Team.

1.78 A PLIF must be completed.

1.79 Valid routes to market include:

• Closed quote i.e. invite a minimum of 3 suppliers to quote.
• Open tender
• Framework

1.80 Approval to award the contract must be obtained from the appropriate Head of Service and Corporate Director.

1.81 Authority to enter into the contract must be obtained in accordance with the Officer Scheme of Delegation or as is otherwise appropriate.

Type C

1.82 Type C applies to all procurements above the UK threshold.

1.83 Type C procurements must be run by the Procurement Team and advice on suitable terms must be sought from the Legal Team.

1.84 Valid routes to market:

• Open Procedure
• Competitive Flexible Procedure
• Framework
• Dynamic Markets

1.85 A PLIF must be completed.

1.86 Approval to award the contract must be obtained from the appropriate Corporate Director and Section 151 Officer.

1.87 Authority to enter into the contract must be obtained in accordance with Cabinet decision.

Development Agreements

1.88 A development agreement can be defined as an arrangement between a public sector body and a third party about the use or development of land or property, the nature of which invariably involves the transfer of land that would be otherwise be considered commercially undesirable, which becomes commercially desirable as a result of incentivisation by the public sector body.

1.89 Where the Council wishes to establish a development agreement that meets the definition above, again careful consideration must be given prior to such an agreement being established so as to ensure that it is compatible with UK law. A development agreement that is not compatible with UK law may be said to be a public works or Concession Contract and may therefore be subject to the legislation on public procurement. Advice must be sought from Legal Services in all cases.

1.90 For a development agreement to be considered as not triggering the public procurement legislation some or all the following characteristics must be met:

• The proposed development (or a significant part) is to be undertaken at the initiative and autonomous intention of the developer. (This may be particularly likely if the developer already owns or has control of land to be developed);
• The development agreement is ancillary or incidental to a transfer or lease of land or property from the Council to the developer, and is intended to protect the interests of the Council which is the lessor or otherwise retains an interest in the land or property;
• The development agreement is based on proposals put forward by the developer, rather than requirements specified by the Council, albeit that these proposals may be sought, and the “winner” chosen by the Council;
• There is no pecuniary interest passing from the Council to the developer as consideration for undertaking the development, either through direct payment or indirectly, for example by the assumption of obligations such as contributions towards project finance or guarantees against possible losses by the developer;
• The development agreement does not include specific contractually enforceable obligations on the developer to realise a work or works (even if that work or works is recognised as being the general intent of the parties to the agreement);
• The development does not consist of or contain works for the direct economic benefit of the Council. The involvement of the Council consists only in the exercise of statutory land-use planning powers.

1.91 Where a development agreement cannot be said to meet the criteria defined above a public works or Concession Contract must be awarded in accordance with the public procurement legislation.

Transfer of Services / TUPE

1.92 When any employee either of the Council or a current service provider may be affected by any transfer arrangement, for example, when a contract is retendered or service outsourced or brought in-house, Officers must ensure that the Transfer of Undertaking (Protection of Employment) (TUPE) issues are considered and obtain advice from Legal Services and Human Resources (HR) before proceeding with invitations to tender or quote.

1.93 Officers should ensure that sufficient time, particularly with regards to mobilisation of the new arrangements is given in instances where TUPE applies.

Contracts affecting Tenants of the Council

1.94 Section 20 of the Landlord and Tenant Act 1985 (or more commonly known as Section 20, or S20 consultation) is a process that applies to landlords where work or services that are recharged to leaseholders requires consultation prior to commencement.  Landlords can recharge any works or services up to a value of £250 (including VAT) without consultation.  Above £250, and Section 20 consultation must be carried out. Advice should be sought from East Sussex Procurement Hub and Housing Services. Section 20 is a process that takes a set period of time, and is carried out at certain points of the procurement process, consideration to these timeframes needs to be addressed. They are typically split into 3 stages:

• Stage 1 – notice of intention. This is usually carried out before any works commence.
• Stage 2 – statement of estimates. This is when potential costs are determined.
• Stage 3 – notice of reasons. Stage 3 is only usually carried out if a landlord did not secure services or works with the cheapest contractor, outlining the reasons why.

1.95 It is the responsibility of the client to ensure Section 20 requirements are adhered to.

Authority Requirements

1.96 Any Officer undertaking a procurement exercise must ensure that appropriate authority has been obtained, whether that is in accordance with the Scheme of Delegations; as part of the Procurement Programme approved by Cabinet or as a standalone Cabinet or Full Council approval.

1.97 All contracts must be signed or sealed by an authorised signatory via legal services. The use of e signatures is an acceptable method of contract execution for simple contracts but contracts to be executed as a deed must be done with the Council’s seal and not electronically. All contracts however executed must be recorded in the Council’s sealing register. Officers must speak with Legal Services prior to any contract being entered into and a copy of the completed contract should also be sent to the Procurement Team to ensure compliance with the transparency requirements.

Bonds and Parent Company Guarantees

1.98 Officers should consult with the Section 151 Officer as to whether such a bond or guarantee is required where:

• The total value of the contract exceeds £500,000; or
• It is proposed to make stage or other payments in advance of receiving the whole of the subject matter of the contract; or
• There is concern about the stability of the supplier no matter what the value.

1.99 The Council must never give a bond or guarantee without the approval of the Section 151 Officer.

1.100 Where a bond or guarantee is required to ensure satisfactory contract performance and/or to protect the Council, the requirement must be notified to bidders in the procurement documentation and must be in place no later than four (4) weeks after contract signature.

Contract Management

1.101 The appointed Contract Manager must monitor the overall performance of the contract in line with the specification, agreed service levels, and contract terms.

1.102 If the value of the contract is over £5m, at least once every twelve (12) months during the term of the contract and on termination of the contract, the Contract Manager and Procurement must assess performance using the standard rating system against the published KPIs and publish a Contract Performance Notice on the Central Digital Platform via the Council’s e-tendering system.

1.103 If the supplier has breached the contract and the breach results in:

• Termination (or partial termination of the contract),
• The award of damages, or
• A settlement agreement between the supplier and the Council.
• A Contract Performance Notice must be published within 30 days of the relevant breach on the Central Digital Platform via the Council’s e-procurement system.
• Whether a contract expires or is terminated, the Contract Manager must notify Procurement to publish a Contract Termination notice within thirty (30) days of that expiry/termination.
• Legal advice must be sought before any assignments or novations are entered into.

Records and Reporting

1.107 Officers undertaking a procurement exercise shall ensure that sufficient documentation is retained to justify decisions taken at all stages of the procurement procedure to explain the material decision made for the purpose of awarding or entering into a public contract. See Procurement Guidance for more information.

1.108 All records are to be kept until a notice is published that there will be no award or 3 years post contract award.

1.109 Documents relating to a successful tender must be kept for a minimum of 6 years (20 years if the contract is under seal) after the final settlement or end of contract. However, documents which relate to unsuccessful tenderers may be disposed of after 12 months from the award of the contract, provided there is no dispute about the award.

1.110 The original signed or sealed contract documents must be forwarded to Legal Services for indexing and secure storage.

Completion of Contract

1.111 All contracts valued over £5,000 must be added to the Council’s Contract Register.

1.112 The Officer named in the Contract Register will act as the Contract Manager and will be responsible for ensuring the obligations of these Rules and any relevant legislation are fulfilled. Further guidance is available in the Procurement Guide and the Contract Management Toolkit.

Complaints and Appeals to decisions

1.113 If a complaint is received or if any bidders appeal a decision made under these rules, Legal Services and the Procurement Team must be notified immediately. No further communication should be made without first seeking advice.

Section 1 – Overview

Introduction

1.1 The Council must ensure that it has sound financial management. These Financial Procedure Rules set out how the Council ensures good financial management, secures value for money, controls spending, ensures due probity of transactions, makes accurate, robust and timely financial decisions and achieves its strategic and operational objectives.

1.2 As part of the Council’s governance arrangements, there is a statutory requirement (Section 151 of the Local Government Act 1972) to appoint an Officer (known as the Section 151 Officer) to be responsible for its financial affairs. The Chief Financial Officer (Elsewhere in the Financial Procedure Rules and in other sections of this Constitution, references to the Section 151 Officer and Chief Financial Officer, should be read as referring to the Chief Financial Officer, and visa versa) has been appointed to undertake this role.

1.3 The Financial Procedure Rules, provide a strong corporate framework for conducting the financial affairs of the Council, incorporating appropriate controls and providing those responsible for delivering services with financial responsibility. The Financial Procedure Rules provide clarity about the financial accountabilities of Officers and Members, including those managing resources where the Council is acting as Trustee, accountable body or where services are provided by a third party on behalf of the Council.

1.4 All Members and Officers have a responsibility for taking reasonable action to provide for the security and use of the resources and assets under their responsibility and control, and for ensuring that the use of such resources and assets is legal, consistent with the Council’s policies, properly authorised, provides value for money and achieves best value.

1.5 The Financial Procedure Rules are subject to the provisions of the Budget and Policy Framework Procedure Rules, which allows urgent decisions to be taken which are outside the Budget and Policy Framework.

Status of the Financial Procedure Rules

1.6 The Financial Procedure Rules apply to every Member and Officer of the Council and anyone acting on its behalf. Failure to comply with these Rules may result in disciplinary action.

1.7 The Financial Procedure Rules identify financial responsibilities of individual Members and Officers. The Chief Executive, Corporate Directors and Heads of Service should maintain a written record (the Officer Scheme of Delegation) for their area of responsibility clearly stating where decision making has been delegated to them or their staff, including seconded staff.

1.8 Where such decisions are delegated, the Officer to whom the decision has been delegated shall provide sufficient information to the Chief Executive, relevant Corporate Director and Head of Service on request, in order to give assurance that tasks or decisions have been performed in accordance with the Financial Procedure Rules. Where decisions have been delegated or devolved to other responsible Officers, references to the Chief Executive, Corporate Director and Heads of Service in these Rules should be read as referring to them.

1.9 The Chief Financial Officer is responsible for maintaining a continuous review of the Financial Procedure Rules and submitting any proposed amendments to the Audit and Governance Committee before its consideration and approval by Cabinet (subject to Article 1of this Constitution). The Chief Financial Officer is also responsible for reporting, where appropriate, breaches of the rules to Council and/or to Cabinet. They are also authorised to temporarily suspend Financial Procedure Rules in exceptional circumstances.

1.10 The Chief Financial Officer is responsible for issuing advice and guidance to underpin the Financial Procedure Rules that Members, Officers and others acting on behalf of the Council are also required to follow.

1.11 Any Member, Officer or other individual with responsibility for the Council’s resources or assets should inform themselves of the Financial Procedure Rules and refer any queries to the Chief Financial Officer.

1.12 The Chief Executive, Corporate Directors and Heads of Service should ensure that any financial procedures/guidelines produced by their departments are fully compliant with the Financial Procedure Rules and agreed with the Chief Financial Officer or their delegated representatives.

1.13 Any proposals for changes or amendments to the Financial Procedure Rules shall be forwarded to the Chief Financial Officer for consideration.

1.14 Officers shall report to their line manager, or other responsible Senior Officer, any illegality, impropriety, breach of procedure or serious deficiency discovered in the following of Financial Procedure Rules. Officers and Members shall notify the Chief Financial Officer immediately and confidentially, or if not appropriate the Chief Executive (as Head of Paid Service) or the Chief Legal and Governance Officer (as Monitoring Officer) (elsewhere in the Financial Procedure Rules and in other sections of this Constitution, references to the Monitoring Officer, should be read as referring to the Chief Legal and Governance Officer Services, and vice versa) where it appears that a breach has occurred.

Rights of External Bodies

1.15 The Chief Financial Officer shall be the first contact within the Council for the External Auditor who has rights of access to all documents and information necessary for audit purposes.

1.16 The Council may, from time to time, be subject to audit, inspection or investigation of its financial systems by other external bodies such as HM Revenue and Customs who have statutory rights of access to financial records. The Chief Financial Officer shall be the principal contact within the Council on such financial matters.

Main Responsibilities of the Chief Financial Officer (as Section 151 Officer)

1.17 The Chief Financial Officer is the statutory Officer responsible for the administration of the Council’s financial affairs and the supervision of all accounting arrangements (as set out in Management Structure and Officer Scheme of Delegation (Part 2.13) of this Constitution, this individual is the designated Officer under Chief Finance Local Government Act 1972 (Section 151 Officer).

1.18 The Chief Financial Officer is required to appoint a deputy to carry out their functions if they are unable to do so (under Section 114(6) of the Local Government Finance Act 1988. For the Council this is the Financial Services Manager).

1.19 The Chief Financial Officer is responsible for the provision of financial advice to the Council. They must always be consulted on all issues that have or may have a financial impact on the Council’s budget.  It will be for them to decide whether any such issue is one that impinges upon the exercising of the statutory finance role.

1.20 The Chief Executive, Corporate Directors and Heads of Service must consult the Chief Financial Officer on any matter within their area of responsibility that is liable to have a material effect on the finances of the Council before any commitment is entered into.

1.21 The Chief Financial Officer shall make (under section 114 (2) of the Local Government Finance Act 1988) a report to the Cabinet and Council where it appears to them that the Cabinet or Council and/or Officers appointed by them:

• Has made or is about to make a decision which involves or would involve the Cabinet or Council in incurring expenditure which is unlawful;
• Has taken or is about to take a course of action which, if pursued would be unlawful and likely to cause a loss or deficiency on the part of the Council; and
• Is about to enter an item of account that is unlawful.

1.22 The Chief Financial Officer shall (under Section 114 (3) of the Local Government Finance Act 1988) make a report to the Cabinet and Council (in consultation with the Chief Executive and the Chief Legal and Governance Officer) where it appears that expenditure incurred, or likely to be incurred, in a financial year exceeds resources available to meet that expenditure. It is the duty of the Chief Executive, Corporate Directors and Heads of Service to notify the Chief Financial Officer of any situations that might be considered:

• Unlawful; and/or
• Might exceed available resources in light of the above responsibilities.

1.23 The Chief Financial Officer is responsible for organising and supervising the Council’s accounting arrangements and for maintaining its principal accounting records. No financial system may be changed or a new one introduced without the express authorisation of the Chief Financial Officer.  They are responsible for the production and publication of the Council’s final accounts in such form and in accordance with such timetables and closedown procedures to ensure compliance with the relevant statutory requirements.

1.24 The Chief Financial Officer is responsible for ensuring the Council has an adequate and effective internal audit function, the day to day operation and management of which has been delegated to the Audit Manager. The Audit Manager has also the delegated responsibility for reporting to Council should the possibility arise of a failure to maintain an adequate and effective internal audit function.

1.25 The Chief Financial Officer is responsible for ensuring there are adequate arrangements relating to the security of cash, assets, stores, equipment, and other attractive and transportable items.

1.26 The Chief Financial Officer must report to Council (Section 25 of the Local Government Act 2003) about:

• Whether the proposed reserves will be enough for the Council’s purposes; and
• How robust the budget is.

Financial Advice

1.27 The Chief Financial Officer shall be consulted on and advise Council, Cabinet or any other relevant Committee on any matter containing financial implications. Such advice may be included in the reports of other Officers.

1.28 The Chief Executive, Corporate Directors and Heads of Service shall ensure that the Chief Financial Officer has the opportunity to comment on all proposals containing financial implications at the earliest practical stage before reports are published or issued.

1.29 Members and Officers carrying out functions under the Officer Scheme of Delegation shall ensure that they seek and receive such financial and legal advice as may be necessary on the consequences of a course of action before taking a decision on such action (including but not limited to grant applications).

1.30 The Chief Financial Officer is responsible for:

• a. advising the Chief Executive, Corporate Directors and Heads of Service where relevant on the financial implications of guidance and relevant legislation issued by appropriate bodies as it applies;
• b. advising Corporate Directors and Heads of Service on relevant taxation issues and liaising, negotiating and where necessary taking appropriate action to promote and protect the Council’s financial position.
• c. monitoring standards and giving advice on financial management and administration throughout the Council. The post is responsible for guiding the training and professional development of all staff employed in posts designated as requiring a qualified accountant and accounting technician wherever located and shall be responsible for the appointment of such staff and shall be consulted on any proposal to create or delete a post requiring such a qualification for appointment.

1.31 The Chief Financial Officer is entitled to attend and report on financial matters directly to Council, Cabinet, and any Committees or working groups the Council may establish and to the Corporate Management Team.

Accounting

1.32 The Chief Financial Officer shall determine the format of and maintain the Council’s principal accounting records and shall be the Council’s adviser on all accounting and financial matters. The Chief Executive, Corporate Directors and Heads of Service are responsible for making sure that financial records are maintained in a manner determined in advance by the Chief Financial Officer.

1.33 The Section 151 Officer shall ensure:

• a. that the Council’s accounting records are kept in accordance with appropriate accounting standards and mandatory guidance and that the statement of accounts is prepared in line with the Code of Practice on Local Authority Accounting in the United Kingdom;
• b. that the Council’s statement of accounts is prepared and made available in accordance with the statutory timetable, through:
• i. issuing procedures and a timetable for the closure of the accounts in accordance with good accounting practice.
• ii. The Chief Executive, Corporate Directors and Heads of Service are responsible for making sure that the timetable referred to in (a) above is complied with.
• iii. The Audit and Governance Committee (Part 2.5) is responsible for approving the statement of accounts by the statutory date following the end of the financial year on 31 March.

Providing Information and Financial Returns to Statutory External Bodies

1.34 The Chief Financial Officer shall make arrangements for completing the Council’s tax returns and other statutory financial returns and providing relevant information to external bodies on the financial activities of the Council as a whole.

Internal Audit and Control

1.35 The Chief Financial Officer shall (under The Accounts and Audit (England) Regulations 2011) commission on behalf of the Council a suitable internal audit of its accounting records and of its system of internal control in accordance with the proper practices in relation to internal control.

Application of Financial Procedures

1.36 The Chief Executive, Corporate Directors and Heads of Service are each accountable to the Council for the financial management and administration of those services and activities allocated to them in accordance with Council policy, including effective ongoing budgetary control, with appropriate support and advice from the Chief Financial Officer.

1.37 The Chief Executive, Corporate Directors and Heads of Service are responsible for ensuring that Cabinet are advised of the financial implications of all proposals and that the financial implications have been agreed by the Chief Financial Officer.

1.38 The Chief Executive, Corporate Directors and Heads of Service are responsible for ensuring and monitoring compliance with these Financial Procedure Rules by their staff and for reporting to the Chief Financial Officer any known or suspected breaches of these financial procedure rules.

1.39 The Chief Executive, Corporate Directors and Heads of Service are responsible for ensuring that all staff in their departments are aware of and understand the existence and content of these Financial Procedures Rules and other internal regulatory documents and related guidelines and procedures and that they comply with them.

Financial Scheme of Delegation

1.40 The following should be read in conjunction with the Officer Scheme of Delegation.

1.41 The Chief Executive, Corporate Directors and Heads of Service shall maintain a written record where decision making has been delegated to members of their staff, including seconded staff, in the form of a scheme of delegation. The scheme of delegation will include authorised limits in respect of payments, income collection, placing orders, payroll and staffing changes (see Annex A).

1.42 The record will clearly specify the extent of, and limits of the powers delegated to each individual and the circumstances in which matters must still be referred to higher management for decision. As a minimum it will contain a register of posts, names, specimen signatures (if applicable) and the extent of the responsibility involved. This record will include delegations related to electronic authorisation.  The scheme of delegation shall be reviewed by the Chief Executive and each Corporate Director at least annually.

1.43 The Chief Executive, Corporate Directors and Heads of Service shall communicate such authorisation in writing to the individuals concerned.

1.44 The Chief Executive, Corporate Directors and Heads of Service shall provide the Chief Financial Officer with the details of the scheme of delegation operating in their areas of responsibility. It is the duty of the aforementioned Officers to promptly notify any changes to the scheme of delegation to the Chief Financial Officer.

Section 2 Financial Procedure Rules

Section 1 – Overview

1.1 The following definitions apply for the purposes of these procedure rules:

Appointment, dismissal and disciplinary action against staff

1.2 Subject to paragraph 1.3 below, the function of the appointment and dismissal of, and taking disciplinary action against, a member of staff of the Council must be discharged by the Chief Executive (as the Council’s Head of Paid Service) or by Officers nominated by him or her.

1.3 Paragraph 1.2 above shall not apply to the appointment or dismissal or disciplinary action in respect of Officers holding the following posts. (The specific posts which fall within the definitions of Chief Officer and Deputy Chief Officer are set out in the Management Structure contained in (Part 2.13 of) this Constitution).

Recruitment and Appointment

 Candidates’ declarations of relationships with Councillors or Officers

1.4 The Council will require any candidate for appointment as an Officer to state in writing whether they are the parent, grandparent, partner, child, stepchild, adopted child, brother, sister, uncle, aunt, nephew or niece of an existing Councillor or Officer of the Council.

1.5 Every Councillor and Officer of the Council shall disclose to the Head of People and Organisational Development any relationship known to them to exist between them and any person known to be a candidate for appointment with the Council.

1.6 A candidate related to, or the partner of, a Councillor or an Officer will not be appointed without the approval of the Chief Executive or an Officer nominated by them and may be approved on such conditions as are necessary and proportionate, to avoid or mitigate the risk of any actual or perceived conflict of interest arising from their appointment.

Prohibition on seeking Councillor support for appointment

1.7 The Council will disqualify any applicant who directly or indirectly seeks the support of any Councillor for any appointment with the Council. The content of this paragraph will be included in any recruitment information.

1.8 Subject to paragraph 1.9 below, no Councillor will seek support for any candidate for any appointment with the Council or otherwise seek to influence the decision to appoint.

1.9 Nothing in paragraphs 1.7 or 1.8 above will preclude a Councillor from giving a written reference for a candidate in respect of any appointment with the Council.

Appointment on Merit

1.10 All Officers are required by section 7 of the 1989 Act to be appointed on merit, except that the appointment of political assistants under section 9 of the 1989 Act may have regard to any applicant’s political activities or affiliations.

Recruitment of Head of Paid Service and Chief Officers

1.11 Where the Council proposes to appoint the Head of Paid Service or a Chief Officer and it is not proposed that the appointment be made exclusively from among their existing Officers, the Council will:

• draw up a statement specifying:
• i. the duties of the Officer concerned; and
• ii any qualifications or qualities to be sought in the person to be appointed;
• make arrangements for:
• i. the post to be advertised in such a way as is likely to bring it to the attention of persons who are qualified to apply for it; and
• ii. a copy of the statement to be sent to any person on request.

Appointment of Head of Paid Service

1.12 The Full Council must approve the appointment of an individual to the office of Head of Paid Service (the Chief Executive) before an offer of appointment is made to that person.

1.13 Full Council may only make or approve the appointment of the Head of Paid Service where the Executive Objection Procedure has been completed, set out below.

Appointment of Chief Officers

1.14 The Committee (or a Sub-Committee appointed by it) has delegated authority to appoint Chief Officers.

1.15 In respect of the post of Chief Executive (as Head of Paid Service) the Committee will make a recommendation for appointment to Full Council subject to these Rules.

1.16 The Committee (or any Sub-Committee appointed by it) must include at least one member of the Executive. The Leader shall nominate the relevant Executive Member, who may be the Leader.

1.17 An offer of employment as a Chief Officer may only be made where the Executive Objection Procedure has been completed, as set out below.

Appointment of Deputy Chief Officers

1.18 The appointment of Deputy Chief Officers will be the responsibility of the Head of Paid Service.

1.19 An offer of employment as a Deputy Chief Officer may only be made where the Executive Objection Procedure has been completed, as set out below.

Other appointments

1.20 Officers below Deputy Chief Officer. Chief Officer (other than assistants to political groups) is the responsibility of the Chief Executive and or their nominee(s) and may not be made by Councillors.

1.21 Assistants to political groups. Political assistants may only be appointed in compliance with the regime under s.9 of the 1989 Act.

Disciplinary action

Definitions

1.22 In the following paragraphs, the following definitions will apply in addition to the definitions set out above.

Disciplinary action against relevant Officers and Chief Officers

1.23 The Committee (or a Sub-Committee appointed by it) will deal with disciplinary matters in relation to relevant Officers and Chief Officers.

Full Council Approval

1.24 Full Council must approve the dismissal of a relevant Officer before notice is given to that person.

Procedure

1.25 A relevant Officer may only be dismissed in accordance with the following procedure.

Suspension of a relevant Officer

1.26 The Head of Paid Service, Monitoring Officer and Chief Financial Officer may be suspended whilst an investigation takes place into alleged misconduct. That suspension will be on full pay and last no longer than two months, without a review of that suspension taking place.

Independent Persons

1.27 The Council must invite relevant Independent Persons for appointment to the Panel, and appoint to the Panel at least 2 such persons (but may appoint more than 2).

1.28 The Council must appoint to the Panel such relevant Independent Persons in accordance with the following order:

• A relevant Independent Person who has been appointed by the Council and who is a local government elector;
• Any other relevant Independent Person who has been appointed by the Council;
• A relevant Independent Person who has been appointed by another authority or authorities

1.29 Any remuneration, allowances or fees paid by the Council to an Independent Person appointed to the Panel must not exceed the level of remuneration, allowances or fees payable to the Independent Person in respect of that person’s role as Independent Person under the 2011 Act.

The Panel and the relevant meeting

1.30The Council must appoint a Panel at least 20 Working Days before the relevant meeting.

1.31 Before the taking of a vote at the relevant meeting on whether or not to approve a dismissal, the Council must take into account, in particular:

• any advice, views or recommendations of the Panel;
• the conclusions of any investigation into the proposed dismissal; and
• any representations from the relevant Officer.

1.32 The Council will additionally comply with any contractual rights of the relevant Officer if any action is taken or proposed to be taken against them.

 Disciplinary Action against Chief Officers

1.33 Any disciplinary action taken against other Chief Officers shall be in accordance with the authority’s disciplinary procedure for these Officers.

1.34 This includes the right of appeal for Chief Officers and the right of appeal for relevant Officers in respect of any disciplinary action falling short of dismissal.

1.35 A Sub-Committee of the Committee will be established for this purpose and may not comprise the same members as those who decided on the disciplinary action. Where necessary, to avoid any conflict arising, the Council may appoint a dedicated Committee for this purpose.

1.36 Councillors will not be involved in disciplinary action relating to Deputy Chief Officers.

1.37 The dismissal of Chief Officers will be subject to the Executive notification procedure set out in the Regulations.

Disciplinary action against any Officer below Chief Officer

1.38 Councillors shall not be involved in the disciplinary action against any Officer below Chief Officer, except if required as a witness of fact.

1.39 The Council’s disciplinary, capability and related procedures, as adopted from time to time, may allow a right of appeal to members in respect of disciplinary action or dismissal.

1.40 Where there is no express right of appeal to members there will be a presumption that any appeal will be to the appropriate Officer.

Executive Objection Procedure

1.41 Where an appointer or a dismissor makes a decision to:

• appoint to a Statutory Chief Officer, Chief Officer or Deputy Chief Officer post; or
• dismiss a Statutory Chief Officer or Chief Officer or Deputy Chief Officer post.

the following procedure must be followed before an offer of employment can be made or notice of dismissal given:

• the appointer shall notify the Proper Officer of the name of the person to whom the appointer wishes to make the offer and any other particulars which the appointer considers are relevant to the appointment or (as the case may be)
• the dismissor shall notify the Proper Officer of the name of the person who the dismissor wishes to dismiss and any other particulars which the dismissor considers are relevant to the dismissal
• The Proper Officer will inform all Executive Members about the proposed appointment or dismissal (as the case may be) in writing, including:
• i. The name of the person who it is proposed to appoint or dismiss;
• ii. Any other particulars relevant to the appointment or dismissal which have been notified to the proper Officer;
• iii. that objections must be received within 2 clear days by the Leader to provide to the Proper Officer;

1.42 The appointment or dismissal can only be made if:

• The Leader has, within the period of 2 clear days, notified the Proper Officer that neither any Executive member has any objection to the appointment or dismissal; or
• the Proper Officer has notified the appointor or dismissor that no objection was received by them within that period from the Executive Leader;
• An objection is received from the Executive Leader within that period and is considered by the appointor or dismissor, but is not considered to be material or is not well founded;

1.43 If the appointor or dismissor, with the advice of the Monitoring Officer or Chief Executive, considers an objection is material or well founded, they may reconsider their decision to appoint or dismiss in light of of the objection.

Annual Pay Policy Statement

1.44 Section 38 of the 2011 Act requires the Council to prepare and publish a pay policy statement for the following financial year. The statement will set out the Council’s policies relating to the renumeration of Chief Officers and its lowest paid Officers; and the relationship between the renumeration of its Chief Officers and that of its employees who are not Chief Officers.

1.45 The annual pay policy statement will be adopted by the Council before the end of March in each year. The Council may amend the statement in-year.

Section 1 – Overview

Introduction 

1.1 Outside Bodies are external organisations to which Councillors are appointed and whose work typically affects the District or residents of the District

1.2 The Council appoints representatives to Outside Bodies where the work is of strategic or District-wide importance and in line with the Council Strategy.

1.3 Here is the current list of Outside Bodies.

Appointments  

1.4 Appointments to Outside Bodies are normally made by Full Council at its annual meeting in May except where these fall within the responsibility of an Office holder or where they relate to Executive Functions. These positions are identified in the list of Outside Bodies. Full Council may also make outside appointments other than at the annual meeting where a vacancy occurs or where a new outside body appointment arises or may delegate responsibility for such an appointment to a Committee.

Expenses  

1.5 All appointments approved to Outside Bodies by or on behalf of the Council have ‘approved duty’ status. For further information see the Members’ Allowance Scheme (Part 4.6). 

1.6 It is good practice for Members to check when first appointed whether expenses for travel and/or subsistence should be claimed from the Council or the relevant body. 

Outside Body Feedback  

1.7 Representatives are encouraged to regularly report back to all Members via Democratic Services using the form provided. 

1.8 Representatives should always consider their duty of confidentiality to the Council, and where appropriate, to the Outside Body.

Members’ Code of Conduct  

1.9 The Members’ Code of Conduct applies to Members of an Outside Body. Members must also ensure they follow any separate code of conduct that applies to the relevant body. In the unlikely event there is a conflict they should seek advice from the Council’s Monitoring Officer. 

1.10 When appointing a representative to an Outside Body the Council will seek to avoid any appointment where a conflict of interest is likely to arise or may be perceived to arise. 

1.11 If a Member is appointed by the Council to be its representative on an Outside Body, this is a personal interest which must be recorded in the Register of Interests.

1.12 The Member must disclose at any meeting of the Authority, the existence and nature of the interest at the commencement of the consideration of the matter or when the interest becomes apparent. This requirement does not apply if the personal interest is entered on the Register of Interests however, you may choose to do so if you wish for the disclosure to be recorded in the Minutes. The interest could, depending on the facts, give rise to a prejudicial interest under the Members’ Code of Conduct.

1.13 Where a Member has a prejudicial interest which is not a disclosable pecuniary interest, arising solely from membership of any body of which you are a member or in a position of general control or management and to which you are appointed or nominated by the Council, you do not have to withdraw from the meeting and may make representations to the Committee but may not participate in the vote.   

1.14 Representatives on an Outside Body do not hold any Executive authority on behalf of the Council and shall not therefore bind the Council without being expressly authorised by the Council to do so. 

Section 1 – Overview

Scope

1.1 These rules apply to all meetings of the Council, the Scrutiny and Performance Committee, the Standards Committee, the Audit and Governance Committee, the Licensing Committees, the Planning Committees, Joint Committees and public meetings of the Cabinet and its Committees (together called meetings) and individual Portfolio Holder and Officer decision making.

1.2 Rules specific to the Executive are set out in paragraphs 30 to 1.57.

Additional Rights to Information

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

1.4 Councillors’ rights set out in these Rules are additional to any other rights under common law or statute.

Rights to Attend Meetings

1.5 Members of the public and representatives of the press may attend all meetings subject only to the exceptions in this Constitution.

1.6 Members of the public may record or film meetings by any means subject to the Rules set out in this Constitution.

1.7 The rights set out above are without prejudice to the Council’s powers to suppress or prevent disorderly conduct or other misbehaviour at any meeting set out in this Constitution.

Notice of Meetings

1.8 The Council will give at least 5 clear Working Days’ notice of any meeting by posting details of the meeting on the Council’s website.

1.9 Where the meeting is convened at shorter notice, details of the meeting will be posted on the Council’s website at the time that the meeting is convened.

1.10 When a meeting is adjourned and reconvened, there must be at least 5 clear days’ notice of the date of that reconvened meeting.

1.11 The Council will normally give at least 28 clear days’ notice of any meeting of the Executive or part of a meeting of the Executive where it is proposed that the public will be excluded during consideration of a matter or matters.

Access to Agenda and Reports before the Meeting

1.12 The Council will make copies of the agenda and reports open to the public available for inspection at the Council’s offices or on the Council’s website at least 5 clear Working Days before the meeting unless the matter is urgent.

1.13 Where the meeting is convened at shorter notice than set out above, copies of the agenda and reports shall be open to inspection from the time the meeting is convened.

1.14 Where an item is added to an agenda, copies of which are open to inspection by the public, copies of any report for the meeting relating to the item shall be available from the time the item is added to the agenda. Nothing in this rule requires copies of any agenda item or report to be open to inspection by the public until copies are available to Members.

Late Reports

1.15 If there is a requirement to add an agenda item to an agenda after the statutory deadline for publication, that item may only be considered if the Chair agrees by virtue of the special circumstances set out either in the report or on the supplemental agenda, that the item should be considered as a matter of urgency.

1.16 The special circumstances requiring an item of urgent business to be added, and the Chair’s direction to do so, will be recorded in the minutes of the meeting.

1.17 If the report involves a Key Decision, the requirements of rules 31-1.44 shall also apply. Where a report is prepared after the agenda has been sent out, the Monitoring Officer shall make the report available to the public as soon as the report is completed and sent to Councillors.

Access to Minutes and Committee Documents after the Meeting

1.18 The Council will make available copies of the following for 6 years after a meeting:

• the minutes of meetings (or the record of all decisions taken at a meeting, together with the reasons, for all meetings of the Cabinet), excluding any part of the minutes of proceedings when the meeting was not open to the public and which disclose exempt or confidential information;
• a summary of any proceedings not open to the public when the minutes open to inspection do not provide a reasonably clear and coherent record
• the agenda for the meeting; and
• reports relating to items when the meeting was open to the public.
• any written record of an Executive decision
• any reports considered by an individual decision maker which are open to public inspection.

Supply of Copies

1.19 The Council will supply copies of:

• any agenda and reports which are open to public inspection;
• any further statements or particulars necessary to indicate the nature of the items in the agenda;
• if the Chief Executive thinks fit, copies of any other documents supplied to Councillors in connection with an item;
• any written record of an Executive decision;
• any report and
• background papers;

to any person on payment of a charge for postage, copying and any other costs in accordance with the [Fees and Charges].

Background Papers

List of Background Papers

1.20 The author of a report shall set out a list of those documents (called background papers) relating to the subject matter of the report which in their opinion:

• disclose any facts or matters on which the report or an important part of the report is based; and
• which have been relied on to a material extent in preparing the report.

but will not include in such list published works or those which disclose exempt or confidential information and in respect of reports to a meeting of the Cabinet, any advice given by a political advisor.

Public Inspection of Background Papers

1.21 The Council will make available for public inspection for 4 years after the date of the meeting a copy of each of the documents on the list of background papers. Where possible where the background papers are mentioned in the report, there will be an electronic link on the Council’s website to where the document can be found.

Summary of Public’s Rights

1.22 A written summary of the public’s rights to attend meetings and to inspect and copy is included in Article 3 of this Constitution.

Exclusion of Access by the Public and Press to Meetings

Confidential Information – requirement to exclude public and press from a meeting

1.23 The public and press must be excluded from meetings whenever it is likely, in view of the nature of the business to be transacted or the nature of the proceedings, that confidential information would be disclosed.

Exempt Information – discretion to exclude public and press from a meeting

1.24 The public and press may be excluded from meetings whenever it is likely, in view of the nature of the business to be transacted or the nature of the proceedings, that exempt information would be disclosed provided that:

• The meeting resolves to exclude the press and public, and that resolution
• i. identifies the proceedings or part of the proceedings to which it applies; and
• ii. states by reference to the descriptions in Schedule 12A to the Local Government Act 1972 (see below) the description of the exempt information giving rise to the exclusion of the press and public
• iii. by reference to the reasons given in the report or otherwise, in all the circumstances of the case, that the public interest in maintaining the exemption outweighs the public interest in disclosing the information

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

1.26 The Proper Officer may, if they think fit, exclude from public inspection in advance of a meeting reports, or parts of reports, which are considered to contain exempt information and where a meeting where such reports are to be discussed is likely to exclude the press and public on the grounds that the report contains exempt information.

Meaning of Confidential Information

1.27 Confidential information means information given to the Council by a Government department on terms which forbid its public disclosure or information which cannot be publicly disclosed by a Court Order.

Meaning of Exempt information

1.28 Exempt information means information falling within the following seven categories defined by Schedule 12A of the Local Government Act 1972 (subject to the relevant conditions):

1.29 Information is not exempt information if it relates to proposed development for which the local planning authority may grant itself planning permission pursuant to Regulation 3 of the Town and Country Planning General Regulations 1992.

Rules applying to Executive Decisions

1.30 The following rules apply to Executive meetings where Key Decisions are made.

Key Decisions

1.31 A decision taken by Cabinet or a Cabinet Committee, the Leader or a Cabinet Member or an Officer exercising an Executive function under delegated powers will be a Key Decision if the decision which is likely to:

• a. result in incurring expenditure which is, or the making of savings which are significant having regard to the Council’s budget for the service or function to which the decision relates, namely above £300,000; or
• b. be significant in terms of its effect on communities living or working in an area comprising two or more wards; or

1.32 The Council will also treat as a Key Decision any decision which has a particularly significant impact on any community experiencing social exclusion or discrimination, whether that community is defined by geography or interest and even if that community is only located in one ward in the District.

The Forward Plan

Period of the Forward Plan 

1.33 Subject to the rules below relating to General Exception and Special Urgency, a Key Decision may not be taken unless a Forward Plan has been published at least 28 clear days in advance containing the information set out below in respect of the decision.

1.34 The Forward Plan must be made available for inspection by the public both at the Council’s offices and on the Council’s website.

1.35 The Forward Plan will be prepared by the Democratic Services Manager or nominated Officer and will normally be updated on a monthly basis.

Contents of the Forward Plan

1.36 The Forward Plan will contain matters which are to be the subject of a Key Decision to be taken by the Cabinet, a Committee of the Cabinet, an individual Cabinet Member or an Officer or under joint arrangements. Only items which relate to the discharge of an Executive function must be included, but other items may be included. The Forward Plan will describe the following particulars in so far as the information is available:

• a. the matter in respect of which a decision is to be made;
• b. where the decision taker is an individual, their name and title, if any, and where the decision taker is a body, its name;
• c. the date on which, or the period within which, the decision is to be made;
• d. a list of the documents submitted to the decision-maker for consideration in relation to the matter in respect of which the Key Decision is to be made;
• e. how copies or extracts of any documents may be acquired, subject to any prohibition or restriction on their disclosure

1.37 The Forward Plan may not contain any confidential information or exempt information or particulars of the advice of a political assistant.

(Note: The Council does not at present employ any political advisers/assistants.)

Procedure before taking Key Decisions

1.38 Subject to General Exception and Special Urgency rules as detailed below, a Key Decision may not be taken unless:

• a. details of the proposed decision have been included in the Forward Plan;
• b. at least 28 clear days have elapsed since the publication of the Forward Plan in which those details appeared;
• c. the matter is urgent and, if applicable, the relevant provisions relating to private meetings have been complied with,
• d. where the decision is to be taken at a meeting of the Cabinet, a notice of the meeting has been given in accordance with rule 1.8 and a written report providing all relevant and necessary information has been considered by the body taking the decision; and
• e. where the decision is to be taken by an individual Portfolio Holder of the Cabinet or an Officer, at least 5 clear Working Days have elapsed following publication of a notice that such a decision is to be taken, together with a report which includes relevant and necessary information for the making of the decision.

General Exception to publication of Key Decisions on the Forward Plan

1.39 If a matter which is likely to be a Key Decision has not been included in the Forward Plan, then subject to the rule on ‘special urgency’, the decision may still be taken if:

• a. the Chief Executive has informed, by written notice, the Chair of the Scrutiny (or Deputy in their absence) and Performance Committee of the proposed Key Decision, or, if there is no appointed Chair or Deputy or they are unavailable, each member of the Scrutiny and Performance Committee;
• b. the Chief Executive publishes a notice that the Key Decision will be taken and the reasons why it is impracticable to give the 28 clear days’ notice required by the Forward Plan before making the decision. The notice must be published at the Council’s offices and on the Council’s website; and
• c. at least 5 clear Working Days have elapsed between the day the notice is published and the day the decision is made.

1.40 This is referred to as the General Exception Rule.

Special Urgency for Key Decisions

1.41 If by virtue of the date by which a decision must be taken, the General Exception Rule cannot be followed, then the decision can only be taken if the decision maker (if an individual) or the chair of the body making the decision, obtains the agreement of the Chair of the Scrutiny and Performance Committee (or Deputy in their absence) that the taking of the decision is urgent and cannot be reasonably deferred. Decisions subject to special urgency shall be automatically exempt from Call-in procedure.

1.42 If there is no Chair or Deputy Chair of the Scrutiny and Performance Committee, or they are unable to act, then the agreement of the Chair of the Council or in their absence the Vice- Chair will suffice.

1.43 As soon as reasonably practicable after the decision maker has obtained agreement under this rule the Chief Executive must make available at the Council’s offices and publish on the Council’s website a notice setting out the reasons for urgency and why the meeting cannot reasonably be deferred.

1.44 This is referred to as the Special Urgency Rule.

Requirement for a report to be made to Council

Request from Scrutiny and Performance Committee

1.45 If the Scrutiny and Performance Committee thinks that a Key Decision has been taken which was not treated as a Key Decision in accordance with the definition of a Key Decision as set out in Article 6 of the Constitution and not:

• a. included in the Forward Plan giving 28 clear days’ notice of the decision to be taken; or
• b. the subject of the General Exception procedure; or
• c. the subject of an agreement with the Scrutiny & Performance Committee Chair or Deputy Chair (or Chair or Vice Chair of the Council in their absence) under Rule 1.41;

1.46 The Committee may require the Cabinet to submit a report to the Council within such reasonable time as the Committee specifies. The power to require a report rests with the Committee, but is also delegated to the Chief Executive who shall require such a report on behalf of the Committee when so requested by the Chairperson and any 5 Members. Alternatively, the requirement may be raised by resolution passed at a meeting of the Scrutiny and Performance Committee.

Cabinet report to Council 

1.47 The Cabinet will prepare a report for submission to the next available meeting of the Council. However, if the next meeting of the Council is within 7days of receipt of the written notice, or the resolution of the Committee, then the Leader may elect that the report be submitted to the meeting after that.

1.48 The report to Council will set out particulars of the decision, the individual or body making the decision, and if the Leader is of the opinion that it was not a Key Decision the reasons for that opinion.

Reports on Special Urgency Decisions 

1.49 In any event the Leader will report to the Council on any Cabinet decisions taken in the circumstances set out in Rule 1.41 (special urgency) since the last Council meeting. The report will include the number of decisions so taken and a summary of the matters in respect of which those decisions were taken.

Private Meetings of Cabinet – Procedures Prior to Private Meetings of Cabinet

1.50 The Leader and Cabinet intend to hold all its meeting in public (subject to the exclusion of the press and public if a confidential matter is being considered and subject to the exclusion of the press and public if an exempt item is being considered and the Cabinet resolve that it is in the public interest to discuss the matter in private) but the Executive has the following powers to hold meetings in private.

1.51 If the Cabinet intends to hold all or any part of a meeting in private, it will:

• publish this intention on the Forward Plan; and
• at least five clear days before the meeting give a further notice of the private meeting and make this available for public inspection at the Council offices and on its website.

1.52 The notice will include:

• a statement of the reasons for the meeting to be held in private;
• details of any representations received as to why the meeting should be open to the public; and
• a statement of its response to any such representations.

1.53 Where the date by which a meeting must be held means that the notice requirements above are impracticable, the meeting will only be held in private if;

• the Chair of the Scrutiny and Performance Committee agrees that the meeting is urgent and cannot reasonably be deferred;
• if there is no Chair of the Scrutiny and Performance Committee or (s)he is not available, the Chair of the Council’s agreement must be obtained; or
• if the Chair of Council is not available, the Deputy Chair of the Council’s agreement must be obtained.

1.54 As soon as reasonably practicable after agreement is obtained, the Cabinet will make available for public inspection at the offices of the Council a notice setting out the reasons why the meeting is urgent and cannot reasonably be deferred. The notice will also be published on the Council’s website.

Record of Executive Decisions

Cabinet, Cabinet Committee meetings and Individual Portfolio Holder Decisions

1.55 After any decision of the Cabinet, a Cabinet Committee or Portfolio Holder, the Democratic Services Manager, or their nominated deputy, will produce a written record of the decision which will include as a minimum:

• a. The name of the decision maker;
• b. a record of the decision and the date it was made;
• c. a statement of the reasons for each decision and any alternative options considered and rejected ; and
• d. a record of any declarations of interest made by any member of the decision-making body and a note of any Dispensation granted in respect of any declaration.
• e. Where appropriate, a statement of urgency and that the decision is exempted from Call-in.

1.56 The decision record and any accompanying written report that was relied upon must be published on the Council’s website and made available for inspection in accordance with this Constitution.

1.57 Any Portfolio Holder shall make decisions in accordance with the Cabinet Procedures set out in Part 2.3 of this Constitution.

Publication Requirements for Decisions by Officers

Overview

1.58 These rules apply to the recording and publication of Executive decisions made by Officers under delegated powers. It is a mandatory requirement for Officers making delegated decisions to make and retain the appropriate clear record of the decision including reasons and any supporting evidence and documentation in accordance with these Rules.

1.59 These Rules set a minimum standard for record keeping and Officers must also comply with any Council policies on the retention of records.

Key Decisions by an Officer

1.60 An Officer may be delegated power to make a Key Decision by the Executive. Key Decisions by Officers must:

• a. be published on the Council’s Forward Plan in accordance with Rule 1.38; and
• b. be recorded in writing and published as set out in these Rules (see Rule 1.55).

Delegated Operational Decisions

1.61 Decisions made by Officers:

• under a specific express authorisation; or
• under a general authorisation to Officers to take such decisions where the effect of the decision is to:
• a. Grant a permission or licence; or
• b. Affect the rights of an individual; or
• c. Award a contract or incur expenditure which, in either case, materially affects the Council’s financial position*; or
• d. which is of such significance that the relevant Corporate Director considers it should be published for transparency and accountability purposes

Are known as ‘Publishable Officer Decisions’ and will be published in accordance with the process below 1.66.

*A contract or expenditure shall be deemed to materially affect the Council’s position where the relevant sum is £150,000 or above.

1.62 Other Officer decisions of an operational or administrative nature are not required to be published. Officers making operational decisions are responsible for retaining a written record for any period required by the relevant Council Retention Policy and in accordance with guidance issued by the Monitoring Officer

1.63 Where a Publishable Officer Decision must be published, the written record of the decision and any background papers must be made available for public inspection on the Council’s website and at the Council’s offices as soon as reasonably practicable unless they contain exempt or confidential information as defined in Rule 1.27-1.29.

1.64 The Officer Decision Notice (as outlined below) shall be delivered to the Monitoring Officer (via Democratic Services for publication and made available for inspection.

1.65 Unless the Officer’s decision is a Key Decision, a Publishable Officer Decision is not eligible for Call-in.

Officer Decision Notice

• An Officer who takes an Publishable Officer Decision shall ensure that an ‘Officer decision notice’ is prepared as a written record of their decision and that it contains:
• a. the delegating power (whether under the Constitution, the Officer Scheme of Delegation or an express delegation in relation to a decision);
• b. a record of the names and titles of the decision taker;
• c. a record of the decision including the date it was made;
• d. a statement of the reasons for the decision;
• e. details of any alternative options considered and rejected by the Officer when making the decision;
• f. a record of any statement made by any Cabinet Member who is consulted by the Officer, including any conflict of interest declared by that Cabinet Member which relates to the decision; and
• g. in respect of any declared conflict of interest, a note of Dispensation granted; and
• h. in respect of a Key Decision, a statement of urgency and that the decision is exempted from Call-in where appropriate.

Consultation with Members

1.67 Corporate Directors will ensure Lead Members are informed of delegated decisions taken within their Portfolio, except operational decisions.

1.68 Officers will inform Local Ward Members (usually by email or by way of Member updates) of decisions with a significant impact in their wards in advance of the decision being made and will consider any responses. Decisions may still be made where there is no response from Ward Members.

Officer Scheme of Delegation

1.69 The Officer Scheme of Delegation (Part 2.13) may contain additional requirements as to the recording of decisions taken by Officers acting under delegated authority.

Inspection of Documents and Background Papers

1.70 The provisions of the rules above on ‘access to documents after meetings’ and ‘background papers’ will also apply to the making of decisions by individual Cabinet Members and Key Decisions by Officers. This does not require the disclosure of exempt or confidential information.

Additional Rights of Access for Members

1.71 All Members will be entitled to inspect any document which is in the possession or under the control of the Cabinet or its Committees and contains material relating to any business to be transacted at a public meeting unless;

• a. it contains exempt information falling within categories 1, 2, 4, 5, or 7 of exempt information; or
• b. it falls within category 3 in so far as it is information relating to any terms proposed or to be proposed by or to the Authority in the course of negotiations for a contract; or
• c. it contains the advice of a political adviser or political assistant.

1.72 Documents to which Members are entitled by virtue of rule 1.71 must be available for inspection by them at least 5 clear Working Days before the meeting unless the meeting is convened at shorter notice in which case it must be available when the meeting is convened. If the item is added to the agenda at shorter notice, the relevant document must be made available at the time when the item is added to the agenda.

1.73 All members will be entitled, within 24 hours of a decision made by an individual Cabinet Member or of the publication of a publishable Officer decision, to inspect any document which is in the possession or under the control of the Cabinet or its Committees and contains material relating to any business transacted to the individual decision, unless it contains exempt information falling within paragraphs 1,2, 4 , 5 and 7 of the categories of exempt information or paragraph 3 but only to the extent that the information relates to any terms proposed or to be proposed by or to the Council in the course of negotiations for a contract or it contains the advice of a political adviser or assistant.

1.74 Where Members are entitled to inspect any document after the decision has been taken, the document will be available for inspection

• When the meeting concludes; or
• Where an Executive decision is made by a Cabinet Member or Officer, immediately after the decision has been made
• In any event within 24 hours of the conclusion of the meeting or the decision being made, as the case may be.

1.75 These rights of a Member are additional to any other right they may have.

Scrutiny and Performance Committee – Access to Documents

Rights to Copies

1.76 Members of Scrutiny and Performance Committee (including its Sub-Committees) will be entitled to copies of any document which is in the possession or control of the Cabinet, Cabinet Committee, or Cabinet Member or Officer and which contains material relating to:

• a. any business transacted at a meeting of the Cabinet, Cabinet Committee; or
• b. any decision taken by an individual Portfolio Holder of the Cabinet;
• c. any Key Decision that has been made by an Officer or a publishable Officer decision made under rule 1.61 above;

1.77 These documents should be provided by the Cabinet as soon as reasonably practicable and no later than 10 clear days from receiving the request.

Limit on Rights

1.78 No Member of the Scrutiny and Performance Committee is entitled to a copy of any such document as contains exempt or confidential information unless the information is relevant to:

• a. An action or decision that the Member is reviewing or scrutinising or intending to scrutinise.
• b. Any review contained in any programme of work of the Scrutiny and Performance Committee.

1.79 No Member of the Scrutiny and Performance Committee is entitled to any document which contains advice from a political adviser or assistant.