Monitoring Officer
Annual Report 2011/12
Section
Numbers
Contents
1
Introduction
2
The Monitoring Officer’s Work April 2011 – March 2012
3
Key Messages
4
Looking Forward
5
Overall opinion on the adequacy and effectiveness of the
Governance framework
Appendix H
List of procurement exemption requests between 1 April 2011 and
31 March 2012
Monitoring Officer Annual Report 2011/12
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 2011 to 31 March 2012 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 2011 – March 2012
2.1
The Monitoring Officer has undertaken the following work during the year
from April 2011 to March 2012.
Duties
(a) Report on contraventions or likely
contraventions of any enactment or
rule of law.
(b)
(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.
Work undertaken
There has been one breach of the Data
Protection Act. A voluntary disclosure
was made to the Information
Commissioner’s Office who decided no
regulatory action was needed on this
occasion.
There have been no such reportable
incidents.
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 through the Members’ Bulletin
and after the election in May 2011.
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 2011/12
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)
During the year between April 2011 and
March 2012 a total of 36 complaints have
been received, compared with 29 in
2010/11 and 53 in 2009/10.
Investigate misconduct in respect of
District, Parish and Town
Councillors under the Code of
Conduct.
These have all been assessed in
accordance with the time limits of the
local assessment framework
During that time there have been 12
cases where no further action was
considered necessary by the
Assessment Sub-Committee, compared
with 9 in 2010/11 and 30 in 2009/10.
8 Cases were referred for investigation
(13 in 2010/11) and 16 were referred for
other action (3 in 2010/11). Of the 8
referred for investigation, 1 was found to
have breached the Code of Conduct, 2
were found to have no breach and 5
were outstanding at 31 March 2012.
Of the 36 complaints received, 7 relate to
District Councillors and 29 relate to Town
or Parish Councillors.
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.
There have been no alleged breaches of
the Council’s own protocols.
(g)
Provide advice to Town and Parish
Councils on the interpretation of the
Code of Conduct.
The Monitoring Officer and his staff have
provided advice to Parish Councils on the
Code of Conduct during 2011/12 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 and it was appropriate to do so.
Monitoring Officer Annual Report 2011/12
Duties
(h) Promote and support high
standards of conduct through
support to the Standards
Committee.
Work undertaken
The Standards Committee have received
reports on a range of matters during
2011/12 including;
• The future of Standards for
England and the Local
Assessment Framework.
• Regular reporting of outstanding
cases.
• Reports requested by the
Committee.
• Progress of other action.
• Impact of, and issues arising
from, the Localism Act 2011.
The Standards Committee has been
programmed to meet on a bi-monthly
basis with reserve dates for alternate
months. During the year to 31 March
2012, the Standards Committee actually
met on 6 occasions.
(i)
Liaison with Standards for England.
The Monitoring Officer and his staff
liaised with Standards for England (until
its abolition in January 2012) on the
following matters;
• Individual cases.
• Interpretation of the Code.
• Parish Council matters.
• Performance complaints
(j)
Compensation for
maladministration.
None.
(k)
Maintenance and review of the
Constitution.
The Constitution Working Party was set
up by Full Council on 22 February 2012
to undertake the annual review of the
Constitution and to develop a work
programme for 2012/13.
Amendments from the annual review
were formally adopted by the Council at
its meeting on 18 April 2012.
(l)
Responsibility for complaints made
under the Council’s Whistleblowing
and Anti-Fraud policies.
There have been no complaints made
under the Whistleblowing and Anti-Fraud
policies.
(m) Breaches of the Employee Code of
Conduct.
There have been no formal allegations of
breaches under the Employee Code of
Conduct.
Monitoring Officer Annual Report 2011/12
Duties
(n) 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 has been updated
this year but continues to require 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. There has been an
improvement in the number of reports
that are 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.
3.
Key Messages
3.1
The key messages to note from the year are:
(i)
There has been one significant incident arising during the year between
April 2011 and March 2012 and this relates to an accidental release of
personal data. A voluntary disclosure was made to the Information
Commissioner’s Office (ICO) explaining the circumstances of the incident
and the action the Council took to recover the situation. The ICO was
satisfied with the action the Council took and the measures put in place to
prevent a recurrence. The ICO decided that no regulatory action was
required in this instance. However, should there be any further incidents
the ICO may not take the same view. One consequence is that Members
and Officers will need to be reminded about their duties and
responsibilities under the Data Protection Act.
(ii)
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.
Monitoring Officer Annual Report 2011/12
(iii)
During 2011/12, one audit was undertaken of relevance to the Standards
Committee and the work of the Monitoring Officer. The review focused on
Corporate Governance arrangements, specifically identifying issues in
relation to Committee terms of reference, Committee reporting and
Member training and development. The recommendations included the
need to make amendments to the Constitution as part of the annual
review and a programme of review to be conducted throughout the year.
In response to this recommendation, the Council established a
Constitution Working Party which has taken on this agenda. The audit
opinion for this review was that the Council’s arrangements provide
adequate assurance.
(iv)
Following the annual review of the Constitution, there will be a significant
number of updates and amendments that will be required to reflect,
amongst other matters, the impact of the Localism Act 2011 and the
management restructuring.
The Constitution Working Party will
recommend updates and amendments at various times during the year
when relevant decisions are made or regulations issued. It will be
necessary to brief Members and Officers on the key updates and
amendments to the Constitution.
(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
Leadership Team.
4.
Looking Forward
4.1
The key issues for 2012/13 are as follows;
4.2
Code of Conduct
4.2.1
As reported above, the Council has received 36 complaints between April
2011 and March 2012 and will continue to advise the Standards Committee
Monitoring Officer Annual Report 2011/12
on the number and type of complaints received under both the current
arrangements and new arrangements (when they come into effect).
4.2.2
Under the provisions of the Localism Act 2011, the Register of Members’
Interests will continue to be administered and updated by the Monitoring
Officer. When the new requirements come into effect it will be necessary for
all councillors to complete amended register forms and for the Council to
publish the register entries on its website for the District, Town and Parish
Councils. Where a Town or Parish Council has its own website, it will also be
necessary for that Town or Parish Council to publish its register entries there.
4.2.3
In addition, all Councils will have to adopt a new Code of Conduct that
incorporates the principles of conduct in public life and appoint an
Independent Person as a point of reference for the Council and Monitoring
Officer in dealing with complaints under the adopted Code of Conduct. The
Council is due to consider a new Code of Conduct at its meeting on 30 May
2012. Once adopted, it will be necessary for the Monitoring Officer to engage
with Town and Parish Councils about adopting their own Codes and
explaining the associated complaints procedures. It is currently expected the
new arrangements will be implemented on 1 July 2012.
4.2.4
Given these imminent changes, and subject to the Council confirming it
wishes to maintain a Standards Committee under the new provisions,
meetings will remain scheduled to take place on a bi-monthly basis during
2012/13 with reserve dates set for intervening months.
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 continue to provide an assurance in respect of the
Code and the Annual Governance Statement by way of this Annual Report.
4.4
Constitution and Regulations
4.4.1
Following the annual review of the Constitution by the Constitution Working
Party, amendments have been made as agreed at Full council on 18 April
2012. The Constitution Working Party will have an on-going role and
responsibility for the foreseeable future and has established a programme of
work for the remainder of 2012/13.
4.4.2
As part of those amendments, a new provision was included within the
contract procedure rules requiring the publication of details of the
procurement exemptions approved during the year in the Monitoring Officer
Annual Report. Details are attached at Appendix 1.
4.4.3
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 2011/12
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 2011 and March 2012 for the
purposes of the latest regulations (subject to the areas outlined above).
………………………………….
Tony Ing
Monitoring Officer
9 May 2011
Monitoring Officer Annual Report 2011/12
APPENDIX H
List of procurement exemption requests
between 1 April 2011 and 31 March 2012
Section 9 of the Council’s Contract Procedure Rules deals with exemptions as it is
acknowledged that the market place or extenuating circumstances does not always
allow for the normal procedures to be followed. Where exemptions have been
approved there is a requirement for these to be reported as part of the Monitoring
Officer’s Annual Report in line with the Council’s Constitution and Contract Standing
Orders (9.2, pg 9.33).
Service
Description
Legal Services
Procurement of
legal case
management
system
£7,394
Procurement of
website
development for
the Norfolk
Climate Change
Taskforce
£28,815
Installation of a
prefabricated
public
convenience unit
in North
Walsham (actual
unit provided free
of charge)
Environmental
Strategy
Coast &
Community
Partnership
Estimated
Exemption
Value
over Applied
contract life
£25,315
9.1 (a)
Contact
Officer
Emma Duncan
9.1 (c)
Peter Lumb
9.1 (a)
Rob Young
Exceptions (9.2)
It is acknowledged that the market place or extenuating circumstances do not always
allow the full procurement procedures to be followed. Subject to compliance at all
times with European procurement rules, contracts can also be entered into in the
following circumstances:
(a)For the supply of goods or services where there is only one supplier and no
acceptable alternative, following consultation with the Procurement Officer.
(b) For the extension, addition to or maintenance of existing buildings, works plant or
equipment, where the Cabinet has decided that this can only be done satisfactorily
by the original supplier.
(c) As part of a consortium (where the Council is not the lead authority).
(d) A contract that has been tendered by a central government body (the Office of
Government Commerce) or Framework contracts such as the Eastern Shires
Purchasing Organisation (ESPO).
(e) Where there is an urgent Health and Safety requirement, subject to the prior
approval of the Council’s Health and Safety Officer and the relevant Director.
(f) Where the Cabinet considers it desirable on commercial grounds to accept a
quotation from a supplier already engaged by the Council on a project provided that
Monitoring Officer Annual Report 2011/12
further services have a connection with the original project and that the price is not
more than 50% of the original contract sum.
(g) For loans arrangements.
(h) On behalf of another authority where the agency agreement provides that the
procurement rules of that authority are to be followed.
Further information can be requested from Duncan Ellis, Procurement Officer on ext
6330 or via email: Duncan.ellis@north-norfolk.gov.uk
Monitoring Officer Annual Report 2011/12