Monitoring Officer
Annual Report 2010/11
Section
Numbers
Contents
1
Introduction
2
The Monitoring Officer’s Work April 2010 – March 2011
3
Key Messages
4
Looking Forward
5
Overall opinion on the adequacy and effectiveness of the
Governance framework
Monitoring Officer Annual Report 2010/11
1.
Introduction
1.1
The Monitoring Officer’s Annual Report summarises the more important
matters arising from the Monitoring Officer’s work for the District Council from
1 April 2010 to 31 March 2011 and comments on other current issues.
1.2
Corporate Governance is the system by which local authorities direct and
control their functions and relate to their communities. It is founded on the
fundamental principles of openness, integrity and accountability together with
the overarching concept of leadership. In this respect, North Norfolk District
Council recognises the need for sound corporate governance arrangements
and over the years has put in place policies, systems and procedures
designed to achieve this.
1.3
The Monitoring Officer is appointed under Section 5 of the Local Government
and Housing Act 1989 and has a number of statutory functions in addition to
those conferred under the Local Government Act 2000 and subsequent
regulations governing local investigations into Member conduct. These are
outlined in the next section of the report.
2.
The Monitoring Officer’s Work April 2010 – March 2011
2.1
The Monitoring Officer has undertaken the following work during the year
from April 2010 to March 2011.
Duties
(a) Report on contraventions or likely
contraventions of any enactment or
rule of law.
Work undertaken
There have been no such reportable
incidents.
(b)
There have been no such reportable
incidents.
(c)
Report any maladministration or
injustice where the Ombudsman
has carried out an investigation.
Establish and maintain the Register
of Member’s interests and gifts and
hospitality.
Members have been trained in the
provisions of the new Code and have
been issued with Guidance.
The Register of Members Interests is
publicised on the internet and Members
have been reminded about their
obligations.
Members have completed their
registrations and made amendments to
their registers in line with the Code.
The Registers remain as a standing item
on the Standards Committee Agenda
and are available for Members or
members of the public to inspect.
Monitoring Officer Annual Report 2010/11
Duties
d) Maintain Register of Employees
gifts and hospitality and declaration
of officer’s interests in contract.
Work undertaken
The Registers have been updated
regularly and are open to inspection.
(e)
The local assessment framework was
implemented by the Council with effect
from the statutory deadline of 8 May
2008.
Investigate misconduct in respect of
District, Parish and Town
Councillors under the Code of
Conduct.
During the year between April 2010 and
March 2011 a total of 29 complaints have
been received, compared with 53 in
2009/10.
These have all been assessed in
accordance with the time limits of the
local assessment framework
During that time there have been 9 cases
where no further action was considered
necessary by the Assessment SubCommittee, compared with 30 in
2009/10.
13 Cases were referred for investigation
(20 in 2009/10) and 3 were referred for
other action (6 in 2009/10). Of the 13
referred for investigation, 2 were found to
have breached the Code of Conduct, 7
were found to have no breach and 4
were outstanding at 31 March 2011.
Members have regularly sought advice in
order to comply with the Code of
Conduct, particularly in relation to
declaring interests under the Code.
(f)
Investigate breaches of the
Council’s own protocols.
Monitoring Officer Annual Report 2010/11
There has been one allegation of a
breach dealt with under the
Whistleblowing Policy. The allegation
was investigated and dismissed.
Duties
(g) Provide advice to Town and Parish
Councils on the interpretation of the
Code of Conduct.
Work undertaken
The Monitoring Officer and his staff have
provided advice to Parish Councils on the
Code of Conduct during 2010/11 face to
face, by letter, telephone and email.
Staff attended Parish Council meetings to
give training and support to Parish
Councils as identified by the Standards
Committee to implement programmes of
“other action” and also where Town and
Parish Councils have requested such
support.
(h)
Promote and support high
standards of conduct through
support to the Standards
Committee.
In addition, a programme of training and
support was provided to one Parish
Council, under the directions of
Standards for England, which was well
received.
The Standards Committee have received
reports on a range of matters during
2010/11 including;
• The future of Standards for
England and the Local
Assessment Framework.
• Standards Board Bulletins.
• Regular reporting of outstanding
cases.
• Reports requested by the
Committee.
• Caselaw.
• Progress of other action.
• Trend analysis.
The Standards Committee has been
programmed to meet on a monthly basis.
During the year to 31 March 2011, the
Standards Committee actually met on 9
occasions.
(i)
Liaison with Standards for England.
The Monitoring Officer and his staff
liaised with the Standards Board on the
following matters;
• Individual cases.
• Interpretation of the Code.
• Parish Council matters.
• Performance complaints
(j)
Compensation for
maladministration.
None.
Monitoring Officer Annual Report 2010/11
Duties
(k) Advice on vires issues,
maladministration, financial
impropriety, probity and policy
framework.
Work undertaken
The Monitoring Officer or his senior staff
have been consulted on new policy
proposals and on matters, which have
potentially significant legal implications.
The Monitoring Officer and his staff
attend Cabinet, Full Council and other
Committees as necessary.
The report template requires authors to
forward reports to the Monitoring Officer
for review of the legal implications prior to
submission for agendas where
appropriate or to explain why this has not
been necessary. However, in a small
number of cases reports are not
consulted upon in a timely fashion.
The Monitoring Officer and his senior
staff regularly advise on the legality
and/or appropriateness of administrative
procedures, in conjunction with the
Democratic Services Team.
(l)
Maintenance and review of the
Constitution.
The Constitution has been fully reviewed
in 2010/11 by the Constitution Working
Party to ensure it is up to date and meets
the needs of the Council in terms of the
efficient management of business and
legal compliance. It has been written in a
way that enables the reader to more
easily navigate the contents and includes
an index.
It was formally adopted by the Council at
its meeting on 6 April 2011.
(m) Responsibility for complaints made
under the Council’s Whistleblowing
and Anti-Fraud policies.
There has been one complaint dealt with
under the Whistleblowing Policy since
last year’s report. The complaint was
investigated. There was no evidence
identified to support the complaint. The
complaint was therefore dismissed.
(n)
There has been one allegation of a
breach dealt with under the
Whistleblowing Policy. The allegation
was investigated and dismissed.
Breaches of the Employee Code of
Conduct.
Monitoring Officer Annual Report 2010/11
3. Key Messages
3.1
The key messages to note from the year are:
(i)
There have been no ‘reportable incidents’ during the year between April
2010 and March 2011.
(ii)
That the systems of internal control administered by the Monitoring Officer
including compliance with the Council’s Constitution were adequate and
effective during the period for the purposes of the latest Regulations.
However, it is important that Members and Officers are regularly reminded
of their obligations and updated on any changes to ensure there is no
complacency.
(iii)
Following the full review of the Constitution, there are updated procedural,
financial and contract regulations in place, along with the scheme of
delegation. After the election in May 2011, it will be necessary to brief
Members on the contents of the new Constitution.
(iv)
During 2010/11, three audits were undertaken of relevance to the
Standards Committee and the work of the Monitoring Officer. An Ethical
Governance audit was undertaken in June 2010 by the Council’s Internal
Auditors, focusing on communications, relationships and the management
of Standards. A Conveyancing, Data Protection, Freedom of Information
and Gifts and Hospitality audit was undertaken in August 2010. A
Corporate Governance and Risk Management audit was undertaken in
February 2011, focusing on compliance with the local Code of
Governance and systems of risk management. The audit opinion for each
of these reviews was that the Council’s arrangements provide adequate
assurance.
(v)
The Council is proactive in raising the standards of ethical conduct among
Members and staff and has put in place arrangements for monitoring
compliance with standards of conduct across the Council. In common
with previous years those arrangements include:
•
Standards of conduct and behaviour for Officers.
•
A Code of Conduct for Members.
•
A Register of Interests.
•
Register of Gifts and Hospitality.
•
The provision of advice on governance matters to Town and Parish
Councils.
•
Arrangements to receive and investigate allegations of breaches of
proper standards of financial conduct and fraud and corruption.
•
Arrangements to ensure the quality of the Legal Service provided.
•
Regular reports to the Standards Committee and ad hoc reports on
major legislative and governance issues are provided to the Corporate
Management Team.
Monitoring Officer Annual Report 2010/11
4. Looking Forward
4.1
The key issues for the following year are as follows;
4.2
Code of Conduct
4.2.1
The Council has received 29 complaints between April 2010 and March 2011
and will continue to advise the Standards Committee on the number and type
of complaints received.
4.2.2
The Register of Members’ Interests will continue to be administered and
updated. After the local elections in May 2011, it will be necessary to
complete forms for both new and returning Councillors.
4.2.3
The Government plans to abolish Standards for England towards the end of
2011, however, it is expected that the Local Assessment Framework will
remain in place until at least 31 March 2012. During the coming year, and as
the future legal provisions are clarified, the Council will need to determine
what arrangements it wishes to amend, establish or continue in terms of
standards and ethics.
4.2.4
As a consequence of these imminent changes, and due to an apparent
reduction in the number of complaints being received, the Standards
Committee will be scheduled to meet on a bi-monthly basis during 2011/12.
However, reserve dates have also been scheduled should the situation
change and additional meetings become necessary.
4.3
Corporate Governance Framework
4.3.1
The Council will keep the Code of Corporate Governance under review,
taking into account any revisions to associated guidance and any
recommendations arising from audit reports.
4.3.2
The Monitoring Officer will provide an assurance in respect of the Code and
the Annual Governance Statement in the form of the Monitoring Officer
Annual Report.
4.4
Constitution and Regulations
4.4.1
Having revised the Constitution in full this year it will now be necessary to
maintain the document, taking account of any changes introduced by new
legislation or required by the Council.
4.4.2
It will be appropriate to continue to remind Members and staff of the
importance of compliance with the Council’s regulations, as set out in the
Constitution and other policy framework documents, and the Monitoring
Officer and his staff will give advice accordingly.
Monitoring Officer Annual Report 2010/11
5. Overall opinion on the adequacy and effectiveness of the Governance
framework
5.1
That the systems of internal control administered by the Monitoring Officer
including the Code of Conduct and the Council’s Constitution, were adequate
and effective during the year between April 2010 and March 2011 for the
purposes of the latest regulations (subject to the areas outlined above).
………………………………….
Tony Ing
Monitoring Officer
12 April 2011
Monitoring Officer Annual Report 2010/11