Constitution Working Party
Please Contact: Emma Denny
Please email: emma.denny@north-norfolk.gov.uk
Please Direct Dial on: 01263 516010
06 March 2015
A meeting of the Constitution Working Party will be held in the Committee Room at the
Council Offices, Holt Road, Cromer on Monday 16 March at 10.00am.
Sheila Oxtoby
Chief Executive
To: Mrs H Cox, Mrs A M Fitch-Tillett, Ms V R Gay, Mrs A M Moore and Miss B Palmer, Mr T
FitzPatrick, Mr MJM Baker
cc Mr J Punchard, Mr G Williams
If you have any special requirements in order to attend this meeting, please let us
know in advance
If you would like any document in large print, audio, Braille, alternative format or in a
different language please contact us
Chief Executive: Sheila Oxtoby
Strategic Directors: Nick Baker and Steve Blatch
Tel 01263 513811 Fax 01263 515042 Minicom 01263 516005
Email districtcouncil@north-norfolk.gov.uk Web site northnorfolk.org
AGENDA
1.
TO RECEIVE APOLOGIES FOR ABSENCE
2.
MINUTES
(page 1)
To approve as a correct record the minutes of the meeting of the Constitution
Working Party held on 23 February 2015.
3.
ITEMS OF URGENT BUSINESS
To determine any items of business which the Chairman decides should be
considered as a matter of urgency pursuant to Section 100B(4)(b) of the Local
Government Act 1972.
4.
DECLARATIONS OF INTEREST
Members are asked at this stage to declare any interests that they may have in any
of the following items on the agenda. The Code of Conduct for Members requires
that declarations include the nature of the interest and whether it is a disclosable
pecuniary interest.
5.
UPDATES TO THE CONSTITUTION
To consider any recent changes to the Constitution, as advised by the Monitoring
Officer.
The changes could reflect:


Changes in the law
Changes in the internal structure of the Council, titles of postholders etc.
Improvements to the existing constitution suggested by the Monitoring Officer
Two parts of the Constitution are coming forward for revision – Chapter 9, Financial
Regulations and the parts of the Constitution relating to the Development Committee.
These will be dealt with as separate agenda items.
6.
REVIEW OF FINANCIAL REGULATIONS
(page 6)
The Head of Finance has undertaken a review of Chapter 9 of the Constitution. A
copy of the relevant section with tracked changes is attached.
7.
REVIEW OF PLANNING MATTER AND DELEGATIONS
(page 36)
(Appendix 1 – p.41) (Appendix 2 – p.43) (Appendix 3 – p.68 ) (Appendix 4 – p.71)
(Appendix 5 - p.74)
The Head of Planning has undertaken a review of the sections of the Constitution
that relate to Development Committee (Part 5, Chapter 3) and the Default
Delegations to the Head of Planning (Part 6, paragraphs 6.2-6.4). These are
intended to clarify and consolidate the Council’s current practices, processes, and
procedures and where changes are proposed this are clearly highlighted in the
appendices as matters for consideration by the Development Committee and
approval by the Constitutional Working Party.
8.
COASTAL CONCORDAT
To notify the Working Party that the following recommendation will be going forward
to Council regarding the Constitution.
At meeting of the Development Committee held on 27 November 2014, the following
recommendation was made to Council made to amend the Constitution:
It was proposed by Councillor R Shepherd, seconded by Councillor B Smith and
RESOLVED
That Full Council be recommended to amend the Constitution and Scheme of
Delegation to enable Development Committee to determine controversial
applications for Coastal Protection Consent, in circumstances where the
Council as Local Planning Authority is acting as the lead authority under the
Coastal Concordat and the Head of Service declines to use their delegated
authority.
9.
REVIEW OF THE CONSTITUTION
To consider examples of an officer/member protocol and a media protocol
(previously circulated) and whether any further changes are required to NNDC’s
protocols on the above.
10.
REVIEW OF GOVERNANCE ARRANGEMENTS
To consider the on-going review of governance arrangements and whether any
recommendations to Council are required at this stage.
11.
FUTURE MEETINGS
To be confirmed
CONSTITUTION WORKING PARTY
Minutes of a meeting of the Constitution Working Party held on 23 February in
Meeting Room 3, Council Offices, Holt Road, Cromer at 10.00 am.
Working Party:
Mrs H Cox, Ms V Gay, Mrs A Moore, Miss B Palmer
Mr T FitzPatrick
Members:
Mr P W Moore
Officers in
Attendance:
The Monitoring Officer and the Democratic Services Team Leader
1
TO RECEIVE APOLOGIES FOR ABSENCE
Mr M Baker, Mrs A Fitch-Tillett, Mr G Williams
2
MINUTES
The Minutes of the meeting held on 09 February 2015 were approved as a correct
record and signed by the Chairman, subject to the following amendment: ‘Ms V Gay
said that she had no experience of a committee system but she did not feel that
delegation to individual Portfolio Holders (under the current Cabinet system) would
be beneficial.’
3
ITEMS OF URGENT BUSINESS
None
4
DECLARATIONS OF INTEREST
None
5
UPDATES TO THE CONSTITUTION
The Monitoring Officer informed Members that there had been no updates to the
Constitution since the last meeting. He advised them that there was currently a
consultation on Proposed Local Authorities (Functions and Responsibilities)
(England) Regulations 2015, which put forward a set of draft regulations to update
the rules for decision-making in councils. The consultation closed on 6th March 2015
and the Monitoring Officer said that he would report back to the Working Party on the
outcome. He said that any changes were likely to include scrap metal legislation.
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REVIEW OF THE CONSTITUTION
The Chairman invited the Monitoring Officer to introduce this item. He referred
Members to two briefing papers he had drafted. He began with the paper on ‘Council
Procedure’. Three key areas were covered:
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23 February 2015



Procedure rules for managing business,
Member’s questions and
Motions and Cabinet reports to Council
The Monitoring Officer explained that the procedure rules were not rigid, not only did
the Chairman have discretion in certain circumstances but members could vote at
any time to resolve to suspend standing orders if they felt it appropriate to do so.
Members agreed that this section of the Constitution did not need amending.
The Monitoring Officer then outlined the current procedure for members to ask
questions during a Council meeting. He said that the existing protocol was very
formalised, underpinning the formality of a Council meeting. The main issue seemed
to be that currently members were not able to ask a question relating to an issue that
arose during that meeting as all questions had to be submitted 10 working days in
advance of the meeting. He advised members that if they proposed changing the
current procedure on questions, they needed to be aware that there was no
obligation for the respondent to answer. He drew members’ attention to additional
wording that could be included within the Constitution to address some of the issues
that had been raised: ‘The Chairman rules that the question could not reasonably
have been prepared in accordance with (i) and (ii) above and is suitable to be put at
the meeting rather than outside the meeting’
He went onto say that the answer to some questions may already be in the public
domain but the proposed additional wording would provide the option to allow a
further question to be put outside the existing framework.
Ms V Gay said that the current requirement to submit questions for Council 10
working days prior to the meeting was very onerous. She asked whether this could
be reduced to 7 working days. The Chairman said that the regular reminders to
members about the deadlines that were sent out by Democratic Services Team
Leader were very helpful.
Mr P W Moore said that as long as the Chairman was prepared to take an impromptu
question during the meeting then the proposed amendment would work better. He
went onto ask whether this would apply to other committee meetings. The Monitoring
Officer said that this particular rule applied to Council meetings but there was no
reason why it could not be applied to other committees.
It was proposed by Ms V Gay, seconded by Miss B Palmer and
RESOLVED to recommend to Council:
1. To change Chapter 2, section 12.4(i) of the Council procedure rules
‘Questions by members’ from 10 working days before the Council meeting to
7 working days
2. To include the following additional wording within the Constitution under
Chapter 2, section 12.4(iii): ‘the Chairman rules that the question could not
reasonably have been prepared in accordance with (i) and (ii) above and is
suitable to be put at the meeting rather than outside the meeting’
The Monitoring Officer then asked whether the Cabinet procedure rules required
further amendment. It was agreed that they did not. He went onto say that members
could resolve to suspend standing orders and open the debate at any time. Ms V
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Gay added that they could also opt to close it down by proposing that the Chairman
moves to the next item of business.
Ms V Gay then queried whether there was a requirement for a recorded vote to have
a seconder. The Monitoring Officer confirmed that there was not. Ms Gay went onto
ask whether it was standard practice to take a recorded vote in alphabetical order.
The Democratic Services Team Leader replied that the recorded vote roll was based
on the attendance register for Council and was therefore in alphabetical order. The
Monitoring Officer confirmed that in his experience a recorded vote was usually
undertaken alphabetically by surname.
The Monitoring Office then referred members to page 29, section 17.5 of the
Constitution ‘Rules of Debate, reports and recommendations from Cabinet’. The
Democratic Services Team Leader explained that the members seemed to be
concerned that they could not ask questions of Cabinet members when they gave a
verbal report to Council on their recent activities, rather than recommendations from
Cabinet to Council. The Monitoring Officer suggested that the wording of section 17.5
could be amended to ‘Updates, briefing, reports and recommendations from Cabinet,
committees, sub-committees and officers’.
It was agreed and
RESOLVED to recommend to Council:
That Section 17.5 of the Constitution, ‘Rules of Debate’ be amended to ‘ Updates,
briefings, reports and recommendations from Cabinet, committees, sub-committees
and Officers shall be deemed to have been proposed and seconded, and the
proposer’s speech may be taken (for Cabinet) by the Leader or another Cabinet
Member deputed by the Leader or (for Committees and Sub-Committees) by the
Chairman, or in his/her absence the Vice-Chairman, or in both their absence by a
Member of the Committee or Sub-Committee chosen by the Chairman.’‘
The Democratic Services Team Leader confirmed that she would change the
wording on the agenda to reflect the change.
The Chairman said that it was important that Council meetings were open and
encompassing and it was possible that a thorough review of the existing governance
arrangements may be sufficient in addressing any concerns that members had.
Mr T FitzPatrick said that the original motion had never proposed a move to a
committee system. Ms V Gay agreed. She said that it was about ensuring
transparency and addressing the concerns that the public had about councillors. Mr T
FitzPatrick went onto say that he would like to see more public attendance at
committee meetings and this could be addressed by holding more meetings in the
evenings. The Chairman said that the issue of public attendance and interest in
committee meetings could be addressed by the ongoing programme of engagement
sessions that the Standards Committee was organising.
The Monitoring Officer then moved onto the second briefing paper entitled ‘Local
Members’. He explained that there were several reference to local members within
the Constitution, covering three broad categories: information, consultation and
agreement. He advised that references to obtaining the agreement of local members
should be removed as the scheme of delegation did not give scope for a person’s
agreement to be part of that decision making.
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Mr T FitzPatrick referred to planning issues and explained that members were not
always consulted or made aware of issued – especially if the applicant requested that
that the details were kept confidential during the pre-application process. He said that
such information should not be confidential as far as the local member was
concerned. Ms V Gay agreed. She said that the worst case scenario would be that it
appeared that the local member had lied to or misled their constituents when in fact
they had not been party to the information at all. The Monitoring Officer replied that
pre-application questionnaires were not currently covered by the Constitution and
that he would ensure that they were covered by the ongoing review of the Planning
rules and regulations. He advised that from a confidentiality point of view, the preapplication process was simply a discussion between the applicant and the local
authority – which included members and officers. Mr FitzPatrick confirmed that as a
member of Norfolk County Council he was kept informed throughout the process. Ms
V Gay reiterated her previous request to see a copy of the County Council’s Local
Member Protocol, which was currently withdrawn for review. She went onto say that
she also had concerns about other areas where the local member was not always
kept informed – such as asset management and publicity. The Chairman confirmed
that County Council members were notified of any press releases relating to their
ward.
Mr P W Moore sought clarification on the difference between ‘informing members ’
and ‘consulting with members’. The Monitoring Officer replied that informing a
member was just telling them about an issue whereas consulting with them required
their views on the matter. In response to a further question from Mr Moore regarding
maintaining a log for consultations, he confirmed that this was the case.
Mr T FitzPatrick queried Chapter 6, section 6.2 (4) which referred to applications for
wind turbines. He said that he understood that such applications were always dealt
with by the Committee. The Democratic Services Team Leader agreed to clarify this.
Ms V Gay referred to wards with several members. She said that in North Walsham
there were 6 members and she had no problem with any of them asking a question
that related to an issue or matter within her own ward but she would like to see a
copy of the reply that was sent to them. She asked whether this was a reasonable
request. The Monitoring Officer confirmed that if advice was given to members then it
should be shared with all interested members. Mr FitzPatrick sought clarification that
the Monitoring Officer was saying that if any member wanted information pertaining
to their ward, then the local member should be copied in. The Monitoring Officer
asked whether this was an issue for other areas in addition to planning. Ms Gay
replied that it also applied to assets and environmental health issues. The Monitoring
Officer confirmed that in the light of transparency this information should be made
available to local members.
The Democratic Services Team Leader asked members whether they wished to
introduce a timescale regarding officers consulting with local members. The current
process simply required that ‘relevant staff are aware of the requirement to keep local
members informed and that the timing of such information allows Members to
contribute to those decisions. Local Members should also be kept informed about
matters affecting their Wards during the formative stages of policy development.’ She
said that officers found that the lack of guidance around the timing of informing
members led to a lack of consistency in the way these matters were handled. Mr
FitzPatrick commented that this could be difficult as the issues concerned varied so
much. The Chairman suggested that this could be addressed or picked by new
software systems.
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The Democratic Services Team Leader agreed to send members of the Working
Party a copy of the County Council’s Protocol on Officer/member relations.
7.
REVIEW OF GOVERNANCE ARRANGEMENTS
The Democratic Services Officer confirmed that the District Council she had
approached about providing information on moving to a committee system of
governance were still operating on an executive system and had no intention of
changing. There were no other district councils within the region that operated a
committee system and she sought members’ views as to how to move forward with
this. It was agreed that the Democratic Services Officer would circulate a list of
district councils operating a committee system of governance, including those that
had remained with the committee system when the executive arrangements came
into effect in 2000. She said that she would also see if there were any published
reviews of committee systems.
The Chairman said that Norfolk County Council were about to undertake a review of
the recently introduced committee system and it would be useful if the Monitoring
Officer could keep the Working Party updated on this.
Mr P W Moore asked what County Council members thought of the committee
system. The Chairman (herself a member of the County Council) said that she
thought it was mixed and said it may well have been different if the Council had
waited for the new administration to bed-in before introducing a change in
governance. Mr FitzPatrick (also a member of the County Council) added that
because committee chairmen had no executive powers, very little had been
happening between committee meetings. More was happening now but it was
outside the constitution.
Ms V Gay reiterated the point made at the last meeting that members needed to think
about what they wanted to establish and then find the most appropriate way of
achieving that.
The Chairman thanked everyone for their input and confirmed that the next meeting
would take place on 16 March 2015.
The meeting closed at 11.25am.
Chairman
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CHAPTER 9
RULES, CODES AND PROTOCOLS
Part 1. Financial Regulations
1.
Status of Financial Regulations
1.1
Financial Regulations provide the framework for managing the Council‟s financial affairs and form
part of North Norfolk District Council‟s constitution. They apply to every member and employee of the
Council and anyone acting on its behalf. The Council‟s detailed financial procedures, setting out how
the regulations will be implemented, are contained in the Financial Procedures. A-E.
1.2
The Regulations identify the financial responsibilities of the Council, its Members, the Head of Paid
Service, the Monitoring Officer, the Chief Financial Officer and Heads of Service. Statutory Officers,
Directors and Heads of Service should maintain a written record where decision- making has been
delegated to members of their staff, including seconded staff. Where decisions have been delegated
or devolved to other responsible employees, references to Heads of Service in the Regulations
should be read as referring to them.
1.3
All members and employees have a general responsibility for taking reasonable action to provide for
the security of the assets under their control, and for ensuring that the use of these resources is
legal, is properly authorised, provides value for money and achieves best value.
1.4
The Chief Financial Officer is responsible for maintaining a continuous review of the Financial
Regulations and submitting any additions or changes necessary to the Council for approval. The
Chief Financial Officer is also responsible for reporting, where appropriate, breaches of the Financial
Regulations to the Council and/or to the Cabinet.
1.5
Directors and Heads of Service are responsible for ensuring that all employees in their areas of
responsibility are aware of the existence and content of the Council‟s Financial Regulations and other
internal regulatory documents and that they comply with them.
1.6
The Chief Financial Officer is responsible for issuing advice and guidance to underpin the Financial
Regulations that Members and officers are required to follow.
2.
Financial Management
2.1
Financial management covers all financial accountabilities in relation to the running of the Council,
including the policy framework and budget.
2.2
2.3
The Council
The Council is responsible for adopting the Council‟s Constitution and Members‟ Code of Conduct
and for approving the policy framework and budget within which the Cabinet operates. It is also
responsible for approving and monitoring compliance with the Council‟s overall framework of
accountability and control. The framework is set out in its Constitution. The Council is also
responsible for monitoring compliance with the agreed policy and decisions of the Cabinet.
The Council is responsible for approving procedures for recording and reporting decisions taken. This
includes those key decisions delegated by and decisions taken by Cabinet, the Council and its
committees. These delegations and details of who has responsibility for which decisions are set out
in the Constitution.
2.4
The Cabinet
The Cabinet is responsible for proposing the financial policy framework and budget to the Council,
and for discharging executive functions in accordance with the policy framework and budget.
2.5
Decisions can be delegated to a Cabinet Member, committee of the Cabinet, or an officer.
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2.6
2.7
The Overview & Scrutiny Committee
The Overview & Scrutiny Committee is responsible for scrutinising decisions of the Cabinet before or
after they have been implemented and for holding the Cabinet to account. The Overview & Scrutiny
Committee is also responsible for making recommendations on future policy options and for
reviewing the general policy and service delivery of the Council including the management of the
Council‟s finances.
The Audit Committee
The Audit Committee is responsible for recommending approval of the Statement of Accounts to
Council and making any comments and recommendations to the Cabinet and Council.
2.8
The Audit Committee is also responsible for approving the annual audit plan, ensuring the
maintenance of a continuous internal audit service, reviewing all internal and external audit reports,
reviewing and approving the Annual Governance Statement, to receive the Treasury Management
Annual Report, reviewing progress on implementing audit recommendations, reviewing progress on
the internal audit plan, monitoring the performance of internal audit, monitoring fundamental reviews,
reviewing the corporate governance framework, ensuring appropriate procedures are in place to
mitigate risk, to monitor the quality of the Council‟s key information systems through regular updates
on data quality, and to review the Council‟s Contract Procedure Rules and to make recommendations
for changes where necessary.
2.9
To recommend to the Standards Committee any changes to the corporate governance framework
that fall within the remit of that committee.
2.10
2.11
2.12
2.13
2.14
Standards Committee
The Standards Committee is responsible for promoting and maintaining high standards of conduct
amongst Members. In particular, it is responsible for advising the Council on the adoption and
revision of the Members‟ Code of Conduct, and for monitoring the operation of the Code.
The Development Committee and Licensing & Appeals Committee
Planning, licensing and enforcement are not executive functions but are exercised through the
Development Committee and Licensing Committee under powers delegated by the Council. Both
Committees report to the Council.
Head of Paid Service
The Chief Executive shall undertake the duties of the Head of Paid Service for the purposes of the
Local Government Act 1989 and is responsible for the corporate and overall strategic management of
the Council as a whole. He/ she must report to and provide information for the Council, the Cabinet,
the Audit Committee and other committees.
He/ she is responsible for establishing a framework for management direction, style and standards
and for monitoring the performance of the organisation. The Head of Paid Service is also
responsible, together with the Monitoring Officer, for the system of record keeping in relation to all the
Council‟s decisions.
The Monitoring Officer
The Monitoring Officer is responsible for promoting and maintaining high standards of conduct and
therefore provides support to the Standards Committee. The Monitoring Officer is also responsible for
reporting any actual or potential breaches of the law or maladministration to the Council and/or to the
Cabinet and for ensuring that procedures for recording and reporting key decisions are operating
effectively.
2.15
The Monitoring Officer must ensure that decisions and the reasons for them are made public. He/she
must also ensure that Council Members are aware of decisions made by committees and employees
who have delegated executive responsibility.
2.16
The Monitoring Officer is responsible for advising all Members and employees about who has
authority to take a particular decision.
2.17
The Monitoring Officer is responsible for advising the Cabinet or Council about whether a decision is
likely to be considered contrary or not wholly in accordance with the policy framework.
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2.18
The Monitoring Officer (together with the Responsible Financial Officer) is responsible for advising
Cabinet or Council about whether a decision is likely to be considered contrary or not wholly in
accordance with the budget. Such actions include:
(a)
initiating a new policy
(b)
committing expenditure in future years to above the budget level
(c)
incurring interdepartmental transfers above virement limits
(d)
causing the total net expenditure financed from council tax, grants and corporately held reserves to
increase, or to increase by more than a specified amount.
2.19
The Monitoring Officer is responsible for maintaining an up-to-date Constitution
2.20
The Responsible Financial Officer
The Responsible Financial Officer has statutory duties in relation to the financial administration and
stewardship of the Council. This statutory responsibility cannot be overridden. The statutory duties
arise from:
(a)
Section 151 of the Local Government Act 1972
(b)
The Local Government Finance Act 1988
(c)
The Accounts and Audit Regulations 2003.
2.21
The Responsible Financial Officer is responsible for:
(a)
the proper administration of the Council‟s financial affairs
(b)
setting and monitoring compliance with financial management standards
(c)
advising on the corporate financial position and on the key financial controls necessary to secure
sound financial management
(d)
providing financial information
(e)
preparing the revenue budget and capital programme
(f)
treasury management and banking.
2.22
Section 114 of the Local Government Finance Act 1988 requires the Responsible Financial Officer to
report to the Council, the Cabinet and external auditor if the Council or one of its employees:
(a)
has made, or is about to make, a decision which involves incurring unlawful expenditure
(b)
has taken, or is about to take, an unlawful action which has resulted or would result in a loss or
deficiency to the Council
(c)
is about to make an unlawful entry in the Council‟s accounts.
2.23
The Responsible Financial Officer must also make a report under this section if it appears that the
expenditure of the authority (including expenditure it is proposing to incur) in a financial year is likely
to exceed the resources (including sums borrowed) available to meet that expenditure. Section 114
of the 1988 Act also requires:
(a)
the Responsible Financial Officer to nominate a properly qualified member of her/his staff to deputise
should he or she be unable to perform the duties under section 114 personally
(b)
the Council to provide the Responsible Financial Officer with sufficient staff, accommodation and
other resources, including legal advice where this is necessary, to carry out the duties under Section
114.
The responsible financial officer for the Council is the post to which the Section 151 duties is attached to i.e.
the Section 151 officer
Heads of Service
2.24 Heads of Service are responsible for:
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(a)
ensuring that Members are advised of the financial implications of all proposals and that the financial
implications have been agreed by the Responsible Financial Officer
(b)
2.25
2.26
signing contracts on behalf of the Authority.
It is the responsibility of Heads of Service to consult with the Responsible Financial Officer and seek
approval on any matter liable to affect the Council‟s finances materially, before any commitments are
incurred.
Virement
The Council is responsible for agreeing procedures for virement of expenditure between budget
headings as set out in the Financial Procedures below.:
Release of earmarked sums from contingency provisions (i.e. earmarked reserves) up to £10,000 –
Head of Finance;
In year virements within discrete services under their control up to £25,000 – Service Manager in
consultation with the Head of Finance;
Virements between £25,000 - £50,000 (including the release of earmarked reserves) – C L T with the
approval by the Head of Finance in consultation with the Cabinet/Portfolio Member.
2.27
The Cabinet is responsible for determining the use of working balances to fund expenditure not
covered elsewhere in the budget and for agreeing in-year virements between service heads within its
existing budget.
2.28
The Responsible Financial Officer is responsible for approving any virements of revenue budgets
where it is for the release of earmarked sums from contingency provisions.
2.29
The Head of Paid Service (in consultation with the Leader) may exercise the virement powers of the
Cabinet where a matter is urgent.
2.30
Heads of Service are responsible for agreeing in-year virements within discrete services under their
control, in consultation with the Responsible Financial Officer.
2.31
Fortuitous savings, or additional income cannot be used for revenue virement purposes. These must
be reported to Full Council Cabinet for consideration of how these additional monies are to be used.
Fortuitous savings are deemed to be savings not already assumed in the budget.
2.32
2.33.
Treatment of Year-End Balances
Full Council is responsible for agreeing procedures for carrying forward under and overspendings on
budget headings.
Responsibilities of Heads of Service:
Any overspending on service estimates in total on budgets under the control of the Service Manager
will be reported by the Chief Financial Officer to Cabinet and to the Council.
2.34.
Net underspendings on service estimates under the control of the Service Manager may only be
carried forward, subject to:
(a)
reporting to the Cabinet the source of underspending or additional income and the proposed
application of those resources
(b)
the approval of the Cabinet up to £50,000.
2.35.
Decisions as to carry forward of underspends will be taken in the context of the actual financial
position as at 31 March and future financial policies
2.36
Accounting Policies
The Responsible Financial Officer is responsible for selecting accounting policies and ensuring that
they are applied consistently.
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Formatted: Indent: Left: 1.25 cm
2.37
2.38
Accounting Records and Returns
The Responsible Financial Officer is responsible for determining the accounting procedures and
records for the Council.
The Annual Statement of Accounts
The Responsible Financial Officer is responsible for ensuring that the Annual Statement of Accounts
is prepared in accordance with the Code of Practice on Local Authority Accounting in the United
Kingdom: A Statement of Recommended Practice.
3.
3.1
Financial Planning
The Full Council is responsible for agreeing the policy framework and budget, which will be proposed
by the Cabinet. In terms of financial planning, the key elements are:
(a)
the budget
(b)
the capital programme
Policy Framework
3.2
The Executive and the Council are responsible for approving the policy framework and budget. The
policy framework includes the following plans and strategies:
(a)
Asset Management Plan
(b)
Performance Plan
(c)
Capital Strategy
(d)
North Norfolk Local Development Framework
(e)
Economic Development Plan
(f)
Strategic Housing Policy
(g)
Financial Strategy
(h)
Growth Strategy
(i)
Licensing Authority Policy Statements
3.3
Full Council is also responsible for approving procedures for agreeing variations to approved
budgets, plans and strategies forming the policy framework and for determining the circumstances in
which a decision will be deemed to be contrary to the budget or policy framework. Decisions should
be referred to the Council by the Proper Officer.
3.4
Full Council is responsible for setting the level at which the Cabinet may reallocate budget funds from
one service to another. The Cabinet is responsible for taking in-year decisions on resources and
priorities in order to deliver the budget policy framework within the financial limits set by the Council.
3.5
Preparation of the Corporate Plan
The Head of Paid Service is responsible for proposing a corporate plan to the Cabinet for
consideration before its submission to the Council for approval.
3.6
Preparation of the Performance Plan
The Head of Paid Service is responsible for proposing the Performance Plan to the Cabinet for
consideration before its submission to the Council for approval.
3.7
3.8
Budget Format
The general format of the budget will be approved by the Council and proposed by the Cabinet on
the advice of the Responsible Financial Officer. The draft budget should include allocations to
different services and projects, proposed taxation levels and contingency funds, where appropriate.
Budget Preparation
The Responsible Financial Officer is responsible for ensuring that a revenue budget is prepared on
an annual basis and a general revenue plan on a three-yearly basis for consideration by the Cabinet,
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before submission to the Council. The Cabinet, after considering the effect on the Council's finances
and any directives from Central Government, submit to the Council:
(c)
(a)
recommended revenue estimates (incorporating any amendments);
(b)
a report thereon;
a recommendation as to the Council Tax to be levied for the following financial year.
Full Council may amend the budget or ask the Cabinet to reconsider it before approving it.
3.9
The Cabinet is responsible for issuing guidance on the general content of the budget in consultation
with the Responsible Financial Officer as soon as possible following approval by the Council.
3.10
It is the responsibility of Heads of Service to ensure that budget estimates reflecting agreed service
plans are submitted to the Cabinet and that these estimates are prepared in line with guidance
issued by the Cabinet and Responsible Financial Officer.
3.11
Resource Allocation
The Chief Financial Officer is responsible for developing and maintaining a resource allocation
process that ensures due consideration of the Council‟s policy framework.
3.12.
Preparation of the Capital Programme
The Chief Financial Officer is responsible for ensuring that a capital programme is prepared on an
annual basis for consideration by the Cabinet before submission to the Council.
3.13.
Guidelines
The budget should be prepared in accordance with the principles established in the financial strategy
and other guidance issued to Members and Heads of Service by the responsible Financial Officer.
These should take account of:
(a) legal requirements
(b) medium-term planning prospects
(c) the corporate plan
(d) available resources
(e) spending pressures
(f) relevant government guidelines
(g) other internal policy documents
(h) efficiency plans
(i) cross-cutting issues, where relevant.
3.14.
Maintenance of Reserves
It is the responsibility of the Chief Financial Officer to advise the Cabinet and the Council on prudent
levels of reserves for the authority.
4.
Budget Monitoring and Control
4.1
The Chief Financial Officer is responsible for providing appropriate financial information to enable
budgets to be monitored effectively. He or she must monitor and control expenditure and income
against budget allocations and report to the Cabinet on the overall position on a regular basis.
4.2.
It is the responsibility of Heads of Service to control income and expenditure within their area and to
monitor performance, taking account of financial information provided by the Chief Financial Officer.
They should report on variances within their own areas and take any action necessary to avoid
exceeding their budget allocation and alert the Chief Financial Officer to any problems.
4.3.
Budgeting - Revenue
Heads of Service are expected to exercise their discretion in managing their budgets responsibly and
prudently. For example, they should not support recurring revenue expenditure from one-off sources
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of savings or additional income, or create future commitments, including full-year effects of decisions
made part way through a year, for which they have not identified future resources. Heads of Service
must plan to fund such commitments from within their own budgets.
4.4.
For the purposes of budgetary control by managers, a budget will normally be the planned income
and expenditure for a service area or cost centre. However, budgetary control may take place at a
more detailed level if this is required by the scheme of delegation.
4.5.
The key controls for managing and controlling the revenue budget are:
(a) budget managers should be responsible only for income and expenditure that they can influence
(b) there is a nominated budget manager for each budget heading
(c) budget managers accept responsibility and accountability for their budgets and the level of service
to be delivered and understand their financial responsibilities
(d) budget managers follow an approved certification process for all expenditure within the authorised
signatory lists and ensuring separation of duties
(e) income and expenditure are properly recorded and accounted for
(f) performance levels and levels of service are monitored in conjunction with the budget and
necessary action is taken to align service outputs and budget
(g) specific budget approval is given for all expenditure
(h) budget managers are appropriately trained to carry out their budgetary control responsibilities.
4.6.
Responsibilities of the Chief Financial Officer
To establish an appropriate framework of budgetary management and control that ensures that:
(a) budget management is exercised within annual cash limits unless the Council agrees otherwise
(b) each Service Manager has available timely information on receipts and payments on each budget
which is sufficiently detailed to enable managers to fulfil their budgetary responsibilities
(c) expenditure is committed only against an approved budget head
(d) all officers responsible for committing expenditure comply with relevant
financial regulations
guidance
and
(e) each cost centre has a single named manager, determined by the relevant Service Manager. As a
general principle, budget responsibility should be aligned as closely as possible to the decisionmaking processes that commit expenditure
(f) budget variations of more than £10,000 are investigated by Heads of Service and reported by
them to the Chief Financial Officer. and to Cabinet.
4.7.
To prepare and submit reports to the Cabinet on the Council‟s projected income and expenditure
compared with the budget on a regular basis.
4.8.
To determine the detailed form of revenue estimates and the methods for their preparation,
consistent with the budget approved by the Council, and after consultation with the Cabinet and
Heads of Service.
4.9.
To prepare and submit reports to the Cabinet on aggregate spending plans and on the resources
available to fund them, identifying, where appropriate, the implications for the level of Council Tax to
be levied.
4.10.
To encourage the best use of resources and value for money by working with Heads of Service to
identify opportunities to improve economy, efficiency and effectiveness, and by encouraging good
practice in conducting financial appraisals of development or savings options, and in developing
financial aspects of service planning.
4.11.
To advise Full Council on Cabinet proposals in accordance with his or her responsibilities under
section 151 of the Local Government Act 1972.
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4.12.
Budgeting – Capital
Capital expenditure involves acquiring or enhancing fixed assets with a long term value to the
Council, such as land, buildings, and major items of plant, equipment or vehicles. Capital assets
shape the way services are delivered in the long term and create financial commitments for the future
in the form of financing costs and revenue running costs. Capital expenditure should form part of an
investment strategy and should be carefully prioritised in order to maximise the benefit of scarce
resources.
4.13.
The key controls for capital programmes are:
(a) specific approval by Full Council for the programme of capital expenditure
(b) expenditure on capital schemes is subject to the approval of Cabinet
(c) a scheme and estimate, including project plan, progress targets and associated revenue
expenditure is prepared for each capital project above £100,000, for approval by the Cabinet
(d) proposals for improvements and alterations to buildings must be approved by the appropriate
Service Manager Head of Service
(e) schedules for individual schemes within the overall budget approved by the Council must be
submitted to the Cabinet for approval (for example, minor works), or under other arrangements
approved by the Council
(f) implementation of the Asset Management Plan and Capital Strategy
(g) accountability for each proposal is accepted by a named manager
(h) progress and expenditure should be monitored and compared to the approved budget.
4.14.
Responsibilities of the Chief Financial Officer
To collate capital estimates, taking into account the full year revenue effect of each capital scheme,
jointly with Heads of Service and to report them to the Cabinet for approval. The Cabinet will make
recommendations on the capital estimates and on any associated financing requirements to the
Council.
4.15.
To prepare and submit reports to the Cabinet on the projected income, expenditure and resources
compared with the approved estimates.
4.16
To issue guidance concerning capital schemes and controls. The definition of „capital‟ will be
determined by the Chief Financial Officer, having regard to government regulations and accounting
requirements.
4.17.
To obtain authorisation from the Cabinet for individual schemes where the estimated expenditure
exceeds the capital programme provision.
4.18.
To prepare and submit an annual report to the Cabinet on the completion of all contracts where the
final expenditure exceeds the approved contract sum.
4.19.
4.20.
Responsibilities of Heads of Service
To comply with guidance concerning capital schemes and controls issued by the Chief Financial
Officer.
To ensure that all capital proposals above £50,000 have undergone a project appraisal, stating the
objective, details of any alternative means of achieving the objective, the justification for the project
and the estimated capital costs, in accordance with guidance issued by the Chief Financial Officer.
4.21.
4.22.
To ensure that adequate records are maintained for all capital contracts.
To proceed with projects only when there is adequate provision in the capital programme, where all
necessary Government approvals and authorisation of finance have been obtained and with the
agreement of the Chief Financial Officer.
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4.23.
To ensure that credit arrangements, such as leasing agreements, are not entered into without the
prior approval of the Chief Financial Officer and if applicable approval of the scheme through the
capital programme.
4.24
To consult with the Chief Financial Officer and to seek approval from the Cabinet where the Service
Manager proposes to bid for financial support from Government departments to support expenditure
that has not been included in the revenue budget or capital programme.
4.25.
Maintenance of Reserves
A local authority must decide the level of general reserves it wishes to maintain before it can decide
the level of council tax. Reserves are maintained as a matter of prudence; they enable the authority
to provide for unexpected events and thereby protect it from overspending, should such events
occur. Reserves for specific purposes (“Earmarked reserves”) may also be maintained, such as the
purchase or renewal of capital items.
4.26.
The key controls for reserves are
(a) to maintain reserves in accordance with the Statement of Recommended Practice on Local
Authority Accounting in the United Kingdom and agreed accounting policies;
(b) for each reserve established, the purpose, usage and basis of transactions
should be clearly identified.
(c) Expenditure above £50,000 from reserves should be authorised by the Cabinet.
(d) Expenditure below £50,000 from Reserves should be authorised in line with virement limits
4.27.
Responsibilities of the Chief Financial Officer
To advise the Cabinet and the Council on prudent levels of reserves, and to take account of the
advice of the external auditor in this matter.
4.28.
Responsibilities of Heads of Service
To ensure that resources are used only for the purposes for which they were intended.
5.
5.1.
Accounting Records and Returns
Maintaining proper accounting records is one of the ways in which the Council discharges its
responsibility for stewardship of public resources. The Council has a statutory responsibility to
prepare its annual accounts to present fairly its operations during the year; these are subject to
external audit. This audit provides assurance that the accounts are prepared properly, that proper
accounting practices have been followed and that quality arrangements have been made for securing
economy, efficiency and effectiveness in the use of the Council‟s resources.
The Chief Financial Officer is responsible for the following:
5.2.
5.3.
To determine the accounting procedures and records for the Council.
To arrange for the compilation of all accounts and accounting records under his or her direction.
5.4.
To comply with the following principles when allocating accounting duties:
(a) separating the duties of providing information about sums due to or from the Council and
calculating, checking and recording these sums from the duty of collecting or disbursing them
(b) employees with the duty of examining or checking the accounts of cash transactions must not
themselves be engaged in these transactions.
5.5.
To make proper arrangements for the audit of the Council‟s accounts in accordance with the
Accounts and Audit Regulations 2003.
5.6.
To ensure that all claims for funds, including grants, for which he or she is responsible are made by
the due date.
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5.7.
To prepare and publish the audited accounts of the Council for each financial year, in accordance
with the statutory timetable and with the requirement for the Audit Committee to approve the
Statement of Accounts by the due date.
5.8.
To administer the Council‟s arrangements for under and overspendings to be carried forward to the
following financial year.
5.9.
To ensure the proper retention of financial documents in accordance with the requirements set out in
the Council‟s document retention schedule.
Responsibilities of Heads of Service
5.10.
To consult and obtain the approval of the Chief Financial Officer before making any changes to
accounting records and procedures.
5.11.
To comply with the principles outlined in paragraph 5.3 when allocating accounting duties.
5.12.
To maintain adequate records to provide a management trail leading from the
source of income and expenditure through to the accounting statements.
5.13.
To ensure the proper retention of financial documents in accordance with the requirements set out in
the Council‟s document retention schedule.
5.14.
To supply information required to enable the Statement of Accounts to be completed in accordance
with guidelines issued by the Chief Financial Officer.
5.15.
To ensure that all claims for funds, including grants, for which he/ she is responsible, are made by
the due date.
6.
Risk Management and Control of Resources
6.1.
It is essential that robust, integrated systems are developed and maintained for identifying and
evaluating all significant risks to the Council. This should include the proactive participation of all
those associated with planning and delivering services.
Risk Management
6.2.
The Audit Committee is responsible for approving the Council‟s Risk Management Policy Statement
and Risk Strategy and for reviewing the effectiveness of risk management. The Cabinet is
responsible for ensuring that proper insurance exists where appropriate.
6.3.
The Corporate Leadership Team is responsible for preparing the Council‟s risk management policy
statement, for promoting it throughout the Council and for advising the Cabinet on proper insurance
cover.
6.4.
Internal Control
Internal control refers to the systems of control devised by management to help ensure that the
Council‟s objectives are achieved in a manner that promotes economic, efficient and effective use of
resources and that the Council‟s assets and interests are safeguarded.
6.5.
The Chief Financial Officer is responsible for advising on effective systems of internal control. These
arrangements need to ensure compliance with all applicable statutes and regulations, and other
relevant statements of best practice. They should ensure that public funds are properly safeguarded
and used economically, efficiently, and in accordance with the statutory and other authorities that
govern their use.
6.6.
It is the responsibility of Heads of Service to establish sound arrangements for planning, appraising,
authorising and controlling their operations in order to achieve continuous improvement, economy,
efficiency and effectiveness and for achieving their financial performance targets.
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6.7.
Audit Requirements
The Accounts and Audit Regulations 2003 require every local authority to maintain an adequate and
effective internal audit.
6.8.
The Audit Commission is responsible for appointing external auditors to each local authority. The
basic duties of the external auditor are governed by Section 15 of the Local Government Finance Act
1982, as amended by Section 5 of the Audit Commission Act 1998.
6.9.
The Council may, from time to time, be subject to audit, inspection or investigation by external bodies
such as HM Revenue and Customs, who have statutory rights of access.
6.10.
A continuous internal audit, under the direction of the Chief Financial Officer shall be arranged to
appraise and review:
(a) the completeness, reliability and integrity of information, both financial and
operational;
(b) the systems established to ensure compliance with policies, plans,
regulations;
procedures,
laws
and
(c) the means of safeguarding assets;
(d) the economy, efficiency and effectiveness with which resources are
employed; and
(e) whether operations are being carried out as planned and objectives and goals are being met.
6.11.
It shall be the responsibility of internal audit, to review, appraise and report to management:
(a) the extent to which the Council's assets and interests are accounted for and safeguarded from
losses of all kinds arising from:
(i) fraud and other offences; and
(ii) waste, extravagance and inefficient administration, poor value for money or other cause.
(b) the suitability and reliability of financial and other management data developed within the Council.
6.12.
The Head of Internal Audit will provide an opinion on the effectiveness of the internal control
environment to the Audit Committee on an annual basis.
6.13
The internal auditors shall have sufficient independence in order to enable them to perform their
duties in a manner which will allow their professional judgement and recommendations to be effective
and impartial. This shall include the right to report directly to the Monitoring Officer or the Cabinet in
appropriate circumstances.
6.14.
The resource requirements required to complete the Audit Plan will be assessed annually by the
Head of Internal Audit and reported to the Audit Committee. In order to fulfil the Audit Plan and
exercise the internal audit responsibilities set out in these financial responsibilities, the Chief
Financial Officer shall have the authority to contract with the Audit Commission, other local
authorities and such other bodies which are considered appropriate.
6.15.
Preventing Fraud and Corruption
The Council will not tolerate fraud and corruption in the administration of its responsibilities, whether
from inside or outside the Council. The Council‟s expectation of propriety and accountability is that
Members and employees at all levels will lead by example in ensuring adherence to legal
requirements, rules, procedures and practices.
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Key controls
6.16. The key controls regarding the prevention of financial irregularities are that:
(a) the Council has an effective corporate anti-fraud and anti-corruption policy and maintains a
culture that will not tolerate fraud or corruption.
(b) the Revenue section operates a Counter Fraud and Corruption policy covering Housing Benefit
and Council Tax Benefit.Support
(c) all Members and employees act with integrity and lead by example.
(d) senior managers are required to deal swiftly and firmly with those who defraud or attempt to
defraud the Council or who are corrupt.
(e) high standards of conduct are promoted amongst members by the Standards Committee.
(f) the maintenance of a register of interests in which any hospitality or gifts accepted must be
recorded.
(g) whistle blowing procedures are in place and operate effectively.
(h) legislation, including the Public Interest Disclosure Act 1998, is adhered to.
6.17.
Responsibilities of the Chief Financial Officer
In conjunction with the Head of Paid Service, to develop and maintain an anti-fraud and anticorruption policy.
6.18.
6.19.
6.22.
To maintain adequate and effective internal control arrangements.
To ensure that all suspected irregularities are investigated and reported to the relevant committee.
6.20.
To report suspicious transactions to the National Criminal Intelligence Service.
6.21.
Responsibilities of the Monitoring Officer
To maintain and review a Council-wide register of interests.
Responsibilities of Heads of Service
To ensure that all suspected irregularities or suspicious transactions are reported to the Chief
Financial Officer.
6.23.
To instigate the Council‟s disciplinary procedures where the outcome of an audit investigation
indicates improper behaviour.
6.24.
To ensure that where financial impropriety is discovered, the Chief Financial Officer is informed, and
where sufficient evidence exists to believe that a criminal offence may have been committed, the
police are called in to determine with the Crown Prosecution Service whether any prosecution will
take place.
6.25.
To ensure that employees record any hospitality or gifts accepted in a register of interests.
6.26.
Computer Systems and Data
Responsibilities of the Head of Customer Services Business Transformation and I T
To draw up, maintain and review the Information Security Policy and schedule of assets/equipment.
Responsibilities of Heads of Service
6.27.
To comply with the Information Security Policy, including internet and e-mail
security,
and
ensure that all employees are aware that they have a personal
responsibility
for
information
security as set out in the policy.
6.28.
To ensure that effective contingency arrangements, including back-up procedures, exist for computer
systems. Wherever possible, back-up information should be securely retained in a fireproof location,
preferably off site or at an alternative location within the building.
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6.29.
To ensure that, where appropriate, computer systems are registered in accordance with data
protection legislation and that staff are aware of their responsibilities under the legislation.
6.30.
To ensure that relevant standards and guidelines for computer systems issued by the Chief
Executive are observed.
6.31.
To ensure that computer equipment and software are protected from loss and damage through theft,
vandalism or other cause.
6.32.
To comply with all Intellectual Property Law and rights of others and, in particular, to ensure that:
(a) only software legally acquired and installed by the Council is used on its computers
(b) staff are aware of legislative provisions
(c) in developing systems, due regard is given to the issue of intellectual property rights.
6.33.
To ensure that all employees are aware that they have a personal responsibility with regard to the
protection and confidentiality of information, whether held in manual or computerised records.
Information may be sensitive or privileged, or may possess some intrinsic value, and its disclosure or
loss could result in a cost to the Council in some way.
6.34.
To report all breaches of information security, whether actual or suspected, to the Head of ICT
Services, who shall carry out an investigation and report the results to the Management Team.
6.35.
Intellectual Property
Intellectual property is a generic term that includes inventions and original writing. If these are
created by the employee during the course of employment, then, as a general rule, they belong to the
employer, not the employee. Certain activities undertaken within the Council may give rise to items
that may be patentable, for example, software development. These items are collectively known as
intellectual property.
Key controls
6.36. The key controls for intellectual property are:
(a) in the event that the Council decides to become involved in the commercial exploitation of
inventions, the matter should proceed in accordance with the Council‟s approved intellectual property
procedures.
Responsibilities of the Chief Executive
6.37. To develop and disseminate good practice through the Council‟s Information
Security Policy.
6.38.
6.39.
6.40.
Responsibilities of Heads of Service
To ensure that controls are in place to ensure that employees do not carry out private work in Council
time and that employees are aware of an employer‟s rights with regard to intellectual property.
Assets
The Council holds assets in the form of property, vehicles, equipment and furniture. It is important
that assets are safeguarded and used efficiently in service delivery, and that there are arrangements
for the security of both assets and information required for service operations. An up-to-date asset
register is a prerequisite for proper fixed asset accounting and sound asset management.
Land and Buildings
Responsibilities of the Head of Assets and Leisure
To ensure that an asset register is maintained containing the following minimum information of assets
owned or leased by the Council:
(a) description and delineation of land or buildings, including location and ordinance survey map
reference;
(b) date of acquisition;
(c) purchase details and terms of acquisition;
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(d) the nature of the Council‟s interest
(e) details of statutory outgoings, including rents and any other charges payable;
(f) purpose and power of acquisition;
(g) restrictive covenants;
(h) any tenancies or other interests granted; and
(i) terms of subsequent disposal and review periods.
6.41.
To ensure that a five year rolling programme of asset valuation is carried out, which will be agreed
with the Chief Financial Officer, and a minimum of 20% of assets re-valued each year. Information on
asset valuations, purchases and sales must be provided to the Chief Financial Officer for inclusion in
the asset register in accordance with the timetable set by the Chief Financial Officer. These
valuations must include the estimated life of assets.
6.42.
To ensure that where land or buildings are surplus to requirements, a recommendation for disposal
should be reported to the Council.
6.43.
To ensure that a review of terms of leases is carried out in accordance with the conditions of the
lease and to maintain a perpetual diary for this purpose. The [Corporate Property Officer] shall
ensure that deeds are stored in a fireproof safe.
6.44.
Responsibilities of Heads of Service
To ensure that lessees and other prospective occupiers of Council land are not allowed to take
possession of or enter the land until a lease or agreement, in a form been established as appropriate.
6.45.
To ensure the proper security of all buildings and other assets under their control.
6.46. To ensure that an acquisitions and disposal policy is maintained.
Vehicles, Plant and Equipment
Responsibilities of Heads of Service
6.47.
To ensure that a register of moveable assets is maintained in accordance with arrangements defined
by the Chief Executive.
6.48.
To ensure that assets are identified, their location recorded and that they are appropriately marked
and insured
6.49.
To maintain inventories and record an adequate description of furniture, fittings, equipment, vehicles,
plant and machinery above £5,000 in value.
6.50.
To carry out an annual check of all items on the inventory in order to verify location and condition and
to take appropriate action in relation to surpluses or deficiencies, annotating the inventory
accordingly. Attractive and portable items such as computers, cameras and video recorders should
be identified with security markings as belonging to the Council. If an item is lost, stolen or disposed
of, this must be recorded against the entry in the inventory.
6.51.
When the Council‟s property is removed from Council premises for official purposes the permission of
an officer authorised by a Service Manager must be obtained and a record should be kept of all
authorised removals.
6.52.
To ensure that all leased assets are identified, appropriately marked and maintained and a register
kept to include location to ensure that they are available for return to lessors at the end of the lease
period in accordance with the terms of the lease.
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6.53.
Stocks
Responsibilities of Heads of Service
To make arrangements for the care and custody of stocks and stores under their control.
6.54.
To ensure that adequate records are kept and that stocks are maintained at reasonable levels and
are subject to a regular independent physical check. All discrepancies should be investigated and
pursued to a satisfactory conclusion.
6.55.
To investigate and remove from the Council‟s records discrepancies as necessary, or to obtain
approval of the Cabinet if they are in excess of £510,000.
6.56.
To authorise or write off disposal of redundant stocks and equipment. Procedures for disposal of
such stocks and equipment should be by competitive quotations or auction, or applied in part
exchange for new items purchased by competitive quotation or tender unless, following consultation
with the Chief Financial Officer, the Cabinet decides otherwise in a particular case. The Chief
Financial Officer shall be consulted before any leased furniture or equipment is sold or part
exchanged.
6.57.
To seek approval of the Cabinet to write-off redundant stocks and equipment in excess of
£5,00010,000.
Cash
Responsibilities of Heads of Service
6.58. To ensure cash holdings on premises are kept to a minimum.
6.59.
To ensure that a schedule is kept of the Officers who hold keys to safes and similar receptacles and
that keys to safes, security systems and similar equipment or apparatus are carried on the person of
those responsible at all times; loss of any such keys must be reported to the Chief Financial Officer
as soon as possible. Any duplicate keys shall be kept in such safe places as shall be approved by
the Chief Financial Officer.
6.60.
To ensure that cash holdings do not exceed the maximum amount set by the Chief Financial Officer
and that cash held in any safe does not exceed the amount of the insurance limit for that safe.
6.61.
To ensure that cash handling is carried out in accordance with guidance issued by the Chief
Financial Officer.
6.62.
To notify the Chief Financial Officer of cash lost or stolen immediately. Stolen cash, which is not
covered by insurance, can only be written-off with the agreement of the Chief Financial Officer.
6.63.
To ensure that under no circumstances are personal cheques cashed out of monies held on behalf of
the Council.
6.64.
6.65.
6.66.
Petty Cash and Imprest Accounts
Responsibilities of the Chief Financial Officer
To provide employees of the Council with cash or bank imprest accounts to meet minor expenditure
on behalf of the Council and to prescribe rules for operating these accounts. No items of expenditure
should exceed £20.
To determine petty cash limits, maintain a record of the employees who hold imprest accounts,
signed by those employees, and all transactions and petty cash advances made, and periodically to
review the arrangements for the safe custody and control of these advances.
Responsibilities of Heads of Service
To notify the Chief Financial Officer when an authorised officer leaves the department and to ensure
that the imprest advanced is accounted for to the Chief Financial Officer, unless responsibility for the
imprest is transferred to a different officer, in which case the Chief Financial Officer should be notified
of the new account holder.
6.67.
To ensure that employees operating an imprest account:
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(a) obtain and retain vouchers to support each payment from the imprest account. Where
appropriate, an official receipted VAT invoice must be obtained in the name of North Norfolk District
Council.
(b) make adequate arrangements for the safe custody of the account
(c) produce upon demand by the Chief Financial Officer cash and all vouchers to the total value of
the imprest amount
(d) record transactions promptly
(e) reconcile and balance the account at least monthly; reconciliation sheets to be signed and
retained by the imprest holder
(f) provide the Chief Financial Officer with a certificate of the value of the account held at 31 March
each year
(g) do not allow reimbursement of travel and subsistence claims from the imprest account.
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6.68.
Treasury Management and Banking
The Council has adopted CIPFA‟s Code of Treasury Management in the Public Services.
6.69.
The Council is Responsible for approving the Treasury Management Policy Statement. The Policy
Statement is proposed to the Council by the Cabinet. The Chief Financial Officer has delegated
responsibility for implementing and monitoring the statement
6.70.
All money in the hands of the Council is controlled by the Chief Financial Officer.
6.71.
The Chief Financial Officer is responsible for reporting to the Cabinet a proposed treasury
management strategy for the coming financial year at or before the start of each financial year.
6.72.
All executive decisions on borrowing, investment or financing shall be delegated to the Chief
Financial Officer, who is required to act in accordance with CIPFA‟s Code of Practice for Treasury
Management in the Public Services. Should the Chief Financial Officer wish to depart in any material
respect from the main principles of the Code of Practice the reasons should, in the first instance be
disclosed in a report to the Cabinet.
6.73.
The Chief Financial Officer is responsible for reporting to the Audit and Overview & Scrutiny
Committee on the activities of the treasury management operation and on the exercise of his or her
delegated treasury management powers. One such report will comprise an annual report on treasury
management for presentation by 30 September of the succeeding financial year.
6.74.
The Chief Financial Officer is responsible for the opening and closing of bank accounts in the name
of the Council. All cheques drawn on the Council‟s bank accounts shall bear the facsimile signature
of or be signed by the Chief Financial Officer, the Chief Executive or such other employee as may be
authorised from time to time under the Scheme of Delegation of the Council.
6.75.
All cheques drawn for an amount in excess of £50,000 that bear the facsimile signature of the Chief
Financial Officer or the Chief Executive, shall also be countersigned by one of the employees
specified at paragraph 6.74 above.
6.76.
6.77.
Staffing
The Council is responsible for determining how support for policy and scrutiny roles within the
authority will be organised.
The Head of Paid Service is responsible for providing overall management to staff. He or she is also
responsible for ensuring that there is proper use of the evaluation or other agreed systems for
determining the remuneration of a post.
6.78.
Heads of Service are responsible for controlling total staff numbers by:
(a) advising the Cabinet as part of the budget reporting process on the budget necessary in any
given year to cover estimated staffing levels;
(b) adjusting the staffing to a level that can be funded within approved budget provision, varying the
provision as necessary within that constraint in order to meet changing operational needs; and
(c) the proper use of appointment, disciplinary and redundancy procedures.
7.
Financial Systems and Procedures
7.1.
Sound systems and procedures are essential to an effective framework of financial accountability and
control. The Chief Financial Officer is responsible for the operation of the Council‟s accounting
systems, the form of accounts and the supporting financial records. Any changes made by Heads of
Service to the existing financial systems or the establishment of new systems must be approved by
the Chief Financial Officer before they are implemented. However, Heads of Service are responsible
for the proper operation of financial processes in their own areas of responsibility.
7.2.
Any changes to agreed procedures by Heads of Service to meet their own specific service needs
should be agreed with the Chief Financial Officer.
7.3.
Heads of Service should ensure that their staff receive relevant financial training.
22
7.4.
7.5.
7.6.
7.7
Heads of Service must ensure that, where appropriate, computer and other systems are registered in
accordance with data protection legislation. Heads of Service must ensure that staff are aware of
their responsibilities under freedom of information legislation.
Income and Expenditure
It is the responsibility of Heads of Service to ensure that a proper scheme of delegation has been
established within their area and is operating effectively. The scheme of delegation should identify
staff authorised to act on the Service Manager‟s behalf, or on behalf of the Cabinet, in respect of
committing expenditure, payments and income collection, together with the limits of their authority.
The Cabinet is responsible for approving procedures for writing off debts as part of the overall control
framework of accountability and control.
Responsibilities of the Chief Financial Officer
To agree arrangements for the collection of all income due to the Council and to approve the
procedures, systems and documentation for its collection and accounting for VAT.
7.8
To approve the format of all receipt forms, books or tickets and similar items and to satisfy
him/herself regarding the procedures for their supply and control.
7.9
To establish and initiate appropriate recovery procedures, including legal action where necessary, for
debts that are not paid within specified time limits.
7.10
Where a debt is proven to be irrecoverable or uneconomic to recover, to agree the write-off of bad
debts up to £10,000 in each case and to refer larger sums to the Cabinet for its approval.
7.11
To keep a record of all sums written off up to the approved limit and to adhere to the requirements of
the Accounts and Audit Regulations 2003. Such records shall be made available for inspection by
Council Members, the external auditor or such other persons who may be entitled to see the register.
7.12
To ensure that appropriate accounting adjustments are made following write-off action.
7.13
Heads of Service can write off debts upto £1,000, the approval of the Chief Financial Officer to write
off debts up to £10,000 must be obtained Write off of debts will be in line with the Council‟s delegated
signatory lsiting up to £20,000. For debts in excess of £10,000 £20,000 the approval of the Chief
Financial officer in consultation with the Portfolio Member is required.
7.14
Ordering and Paying for Work, Goods and Services
The Contract Procedure Rules should be followed for all ordering and paying for work, goods and
services. These are covered in Chapter 9. In addition the following applies:
7.15
Every employee and Member of the Council has a responsibility to declare any links or personal
interests that they may have with purchasers, suppliers and/or contractors if they are engaged in
contractual or purchasing decisions on behalf of the Council, in accordance with appropriate codes of
conduct.
7.16
Official orders must be in a form approved by the Chief Financial Officer. Official orders must be
issued for all work, goods or services to be supplied to the Council, except for supplies of utilities,
periodic payments such as rent or rates, petty cash purchases, procurement in conjunction with
purchase cards, where purchased under a contract in writing or other exceptions specified by the
Chief Financial Officer.
7.17.
All orders must be certified by an authorised employee. Urgent orders should be transmitted by fax
whenever possible. In exceptional circumstances orders may be issued by telephone and, in such
cases, a signed copy of the order should be made out and retained pending the receipt of the goods.
7.18.
Each order must conform to the guidelines approved by the Council on central purchasing and the
standardisation of supplies and materials. Standard terms and conditions must not be varied without
the prior approval of the Chief Financial Officer.
23
7.19.
Apart from petty cash, corporate purchasing cards and other payments from advance accounts, the
normal method of payment from the Council shall be through the banks‟ automated clearing system
(BACS), by cheque or other instrument or approved method, drawn on the Council‟s bank account by
the Chief Financial Officer. Any arrangements for making payments by these means must be
approved by the Chief Financial Officer. The use of direct debit shall require the prior agreement of
the Chief Financial Officer.
7.20.
Official orders must not be raised for any personal or private purchases, nor must personal or private
use be made of Authority contracts.
7.21.
7.22.
7.23.
Responsibilities of the Chief Financial Officer
Payments to Employees and Members
The Chief Financial Officer is responsible for approving the system of payments of salaries and
wages to all staff, including payments for overtime, and for payment of allowances to Members.
Taxation
The Chief Financial Officer is responsible for advising Heads of Service, in the light of guidance
issued by appropriate bodies and relevant legislation as it applies, on all taxation issues that affect
the Council.
The Chief Financial Officer is responsible for maintaining the Council‟s tax records, making all tax
payments, receiving tax credits and submitting tax returns by their due date as appropriate.
7.24.
Trading Accounts/Business Units
It is the responsibility of the Chief Financial Officer to advise on the establishment and operation of
trading accounts and business units.
8.
External Arrangements
8.1.
Partnerships
The Cabinet is responsible for approving delegations, including frameworks for partnerships. The
Cabinet is the focus for forming partnerships with other local public, private, voluntary and community
sector organisations to address local needs where they do not represent a major policy change.
8.2.
The Cabinet can delegate functions, including those relating to partnerships. Where functions are
delegated, the Cabinet remains accountable for them to the Council.
8.3.
Representation of the Council on partnership and external bodies will be decided in accordance with
the scheme of delegation.
8.4.
The Monitoring Officer is responsible for promoting and maintaining the same high standards of
conduct with regard to financial administration in partnerships that apply throughout the Council.
8.5.
The Chief Financial Officer must ensure that the accounting arrangements to be adopted relating to
partnerships and joint ventures are satisfactory, including the verification of third party identities.
8.6.
The Monitoring Officer must consider the overall corporate governance arrangements and legal
issues when arranging contracts with external bodies. He/ she must ensure that the risks have been
fully appraised before agreements are entered into with external bodies.
8.7.
Heads of Service are responsible for ensuring that appropriate approvals are obtained before any
negotiations are concluded in relation to work with external bodies.
8.8.
External Funding
The Chief Financial Officer is responsible for ensuring that all funding notified by external bodies is
received and properly recorded in the Council‟s accounts.
8.9.
Work for Third Parties
The Cabinet is responsible for approving the contractual arrangements for any work for third parties
or external bodies unless this is delegated to Heads of Service.
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Part 2. Contract Procedure Rules
1.
Purpose and Scope of Contract Procedure Rules
1.1
The purpose of these Procedure Rules is to ensure that any procurement process for services, works
or goods achieves best value and is transparent, open and fair making it possible for all decisions to
be transparent and audited satisfactorily. They must be followed every time the Council wishes to
enter into a contract for services, works or goods.
2.
Principles of Good Procurement
The principles of good procurement are:
2.1
Achieving value for money and compliance with these Procedure Rules and the European
Procurement Directive.
2.2
The procurement process should give the Council sufficient information to form a sound view of a
potential supplier‟s competence without placing unreasonable burdens on them.
2.3
Potential suppliers, including in-house bid teams should:
(a) Understand from the outset what categories of information and general standards and responsibilities
will be expected of them.
(b) Be provided with adequate, accurate and timely information at all relevant stages of the procurement
process.
(c)
Be subject to the same requirements and treated equally throughout the procurement process.
(d)
Be made fully aware of the basis for evaluation of tenders.
2.4
All decisions should be based on objective measures that are justifiable in terms of the matters
specified under the contract.
2.5
The Procurement Toolkit gives further details on the processes behind delivering these principles.
3.
Health and Safety, Equal Opportunities and Whistleblowing
3.1
The Council must be satisfied in any procurement process that potential suppliers have satisfactory
systems for managing health and safety. Details of their health and safety policy and practice
relevant to the performance of the contract must be obtained to ensure it provides satisfactory
systems for managing health and safety. Monitoring arrangements must be in place post contract
award to ensure that health and safety matters are being properly addressed.
3.2
Potential suppliers must be asked to acknowledge that they have seen and understand the terms of
the Council‟s health and safety policy in relation to the contract.
3.3
Suppliers of services particularly those which may involve contact with the users of the services, or
the wider community, should be asked to demonstrate high standards with regard to fair treatment
and equal opportunities. All potential suppliers must be required to comply with the Council‟s
equalities policy.
3.4
In accordance with the Council‟s Whistleblowing Policy, it is expected that contractors will be required
to have their own whistleblowing policies and arrangements established in accordance with
thresholds set in the Council‟s contract conditions through the tendering process. Where a contractor
does not have its own policy, it is expected that the principles and arrangements of the Council‟s
policy and associated procedures will apply.
4.
Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE)
25
4.1
The Transfer of Undertakings (Protection of Employment) Regulations 2006, commonly known as the
TUPE Regulations, should be presumed to apply in any procurement process involving the
contracting out of a service area with a discrete budget and staff assigned to it. The exception to this
is if there are genuine exceptional reasons for TUPE not to apply. These could be where:
(a) A contract is for the provision of both goods and services, but the provision of services is ancillary in
purpose to the provision of the goods.
(b)
(c)
The matter being contracted is essentially new or a one off project.
Services or goods are essentially a commodity bought “off the shelf” and no grouping of staff is
specifically and permanently assigned to a common task.
(d) The features of the service or function subject to the contracting exercise are significantly different
from the features of the function previously performed within the Council, or by an existing supplier
such as a function to be delivered electronically and in a way that requires radically different skills,
experience and equipment.
4.2
Where appropriate Invitations to Tender must state that staff will transfer pursuant to TUPE and
sufficient information should be provided to enable potential suppliers to cost the effect of TUPE
applying and staff transferring to them. Human Resources will deal with the provision of the
appropriate information as necessary. Pensions provided to transferred staff must be certified by the
Government Actuary as “broadly comparable” with the Local Government Superannuation Scheme.
There should also be an agreement with the new employer‟s pension scheme providing that staff will
be able to transfer their accrued service credits into that scheme on a day-for-day, or equivalent,
basis. Alternatively, if the new employee so wishes transferred staff can continue to have access to
the Local Government Superannuation Scheme. Advice on the applicability of TUPE and the clauses
to be inserted in Invitations to Tender and contracts should be sought in the first instance from the
Chief Financial Officer or the Council‟s Legal Officers.
4.3
TUPE should also be presumed to apply to a procurement process when an external contract is to be
re-let where there are staff involved. Invitations to Tender should state that staff are to transfer
pursuant to TUPE and information relating to pay, bonus payments, allowances, holiday entitlement
and pension details should be obtained from the incumbent supplier to enable potential suppliers to
cost the effect of staff transferring to them.
4.4
All contracts to which TUPE applies must contain specific clauses relating to the application of
TUPE.These clauses can be obtained from the Chief Financial Officer or the Head of Legal.
5.
Expenditure Thresholds
5.1
All purchases are subject to the following procedure:
Estimated
Value
Under
£5,000
Minimum
No. of
Quotations
/
Tenders
Not
applicable
(but
see
notes)
Council
Seal
Notes
No
Although a formal procurement
process does not need to be
followed, value for money still
needs to be demonstrated e.g.
obtain written quotations.
26
Estimated
Value
£5,000 £49,999
Minimum
No. of
Quotations
/
Tenders
3 quotations
Council
Seal
Notes
No
£50,000 £100,000
3 tenders
Yes
Over
£100,000
5 tenders
Yes
Unless a recognised trade or
professional contract is to be
used (e.g. JCT) then the Council‟s
standard terms and conditions
must be used. Consideration
should also be given to the use of
Liquidated Damages (a
predetermined and realistic
estimate of potential loss arising
from default under a contract). If
Liquidated Damages are not
considered appropriate then the
reason should be given on the
contract file. In a case where it is
not possible to obtain three
quotations, written advice of the
Chief Financial Officer/ Council
Solicitor should be obtained.
In addition to the above the
finance department as part of the
procurement process should
undertake a financial appraisal of
all potential suppliers.
Consideration should also be
given to whether a performance
bond is appropriate and if EU
Procurement Directives apply.
The Chief Financial Officer should
be advised at the start of the
procurement process.
Both the Chief Financial Officer
and Solicitor must be actively
involved in the procurement
process of the project. Refer to
20.1.1 for performance bond or a
parent company guarantee
requirements.
5.2
Those officers wishing to enter into contracts must use their best endeavours to achieve the
minimum number of quotations/tenders referred to in the above table. In all instances the minimum
number of bidders in the above table, must be requested to submit a bid. If having done so it is not
possible to achieve the minimum number of quotations/tenders a clear note must be placed on the
contract file giving the reasons why the minimum number could not be achieved.
5.3
In situations where there is only one quotation or tender and one of the circumstances referred to in
Procedure Rule 9 does not apply, the agreement of the Chief Financial Officer must be obtained
before any contact is entered into in respect to all contracts with an estimated value exceeding
£10,000.
5.4
The estimated value is either:
(a) The perceived value of a project, irrespective of its duration. This would include the full life of a
contract, including all extensions.
(b) The value of an item or a group of items or services purchased (generally available from one
supplier) in a calendar year by the Council as an entity. For example, if one service purchased 30
units of a product at £100 per unit (total cost of £3,000), the procedure rules would not be triggered.
27
However, if each of the 30 services within the Council each purchases 30 units of a product at £100
per unit (costing £90,000) then these Procedure Rules will apply. In no circumstances may any item
or group of items be broken down into small purchase packages to avoid the requirements of these
Procedure Rules.
6.
Invitation to Tender List
The following methods should be used for selecting potential suppliers:
Value
Contract
Below
£50,000
of
Over £50,000
(general
contracts and
below EU
Limit)
Method of Selecting
List
The officer should
consult trade journals
and directories of
organisations that give
details of companies that
trade in the field of work.
Prequalification
An advertisement should
be placed in a local
newspaper and the
Council‟s website
inviting applicants to
apply for a
prequalification
questionnaire/tender
documents.
Yes. The
prequalification
questionnaire must
be scored and the
tender list should
consist of the
highest scores. (See
7 below).
Not essential.
If advertisement in
Europe is necessary this
must be done before
advertisements are
placed elsewhere.
Over £50,000
(construction
contracts
below EU
limit)
The Constructionline/
Contractors‟ Health &
Safety Assessment
Scheme (CHAS) data
should be used to select
a list of experienced
suppliers. Where lawful
and appropriate,
preference can be given
to local suppliers that
meet all the relevant
criteria
Yes. However,
where only a small
number of tenderers
are expected,
qualification should
be included within
the main tender
documents rather
than undertaking a
separate prequalification stage
7.
Prequalification Questionnaires
7.1
The purpose of using a prequalification questionnaire is to form a reasonable basis on which to justify
the exclusion of potential suppliers from participating in a formal tender exercise before its
commencement. Such questionnaires must, as a minimum requirement, pose questions relating to
financial standing, technical ability and, as far as relevant to the contract, health and safety, equal
opportunities and environmental policies.
7.2
A predetermined evaluation model must be used to score responses to questions posed and apply
any appropriate weightings to responses.
28
7.3
If invitations to tender are to be issued to five suppliers then they must be those with the five highest
scores obtained as the result of the prequalification exercise.
7.4
The Chief Financial Officer will supply a copy of the Council‟s prequalification questionnaire on
request and will assist with the prequalification exercise, where required.
7.5
The Council‟s Accountancy Section (or suitably qualified persons nominated by them) must
undertake the financial evaluation.
8.
Specification
8.1
All invitations to quote or tender for works (a building contract) must be based on a definitive
specification. The purpose of a service (where a supplier is carrying out a service such as Grounds
Maintenance) specification is to define the Council‟s objectives for the service to be provided and the
requirements of potential suppliers. As far as possible requirements should be specified in terms of
output and performance rather than how the potential supplier is to go about providing the service.
8.2
Technical specifications should refer to national standards or schemes and relevant European Union
standards or equivalent where available.
9.
Exceptions
9.1
It is acknowledged that the market place or extenuating circumstances does not always allow the
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 Chief Financial 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 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.
9.2
All exemptions, and the reasons for them, must be recorded using the form in the Procurement
Toolkit. Exemptions shall be signed by the Officer and the relevant Director, and countersigned by
the Chief Financial Officer and the Monitoring Officer. All exemptions granted during the financial
year will be summarised and reported for information within the Monitoring Officer‟s Annual Report.
9.3
Where an exemption is necessary because of an unforeseeable emergency involving immediate risk
to persons, property or serious disruption to Council services, Heads of Service may approve the
exemption but they must prepare a report for the next Cabinet meeting to support the action taken.
10
Procurement with Others/ Collaborative Procurement
29
10.1
In order to secure value for money the Council may enter into collaborative procurement
arrangements. The relevant Director must consult the Chief Financial Officer where the purchase is
to be made using collaborative procurement arrangements with another local authority, government
department, statutory undertaker or public service purchasing consortium.
10.2
Any contracts entered into through collaboration with other local authorities or other public bodies,
where a competitive process has been followed that complies with the Contract Procedure Rules of
the leading organisation, will be deemed to comply with these Procedure Rules and no exemption is
required. However, agreement must be sought from the Chief Financial Officer
10.3
All purchases made via a local authority purchasing and distribution consortium (Framework
agreements) are deemed to comply with these Procedure Rules and no exemption is required.
However, purchases above the EU Threshold must be let under the EU Procedure, unless the
consortium has satisfied this requirement already by letting their contract in accordance with the EU
Procedures on behalf of the Council and other consortium members.
10.4
The use of e-procurement technology does not negate the requirement to comply with all elements of
these Procedure Rules, particularly those relating to competition and value for money.
11
Standards and Award Criteria
11.1
The officer must ascertain what are the relevant British, or equivalent European or International
standards that apply to the subject matter of the contract. The officer must include those standards
that are necessary properly to describe the required quality. The Chief Financial Officer must be
formally consulted before any officer decides to use standards other than European standards.
11.2
The officer must define and document award criteria that are appropriate to the purchase, before
tenders are sought. Award criteria must be designed to secure an outcome giving best value for
money for the Council. The basic criteria shall be:
(a)
Whole life cost - where payment is to be made by the Council. Whole life cost is defined as total cost
paid by the Council regarding this product or service for the duration of the contract period.
Examples include vehicles: - initial purchase price, plus fuel, plus maintenance, road tax, insurance
etc.
(b)
Highest price - if payment is to be received.
(c)
Most economically advantageous offer - where considerations other than purchase price also apply.
11.3
If the last criterion is adopted, it must be further defined by reference to sub-criteria. Sub-criteria may
refer only to relevant considerations. These may include price, service, quality of goods, technical
merit, previous experience, delivery date, cost effectiveness, quality, relevant environmental
considerations, aesthetic and functional characteristics (including security and control features),
safety, after-sales services, technical assistance, partnering, long term relationships, and any other
relevant matters.
11.4
Award criteria must not include:
(a)
Non-commercial considerations.
(b)
Matters that discriminate against suppliers from the European Economic Area or signatories to the
Government Procurement Agreement.
(c)
Matters that are anti-competitive within the meaning of the Local Government Act 1988.
12
Invitation to Tender/ Quotations
12.1
The Invitation to Tender shall state that no tender will be considered unless it is received by the time
and date stipulated in the Invitation to Tender. No tender delivered in contravention of this clause
shall be considered. The only exception is where the supplier has delivered, and it can be
demonstrated that the tender arrived on time at the correct location, but for whatever reason the
Council‟s internal systems have not allowed for the tender to be presented at the tender opening.
12.2
All Invitations to Tender shall include:
30
(a)
A specification that describes the Council‟s requirements in sufficient detail and providing such
information to enable the submission of competitive offers.
(b)
A requirement for suppliers to declare that the tender content, price or any other figure or particulars
concerning the tender have not been disclosed by the supplier to any other party (except where such
a disclosure is made in confidence for a necessary purpose).
(c)
A requirement for suppliers to complete fully and sign all tender documents including a Form of
Tender and certificates relating to canvassing and non-collusion.
(d)
Notification that tenders are submitted to the Council on the basis that they are compiled at the
supplier‟s expense.
(e)
A description of the award procedure and, unless defined in a prior advertisement, a definition of the
award criteria in objective terms and if possible in descending order of importance.
(f)
A stipulation that any tenders submitted by fax or email shall not be considered.
(g)
The method by which any Invitation to Tender or Quote must state that the Council is not bound to
accept any quotation or tender.
(h)
How arithmetical errors discovered in the submitted tenders are to be dealt with. In particular,
whether the overall price prevails over the rates in the tender or vice versa.
(i)
Notification that no tender will be considered (see 12.5 below) unless it is sealed in an envelope or
container, labelled with the coloured Tender Label (this bears the word “Tender” followed by the
subject to which it relates, deadline for submission and is addressed to the Council‟s Solicitor), but no
other name or mark indicating the sender.
12.3
All Invitations to Tender or Quote must specify the service, works or goods that are required, together
with the terms and conditions of contract that will apply.
12.4
All suppliers invited to tender or quote must be issued with the same information at the same time
and subject to the same conditions. Any supplementary information must be given on the same
basis.
12.5
Where the electronic tendering system is being used, the same procedures in 12.2 apply, but timelocked vault boxes can receive tenders. Following closure of return of tenders, the Chief Financial
Officer (or in his/her absence his/her nominated deputy) will open the vault boxes.
13
13.1
Shortlisting
Any short listing must have regard to financial and technical standards relevant to the contract and
the pre defined award criteria. Special rules apply in respect of the EU Procedure. A standard
prequalification questionnaire and evaluation matrix can be obtained from the Chief Financial Officer.
14
Submission, Receipt and Opening of Tenders
14.1
Period for suppliers‟ response:
(a)
Suppliers invited to quote or tender must be given an adequate period in which to prepare and submit
a proper quotation or tender, consistent with the urgency of the contract requirement. Normally at
least four weeks should be allowed for submission of tenders.
(b)
The EU Procedure Directives lay down specific time periods regarding the minimum tender period.
14.2
All tenders must be returned to the Council Solicitor. The Council Solicitor shall be responsible for
the safekeeping of tenders until collected and signed for by an officer from Legal Services for
opening. The Head of Customer Services shall ensure that each tender is:
(a)
Suitably recorded so as to subsequently verify the date and precise time it was received.
(b)
Adequately protected immediately on receipt to guard against amendment of its contents.
31
(c)
Recorded in the Tender Record Log.
14.3 Tenders received by fax or email must be rejected.
14.4
The Council Solicitor must ensure that all tenders are opened at the same time when the period for
their submission has ended. Two people or more must always be present when tenders are opened
one of whom will be an officer from Legal & Democratic Services who must open the tenders. For
contracts expected to exceed £50,000 a Portfolio Holder or other Member of the Council, shall be
required to attend the opening of tenders.
14.5
Upon opening, a summary of the main terms of each tender (i.e. significant issues that are unique to
each tender submission and were not stated in the tender invitation documents such as tender sum,
construction period etc.) must be recorded in the Tender Record Log. All parties present at the
opening of tender must sign the summary.
15
Post Tender Procedures
15.1
Providing clarification of an Invitation to Tender to potential or actual suppliers or seeking clarification
of a tender whether in writing or by way of a meeting is permitted.
15.2
The Chief Financial Officer and Council Solicitor must be formally consulted wherever it is proposed
to enter into post-tender negotiation, and such negotiations must only be conducted in accordance
with the guidance issued by the Chief Financial Officer. Post-tender negotiations are not permitted
where procurement is being undertaken in accordance with EU procurement directives.
15.3 Negotiations must be conducted by a team of at least two officers; one must be from a division
independent to that leading the negotiations.
15.4 Officers appointed to carry out post tender negotiations should ensure that there are recorded minutes
of all negotiation meetings and that both parties agree actions in writing.
15.5 Where post tender negotiation results in a fundamental change to the specification (or contract terms)
the contract must not be awarded but re-tendered.
16.
Evaluation and Award of Contract
16.1 Contracts must be evaluated and awarded in accordance with the award criteria.
16.2
The arithmetic in compliant tenders must be checked. If arithmetical errors are found they should be
notified to the supplier, who should be requested to confirm or withdraw their tender. Alternatively, if
the rates in the tender, rather than the overall price, were stated within the tender invitation as being
dominant, an amended tender price must be requested to accord with the rates given by the supplier.
16.3
Heads of Services shall ensure that submitted tender prices are compared with the respective budget
and any pre-tender estimates, and that any discrepancies are examined and resolved satisfactorily.
16.4
Where the total value is over the European Threshold for Public Procurement, the Officer must notify
all suppliers simultaneously and as soon as possible of the intention to award the contract to the
successful supplier. The Officer must provide unsuccessful suppliers with a period of at least ten
days in which to challenge the decision before the Officer awards the contract. If an unsuccessful
supplier challenges the decision the Officer shall not award the contract and shall immediately seek
the advice of the Chief Financial Officer.
16.5
The Officer shall debrief in writing all those suppliers who submitted a bid about the characteristics
and relative advantages of the leading supplier. No information, other than the following, should be
given without taking the advice of the Chief Financial Officer:
(a)
How the award criteria were applied.
(b) The prices or range of prices submitted, in either case not correlated to suppliers‟ names.
(c)
The name of the supplier who has been awarded the contract.
The same information should be given to those who responded in any pre-tender selection process.
32
16.7
If requested, the Officer shall within 15 days give the notification information required by Procedure
Rule 16.5 to suppliers who were deselected in the pre-tender short-listing process.
16.8
The approval level for accepting tenders and quotations is as follows:
Up
£100,000
Up
£200,000
Above
£200,000
to
Head
Service
Chief
Officer
Cabinet
to
of
17
Contract Formalities
17.1
Agreements shall be completed as follows (subject to delegated financial limits):
Total Value
17.2
Up to £100,000
Signature
Above £100,000
Sealing
All contracts must be concluded before the supply, service or construction work begins, except in
exceptional circumstances, and then only with the written consent of the relevant Chief Officer. An
award letter is insufficient.
18
18.1
Signature
The officer responsible for securing signature of the contract must ensure that the person signing for
the other contracting party has authority to bind it.
19
19.1
Method of
Completion
Sealing
Where contracts are executed under seal, the affixing of the Council‟s common seal must be attested
to, by or on behalf of the Head of Legal. The Head of Legal is responsible for the process of sealing
contracts and will also provide advice as to whether a contract requires sealing or otherwise.
19.2 Every Council sealing will be consecutively numbered, recorded and signed by the person witnessing
the seal. The seal must not be affixed without the authority of the Cabinet or Head of Service acting
under delegated powers.
19.3 A contract must be sealed where:
(a) The Council wishes to enforce the contract for more than six years after its end.
(b) The price paid or received under the contract is a nominal price and does not reflect the value of the
goods or services.
(c) Where there is any doubt about the authority of the person signing for the other contracting party.
(d) Where a bond is established on behalf of the contractor(s) or their guarantors.
(e)
20
Where the total value is expected to exceed £100,000.
Bonds and Parent Company Guarantees
20.1
The officer must consult the Chief Executive in the following instances:
(a)
A Parent Company Guarantee is necessary when a supplier is a subsidiary of a parent company and:
33
(i)
(ii)
(iii)
The total value exceeds £200,000
The award is based on evaluation of the parent company
There is some concern about the stability of the supplier
(b)
A Bond is needed where:
(i)
(ii)
The total value exceeds £1,000,000
It is proposed to make stage or other payments in advance of receiving the whole of the subject
matter of the contract and there is concern about the stability of the supplier.
21.
Prevention of Corruption
21.1
The Officer must comply with the Employee Code of Conduct and the Council‟s Anti-Fraud &
Corruption Strategy and must not invite or accept any gift or reward in respect of the award or
performance of any contract.
(a)
It will be for the Officer to prove that anything received was not received corruptly.
(b)
High standards of conduct are obligatory. Corrupt behaviour will lead to dismissal and is a crime
under the statutes referred to in Procedure Rule 21.2.
21.2 The following clause must be inserted in every written Council contract:
“The Council may terminate this contract and recover all its loss if the Contractor, its employees or
anyone acting on the Contractor’s behalf do any of the following things:
(a)
offer, give or agree to give to anyone any inducement or reward in respect of this or any other
Council contract (even if the Contractor does not know what has been done); or
(b)
commit an offence under the Section 117(2) of the Local Government Act 1972 or the Bribery Act
2010; or
(c)
commit any fraud in connection with this or any other Council contract whether alone or in
conjunction with Council Members, contractors or employees.
Any clause limiting the Contractor’s liability shall not apply to this clause.”
22
Declaration of Interests
22.1
If it comes to the knowledge of a Member or an employee of the Council that a contract in which he
or she has a personal interest has been or is proposed to be entered into by the Council, he or she
shall immediately give written notice to the Chief Executive, who shall report such declarations to the
Executive.
22.2
Such written notice is required, irrespective of whether the personal interest is direct or indirect. An
indirect personal interest is distinct from a direct personal interest in as much as it is not a contract to
which the Member or employee is directly a party.
22.3
A shareholding in a body not exceeding a total nominal value of £1,000 or 1% of the nominal value of
the issued share capital (whichever is the less) is not a personal interest for the purposes of this
Procedure Rule.
22.4
Democratic Services shall maintain a record of all declarations of interests notified by Members and
Officers.





23
Post Contract Monitoring and Evaluation
23.1
During the life of the contract the Officer must monitor in respect of
Performance
Compliance with specification and contract
Cost
Any Best Value requirements
User satisfaction and risk management
34
23.2
Where the total value of the contract exceeds £200,000, the relevant Director must make a written
report to the Chief Executive and to the relevant Portfolio Holder evaluating the extent to which the
purchasing need was met by the contract. This should be done normally when the contract is
completed. Where the contract is to be re-let, a provisional report should also be available early
enough to inform the approach to re-letting of the subsequent contract.
24.
Failure to Comply with the Contract Procedure Rules
24.1
Officers must comply at all times with the Contract Procedure Rules. The only exceptions to this are
contained within paragraph 9 cited above.
24.2
If an Officer does fail to comply or discovers that another Officer has failed to comply with the
Contract Procedure Rules, then this must be reported to their line manager immediately. Failure to
comply and/or failure to report may be considered under the Disciplinary Procedures of the Council in
force.
24.3
In addition to the possible disciplinary consequences, a report will need to be prepared for
consideration by the Council‟s Cabinet explaining the circumstances of the failure to comply with the
Contract Procedure Rules and seeking a retrospective waiver accordingly.
35
Agenda Item 7
DEVELOPMENT CONTROL REPORT (amended version 4 March 2015)
Purpose of this report
A review has been undertaken of the Sections of the Constitution that relate to Development
Committee (Part 5, Chapter 3) and the Default Delegations to the Head of Planning (Part 6,
paragraphs 6.2-6.4). This report makes recommendations as to changes these sections of the
Constitution.
These are intended to clarify and consolidate the Council‟s current practices, processes, and
procedures and where changes are proposed this are clearly highlighted in the appendices as
matters for consideration by the Committee and approval by the Constitutional Working Party.
In addition, the report includes a more detailed list of the delegated duties and legislation under
which the Head of Planning, and officers authorised on her behalf are authorised to act.
Background
It is important that the link between the Council‟s Constitution, Scheme of Delegation and the
decisions that Officers make is clear. This could became a serious issue should the Council
proceed with any legal action, or be challenged in respect of our decision making process. This
matter was highlighted in a recent legal case Pemberton International Limited v London
Borough of Lambeth.
The observations that the judge made on the council's constitution, including its scheme
of delegation, will be of interest given his criticism that they were not well structured or
clearly drafted. Further he considered the documents failed to provide for a clear and
comprehensible allocation of functions between bodies and to identify which bodies,
officers or groups of officers were authorised to exercise particular functions. In his
view, amending and improving its constitution, would minimise the risk of further
challenges to the legality of the council's decisions
EWHC 1998 (Admin) (18 June 2014)
.In this respect, it is considered that further clarification is required in terms of role of
Development Committee, the delegation to the Head of Planning and the authorisations given to
other Officers.
Proposed Changes to the Development Committee Terms of Reference
Appendix 1 sets out the current relevant provision of the Constitution and alongside it the
proposed changes.
The key changes proposed here are:
36
Agenda Item 7
1. Clarification as to what is covered by Item 1 to include „all statutory functions of the
Council acting as Local Planning Authority, including …..
2. Delete item two, as integral part of reaching a planning decision, there is no need to
make specific reference to this within the Constitution
3. Delete item 3. This does not need to be included in the Constitution. The Committee
receives information regularly on performance for information purpose
4. Item 4 – additional information included for clarification purposes.
5. Item 5 changes are proposed in this this is amended such that where the Committee
is minded to determine an application contrary to the Officers recommendation and
in the view of the Head of Planning (or senior representative at the meeting)it would
have major implications for planning policy or be a significant departure from the
Development Plan without sound reasons for doing so, or would fail to observe the
proper principles of planning decision, the resolution is that the Committee is “
MINDED TO” ….., and the matter is brought back to the Committee with a „risk
report‟ outlining the implications should members wish to make such a
recommendation.
This an approach adopted by other authorities and attached for member information
as Appendix 2, is an extract from Plymouth City Council outlining how this would
operate.
6. Item 7 – add the work „Working Parties‟ – for clarification purposes.
7. Wording of footnote to be amended for clarification purposes.
Proposed Changes to the Default Delegation to Head of Planning
Delegation to Officers is set out in Chapter 6 of the Council‟s Constitution. Paragraph 5.4 of the
Constitution specifies:
Head of Service shall have full delegated powers to undertake the function relevant to
their office. However, these general delegation powers shall not, unless specifically
provided, be taken to include any power reserved to the Council or given to a Committee
by the Council‟s Terms of Reference nor any Conditional or Default Delegated power
contained in Section 6 below.
The second sentence of paragraph 5.4 is confusing, as for the development management part
of the Head of Planning‟s role, this conflicts with the terms of reference for Development
Committee. It is therefore recommended that the second sentence is deleted, and paragraph
5.4 amended to read:
“Head of Service shall have full delegated powers to undertake the function relevant to the their
office”
37
Agenda Item 7
In terms of day to day operation, it means that the Officers would continue to undertake the
functions listed in Appendix 3. Appendix 4 is the list of legislation under which the Head of
Planning and other Officers are authorised to act.
The key changes include:
1
2
Recommending that Certificate of Lawfulness be dealt with, following consultation
with Head of Legal Services
Enforcement – this is part clarification and part changes. To clarify that work
required in investigating a breach is delegated to the Head of Planning, new in
respect of:
a. To service Section 2015 to address Untidy Land
b. Temporary Stop and Stop Notice are recommended to be delegated as taken in
response to extreme situation, where action is required immediately
c. The decision to terminate an investigation where it is not expedient/appropriate to
take enforcement action
d. When Member authorise the serving of Enforcement Notice, it will include
authorisation to prosecute if the notice is not complied with
e. Any decision to take Direct Action remains a decision of the Development
Committee
The changes proposed to Chapter 6, Conditional and Default Delegation are set out in Appendix
5.
With regard to the Note 4 attached to 6.2 which specifies:
“Applications submitted by or on behalf of the District Council and applications for wind turbines
and solar farms may be determined under delegated powers with the agreement of the Local
District Councillor(s) and the Chair or Vice Chairman of the Development Committee.”
It would appear that this was introduced following a decision by full Council on 24 October. The
relevant extract from the minutes specify:
RECOMMENDATION FROM DEVELOPMENT COMMITTEE 18 OCTOBER 2012
ITEM 11: WIND TURBINE APPLICATIONS AND SCHEME OF DELEGATION.
This item was presented by the Chairman of the Development Committee. She
explained that,
at its meeting on 18 October, the Development Committee had agreed to recommend to
Council that the Scheme of Delegation within the Constitution be amended to allow
applications for wind turbines or for solar farms to be determined under delegated
powers with the agreement of the local District Councillor(s) and the Chairman or ViceChairman of the Development Committee, with the proviso that this matter be reviewed
after 6 months. This change would therefore allow additional scrutiny of these
applications above and beyond that presently applying to other types of development
under the Scheme of Delegation.
38
Agenda Item 7
RESOLVED that
a) The Scheme of Delegation within the Constitution be amended to allow applications
for wind turbines or for solar farms to be determined under delegated powers with the
agreement of the local District Councillor(s) and the Chairman or Vice-Chairman of the
Development Committee.
b) This matter be reviewed after 6 months.
It does not appear that a review of the matter was undertaken after 6 months, therefore
Members are asked to consider this matter now.
It is suggested that this Notes in the Constitution remains unaltered, except for clarification as to
what constitute a solar farm. In this respect it is suggested that this relates to solar farm in
excess of XXXXXX.
Proposed Changes to Part 3 Statutory “Proper Officer” Functions which are allocated to
Officers
This section of the Constitution includes a list of the statute, role/function/responsibility/ Proper
Officer. At the moment this list includes in relation to Planning the following:
Statute
Planning (Listed Buildings
and Conservation Areas)Act
1990 Part 1
Town and Country Planning
Act 1990
Sections 197-214
Tree Regulations
Role/Function/Responsibility Proper Officer
Protected Buildings
Head of Planning
Matters relating to Tree
Preservation Orders and tree
in Conservation Area
Head of Planning
It is suggested for clarification purposes this is amended as shown below:
Statute
Planning (Listed Buildings and
Conservation Areas)Act 1990
(as amended) – All Parts
Town and Country Planning
Act 1990 (as amended) – All
Parts
Town and Country Planning
(Control of
Advertisement)Regulations
1992 (as amended)
Planning (Hazardous
Substances)Regulations 1992
as amended
Role/Function/Responsibility Proper Officer
All functions
Head of Planning
All functions
Head of Planning
All functions
Head of Planning
All functions
Head of Planning
39
Agenda Item 7
Recommendations
That Development Committee resolve to:
Recommend to the Constitutional Working Party to approve the changes to the
Constitution in relation to the terms of reference and conditional and default
delegation
Nicola Baker
Head of Planning
List of appendices
1
Proposed Changes to the terms of reference for Development Committee
2.
Plymouth approach to recommendations made contrary to Officer recommendations
3.
List of duties delegated to the Head of Planning and other Officers
4.
List of legislations
5
Proposed changes to the conditional and default delegation – Chapter 6 of the Constitution.
40
Appendix 1
Proposed Changes to the Constitution Development Committee Terms of Reference
Chapter 5 Part 3 of the Constitution
Proposed Changes and Reason
Current wording of the Constitution
Terms of Reference:
1. To determine all planning and listed building applications
and related matters, enforcement matters, tree and
hedgerow matters, and Conservation Area matters,
subject to the provisions outlined below.
2 To make decisions on planning and listed building
applications which would be contrary to policy, only when
the Head of Planning , or his or her
authorised representative, confirms that the departure is of
a minor nature; or that there are sound Planning reasons
for the said departure
3 To receive information and monitoring reports on items
determined under delegated powers and on the status of, or
decisions on appeals.
ADD To undertake all statutory functions of the Council,
acting as Local Planning Authority, including ……….
2 – to be deleted as not necessary
4. To establish a judging panel as required to promote,
consider, evaluate and judge submissions under the
Graham Allen Awards Scheme and make awards
accordingly
3 – to be deleted as not necessary to include in the
Constitution.
The Committee receive regularly performance information.
For clarification purposes, add:
The panel shall comprise of at least 8 members of
Development Committee (who need not to be politically
balanced) and a representative from the Allen family.
5. When a determination under paragraph 1 or 2 would, in
the view of the Head of Planning;
a) have major implications for planning policy or
b) be a significant departure from the Development Plan
without sound reasons for doing so
c) would fail to observe the proper principles of planning
When a determination under paragraph 1 or 2 would, in the
view of the Head of Planning;
a) have major implications for planning policy or
b) be a significant departure from the Development Plan
without sound reasons for doing so
c) would fail to observe the proper principles of planning
41
decisions
that matter will be deferred until a subsequent meeting of
the Development Committee when the membership will be
invited to consider and determine that matter, following
consultation, in appropriate cases, with the Council‘s
Monitoring and Section 151 Officers
decisions
The above text remains unaltered.
The resolution is made ‘MINDED To… and the application
is deferred until a subsequent meeting of the Development
Committee when a ‘risk assessment’ report will be
presented outlining the implication of such action.
6. When the Development Committee Chairman wishes to
speak on a Planning matter relating to his/her Ward, he/she
will be permitted to vacate the Chair and speak from the
floor as a Local Member, returning to the Chair once the
matter has been determined.
7. To make recommendations to the Cabinet or Council on
matters of Panning policy or practice
8. For the avoidance of doubt the quorum of meetings
under paragraph 5 will be one half of the total number of
Members of the Development Committee
Note: The applications referred to in these Terms of
Reference are those detailed in Part III of the Town and
Country Planning Act 1990; in the Planning (Listed
Buildings and Conservation Areas) Act 1990; in the
Planning (Hazardous Substances) Act 1990 and in any
enactment modifying, amending or replacing
any of these enactments. The expression shall also apply to
any reference to an application to be decided by the
Council in relation to any matter covered by these Terms of
Reference and not specifically allocated to another
Committee
Remains unaltered
Add ‘Working Parties’ in advance of Cabinet
Remain unaltered
Suggest amended wording for clarification:
Note: The applications referred to in these Terms of
Reference are those detailed in the Town and Country
Planning Act 1990; in the Planning (Listed
Buildings and Conservation Areas) Act 1990; in the
Planning (Hazardous Substances) Act 1990 and in any
enactment modifying, amending or replacing
any of these enactments and in any Regulation(s) or
Order(s) made thereunder.
42
PROBITY IN PLANNING
Planning Committee Code of Practice
(adopted by Plymouth City Council on16th September 2013)
Authors: Assistant Director of Planning, Head of Development
Management and Senior Lawyer
Contents
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
Introduction
Status of the Code
General Role and Conduct of Councillors and Officers
Declaration and Registration of Interest and Bias
Predetermination, Predisposition or Bias
Development Proposals Submitted by Members, Officers and the
Council
Lobbying
Ward Member Involvement in Planning Application Process
Roles of Members and Officers at Planning Committee
Order of Planning Committee Considerations
Public Speaking at Planning Committee
Site Visits
Decisions Contrary to the Development Plan
Decisions Contrary to Officer Recommendation
Appeals and Inquiries
Quality of Service
Monitoring and Review of Decisions
Training
Complaints
V1 September 2013
43
Not protectively marked
1.0
INTRODUCTION
1.1
The conduct of both Officers and Members in Local Government needs to be of the
highest standing: on this depends the bond of trust between Councils and their local
people, which is essential if Councils are to play their part in leading communities and
improving people’s quality of life. The local administration of the planning system has come
under close scrutiny. The Nolan Committee’s Third Report investigated standards in
public life, and was followed by the Local Government Act 2000 which introduced a
structure by which local authorities were to promote high standards of conduct, through a
National Code of Conduct for Members. In 2013 the Local Government Association
provided updated guidance on “Probity in Planning” and the Localism Act 2011 has created
a new Standard regime with a more local focus.
1.2
This Code offers clear guidance and advice as to procedures and practices to elected
Members, Officers and members of the public in connection with the determination of
planning applications and other applications. This Code will ensure that not only are the
applications determined in a fair and impartial way, but also in a way which is seen to be
fair and impartial. The introduction of the Local Government Act 2000 and associated
legislation provides the necessary statutory framework, by which these standards may be
achieved, maintained and regulated by each local authority.
1.3
Clearly, one of the key purposes of the planning system is to control development in the
public interest. When performing this role the Local Planning Authority and elected
members are making decisions that necessarily affect land and property interests, as well as
the financial value and settings of land holdings. Clearly, there is a need to make decisions
that are open, impartial and based on sound judgement and reason. The process of
determining applications should leave no grounds for a suggestion that a decision has been
impartial, biased or ill founded in any way. Decisions must always be made on planning
grounds and planning grounds alone.
1.4
This Code of Good Practice has been adapted from national guidelines on probity to take
account of the local situation. Two particular areas of the Localism Act are relevant to this
code. Firstly, with regard to pre-determination the Act makes it clear that it is proper for
councillors to play an active part in local discussions and that they should not be liable to
legal challenge as a result, provided they maintain an open mind. Secondly, and related to
pre-determination, the act introduces a new requirement for developers to consult local
communities before submitting planning applications for certain developments. This gives
Members and local residents a chance to comment when there is still genuine scope to
make changes to proposals at both pre-application and post submission stage.
1.5
The Terms of Reference for Planning Committee is set out in the Council’s Constitution
(http://www.plymouth.gov.uk/constitution) which specifies the matters that are delegated
to be considered by Planning Committee.
44
2.0
STATUS OF THE CODE
2.1
This Code sets out the basis as to how Officers and Members should determine planning
and other relevant applications submitted to the Council and ensures that conduct accords
with the Council’s Codes of Conduct for Members and Officers which is contained within
the Councils Constitution.
2.2
This Code is contained in the Council’s Constitution. A breach of this Code, depending on
the circumstances, does not usually amount to a breach of criminal law but may adversely
affect the standing of the City Council. It could result in a decision being judicially reviewed
or allegation of a breach of the Code of Conduct or a complaint of maladministration made
to the Local Government Ombudsman.
3.0
GENERAL ROLE AND CONDUCT OF COUNCILLORS AND
OFFICERS
3.1
Elected Members are guided by the Council’s Code of Conduct, the seven principles of
public life and the Localism Act 2012. This Code is further amplified by reference to the
Council’s constitution in respect of general Council procedures as well as further
amplification in specific Codes of Conduct such as the advice contained in this Code.
3.2
Councillors and Officers have different but complementary roles with the determination of
planning applications and it is important that an open, respectful and transparent
relationship is developed based upon mutual trust and understanding of each other’s
positions. It is important for the overall standing of the Council and the achievement of
national performance targets that they work as an effective team. The role of a Councillor
when determining a planning application is to have an overriding duty to the whole
community and, accordingly, in deciding the outcome of an application to make a reasoned
decision taking into account the provisions of the Development Plan and all relevant
material considerations. All decisions should be taken in the interests of Plymouth as a
whole.
3.3
The basis of the planning system is that consideration is given to all development proposals
and these are determined against the wider public interest. Much is often at stake in such
decisions and in the process for local people and development interests, as well as for the
City of Plymouth itself. Given the nature of these decisions opposing views are often held
by those involved. Whilst these views must be taken into account in the determination of
planning applications, as stated above, the Planning Committee must not favour any person,
group or locality. Members must therefore take steps to ensure that in their discharge of
their Planning Committee duties the distinction between this role and their role as an
individual Ward Councillor is constantly made clear. If Members wish to act in the latter
capacity they must make that clear at the outset. Members who do not feel that they can
act in this way should consider whether they are best suited to serve on the Planning
Committee, especially if they feel that they will often be placed in the position of wishing to
represent constituents and wishing to speak as a Ward Member rather than a Member of
the Planning Committee (See paragraph 5.4).
45
3.4
In reaching a decision Members should ensure they read, consider and take account of the
relevant material considerations connected with the application and should not favour any
person, group or locality or put themselves in a position where they may appear to do so.
3.5
All decisions should be made in an open and transparent manner by the Members of the
Planning Committee and this should not at any time be compromised in any way.
Therefore, such actions as messages being passed to Members of the Planning Committee
during a debate should be avoided as this could give an impression of undue influence from
a third party. In the first instance in an emergency any notes should be passed to the
Democratic Support Officer.
3.6
Members should always address the Planning Committee through the Chair and avoid
speaking directly to one another since it is important that all matters being discussed are
clearly heard and acknowledged by everyone at the meeting.
3.7
In order to ensure that decisions are taken on planning grounds and are sound it is
incumbent on all Planning Committee Members to give full consideration to reports
prepared by Officers and familiarise themselves with all relevant national planning guidance
(including the National Planning Policy Framework), Development Plan policies and other
material considerations well in advance of the consideration of a development proposal at
the Planning Committee itself. It is important also that Members are seen to be meeting
this provision of the code.
3.8
The role of Officers is to advise Councillors and the Council as a whole (through the
Cabinet and relevant Portfolio Holders) and to carry out work as set out in the Corporate
Plan and agreed Business Plans. Officers are employed by the Council, not by individual
councillors, and it follows that instructions to them may only be given through a decision of
the Council, the Cabinet, the relevant Portfolio Holders, or the Planning Committee.
3.9
The conduct of Officers who advise on the determination of planning applications is
contained generally in the Council’s protocol for Member/employee relations and is
supplemented by guidance from their professional bodies, such as Royal Town Planning
Institute, the Law Society, and the Institute of Legal Executives. Officers may not be
instructed by any Member to conduct themselves in a manner which would place them in
conflict with their professional codes of conduct.
3.10
Members should abide by the following advice:
•
Members should always pass a copy of any lobbying correspondence to the
Assistant Director for Planning at the earliest opportunity;
•
Members should
recommendation;
never
pressurise
46
or
lobby
Officers
for
a
particular
•
Members should promptly refer to the Assistant Director for Planning any offers
made to them of planning gain or constraint of development;
•
Members should inform the Monitoring Officer where they feel that they have been
exposed to undue or excessive lobbying or approaches including inappropriate
offers of gifts or hospitality (see also paragraph 3.12);
•
Members should never use political group meetings to dictate how they should vote
on a planning issue and should not lobby fellow Members regarding concerns or
views, nor attempt to persuade other Members to vote in a particular way.
3.11
Officers are required to act impartially at all times in determining applications and providing
advice at the Planning Committee. Officers will be expected to conduct themselves in all
they say and do in a manner which totally preserves this position of impartiality.
3.12
During the determination of an application, it is possible that Officers and Members may be
offered hospitality by an interested party. Even though this rarely occurs in Plymouth, it is
important to recognise that, if at all possible, these offers should be politely declined.
However, any Members receiving any gift or hospitality, in their capacity as Members, over
the value of £25, should provide within 28 days of receipt written notification of the details
to the Monitoring Officer of the Council for entry into the register of gifts and hospitality
which is open to public inspection and located in the Democratic Support Office. Similarly,
for Officers, in the event that the receipt of hospitality is unavoidable, they must ensure
that the hospitality is of a minimal level and declare its receipt as soon as possible by
completing a “Hospitality Declaration Form” and submit this to the Assistant Director for
Planning for signature.
4.0
DECLARATION AND REGISTRATION OF MEMBER AND
OFFICER INTERESTS AND BIAS
4.1
Members and Officers are required to give a general notice of interest that they hold
usually upon their election or appointment to office and are under a duty to maintain that
declaration and amend, as necessary, within 28 days of becoming aware of any such
changes, throughout their term of office.
4.2
A register of Members’ interests will be maintained by the Council’s Monitoring Officer
and is available for public inspection. A register of Planning Officers’ interests will be
maintained by the Assistant Director for Planning.
4.3
Furthermore, Members and Officers are under a duty to declare interests as and when
matters arise at Planning Committee. Guidance on these issues may be sought by the
Council’s Monitoring Officer. The decision as to whether an interest ought to be declared
rests with the individual Councillor or Officer involved.
47
4.4
There are three types of interest, ‘personal’ ‘prejudicial’ and pecuniary. A member will have
a personal interest in a Planning Committee decision if:
•
•
If the matter relates to an interest in respect of which the Member has given notice
in the statutory register of Member’s interests; or
The decision might reasonably be regarded as affecting their well being or financial
position or that of a relative or friend or employer to a greater extent than other
Council Tax payers, ratepayers or inhabitants of the Authority’s area.
4.5
Where a Member considers he or she has such a personal interest in a matter, he must
always declare it.
4.6
A personal interest will become a prejudicial interest if a member of the public with
knowledge of the relevant facts would reasonably regard that interest as so significant that
it is likely to prejudice the Member’s judgement of the public interest. There are
exceptions to this, however and full details are given in the Council’s constitution.
4.7
Where any Member of the Council considers that they have a prejudicial interest they
should discuss this situation with the Monitoring Officer or his representative as soon as
they realise this is the case:
•
Complete a standard form and pass it to the Democratic Support Officer prior to
the start of Planning Committee;
•
Ensure they do not participate at any stage in the consideration of the planning
application if following advice from the Monitoring Officer they consider that any
decision they take could be challenged on the grounds of bias;
•
Ensure they do not seek or accept any preferential treatment, or place themselves
in a position that could lead to the public to think they are receiving preferential
treatment because of their position as a councillor;
4.8
With regard to Planning Officer interests the Assistant Director for Planning Services will
check the Officer declarations list and advise the Officer accordingly if they feel that
alternative arrangements are necessary in presenting the report.
4.9
Pecuniary interests are defined in regulations. The regulations in general will mean that a
member will have to register any interest they or their husband or wife or civil partner has
in:
•
•
•
•
any employment, office, trade, profession or vocation that they carry on for profit
or gain
any sponsorship that the councillor receives including contributions to the
councillor’s expenses as a councillor; or the councillor’s election expenses from a
Trade Union.
any land licence or tenancy they have in Plymouth;
any current contracts leases or tenancies between the council and them,
48
•
•
any current contracts leases or tenancies between the council and any organisation
with land in Plymouth in which they are or have a partner, a paid director, or have a
relevant interest in its shares and securities;
any organisation which has land or a place of business in Plymouth and in which
they have a relevant interest in its shares or its securities.
If a Councillor has a pecuniary interest they must leave the meeting immediately and can
not participate, or participate further, in any discussion of the matter at the meeting, or
participate in any vote, or further vote, taken on the matter at the meeting.
4.10
Members should also not give grounds for a suspicion that any such interests may arise and
have not been declared.
4.11
When an application is to be determined, there is an expectation that it will be dealt with
transparently, openly and in a fair way. Members will be expected to take account of all
relevant evidence and give it appropriate weight in the decision making process and arrive
at a reasoned sound decision.
4.12
An alternative approach may be for the Planning Committee Member to refrain from
making any public statement on an application and to invite another Ward Member to
attend the Planning Committee to speak on the local ward issues and for the Member of
the Planning Committee, if s/he has not made a public statement in support of or against
the application, to confine his/her comments to the relevant planning issues, taking into
account the interests of the City as a whole.
5.0
PREDETERMINATION OR PREDISPOSITION
5.1
Members of the Planning Committee need to ensure that they do not fetter their ability to
participate in the decision making process on an application by making up their mind or
clearly indicating that they have made up their mind on how they will vote prior to the
consideration of the application by the committee.
5.2
The Planning Committee should, when considering an application, take into account all
views that are expressed in such a way that they are openly heard and fairly considered in
a balanced way before the committee reach a decision.
5.3
Members of the Planning Committee can have a predisposition to an initial view, where the
member is clear they are still willing to listen to all the material considerations presented at
the Planning Committee before deciding on how to exercise their vote on behalf of the
community.
5.4
The fettering of a members discretion as set out in 5.1 and then taking part in the decision
making process will put the Council at risk of a finding of maladministration and of legal
proceedings on the grounds of there being a risk of bias or predetermination or a failure to
49
not take into account all of the factors enabling the application to be considered on its
merits.
5.5
The Localism Act 2011 now sets out that a member who has expressed a preference for a
particular outcome of an application as it proceeds to determination, will not be taken to
have had a closed mind when making the decision just because they have previously done
or said anything to indicate their view in respect of the matter. However, it is important
that a fair minded observer would think that the Member was open to changing their mind
in the light of different or additional information, advice or evidence presented.
5.6
It will be evident that the appropriate action is not clear cut and will depend on the
circumstances of a particular case and application. Planning Committee members need to
avoid bias and predetermination and take account of the general public’s (and the
Ombudsman’s) expectation that a planning application will be processed and determined in
an open and fair manner. To do this, Members taking the decision on an application must
take account of all the evidence presented before arriving at a decision, and should avoid
committing themselves one way or another before hearing all the arguments.
5.7
A situation can arise when a Member of the Planning Committee represents a Ward within
which a contentious application is lodged. If, prior to the matter being considered by the
Planning Committee, that Member decides to make a public statement, and either supports
or opposes the application, it will be difficult for that Member to be seen to subsequently
determine the application transparently, openly and fairly. Accordingly, the Member
should make an open declaration, in relation to his or her position and not vote on the
determination of the application at Planning Committee. The open declaration should be
noted in the Planning Committee minutes. The Member will also be required to vacate
their seat within the Planning Committee and to sit within the public gallery for the
duration of the consideration of the item, and where they have exercised their right to
speak as a Ward member, they can address the Planning Committee at the appropriate
time in accordance with the Ward Member speaking arrangements (see section 11).
5.8
Ultimately it is the responsibility of the individual member to ensure that their role on the
Planning Committee is not compromised and it is also for them to strike the balance that
may need to be made between ward and other interests and the requirements of the
Planning Committee.
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6.0
DEVELOPMENT PROPOSALS SUBMITTED BY MEMBERS,
OFFICERS AND THE COUNCIL
6.1
In accordance with the Council’s Officer Code of Conduct (June 2000), employees must
declare any financial or non-financial interests which relate to their work to the
appropriate Director, Assistant Director, or Head of Service, including membership of any
organisation not open to the public without formal membership and commitments of
allegiance. Such declarations will be maintained in documents which will not be publicly
disclosable.
6.2
Such declarations can be made on a regular basis without any known future applications
coming forward. In such situations, planning and other associated applications will not be
allocated to that employee to deal with.
6.3
However, it will sometimes occur that an employee only identifies a conflict of interest in
the course of determining an application. At this point it is the responsibility of the
employee to immediately raise the declaration with the Director, Assistant Director, or
Head of Service and for the employee to take no further action in the determination of the
case. Again, a record of the declaration will be maintained in documents which will not be
publicly disclosable.
6.4
In all instances where there is a conflict of interest the appropriate procedure would be
for officers to notify the Director, Assistant Director, or Head of Service of that conflict
and to have no further part in the determination of the application.
6.5
Any proposals submitted by Members and Officers shall be dealt with so as to give no
grounds for accusations of favouritism. For this reason reference is made in the Terms of
Reference for Planning Committee for decision making involving Council employees or
Members.
6.6
Officers and serving Councillors must not act as agents for people pursuing Planning
matters within Plymouth City Council’s jurisdiction.
6.7
Any application submitted by Plymouth City Council shall be processed in the same
transparent and impartial manner as for any other applicant.
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7.0
LOBBYING
7.1
It is recognised that lobbying is a normal and perfectly legitimate element of the process of
considering planning applications. If a Member, who is not on the Planning Committee to
determine an application, wishes to support a particular viewpoint then that Member has a
right to appear at Planning Committee and seek permission to address the meeting.
7.2
It is, however, important that Members protect their impartiality and integrity in planning
matters. Planning Committee Members will not breach the Code by listening to or
receiving viewpoints from residents or other interested parties provided that they make it
clear that they are keeping an open mind. However expressing an intention to vote one
way or another before a Planning Committee meeting would prejudice impartiality.
8.0
WARD MEMBER INVOLVEMENT IN PLANNING
APPLICATIONS PROCESS
8.1
Ward members have a central role in helping to represent the views of local people and
other stakeholders at both pre-application and planning application stage. Ward councilors
bring strong community leadership, extensive local knowledge and an up to date
understanding of current issues. Planning officers have to act impartially at all times, but
will provide support and advice to ward councilors on planning matters in order for them
to play this community leadership role. This will include the involvement of ward
members in negotiations on planning obligations.
8.2
Planning obligations negotiated under Section 106 of the Town and Country Planning Act,
1990 must be seen to mitigate the effects of development whilst recognising that each
must comply with council planning documents, policies and guidance and Regulation 122 of
the Community Infrastructure Levy (CIL) Regulations 2010 (as amended).
8.3
To be lawful, a planning obligation must meet all of the following statutory tests. It must
be:
(a) necessary to make the development acceptable in planning terms;
(b) directly related to the development; and
(c) fairly and reasonably related in scale and kind to the development.
(These apply to both future and existing Section 106 obligations and to CIL payments).
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8.4
To this end, where the need for a planning obligation is anticipated by a planning officer,
ward councillors will be consulted at an early stage of the pre-application and planning
application process. The views of ward councillors on planning obligations will be sought
electronically through weekly lists and shall be considered in any decision taken by the
Planning Committee or by an officer acting under delegated authority.
Information available to Ward Councillors
8.5
The following information will be available to ward councillors via the City Council website in order to help inform their consideration of a development proposal at both preapplication and submission stages:
•
•
•
•
•
8.6
The Statement of Community Involvement, which sets out the principles,
expectations and best practice for everyone involved in the planning process.
The Sustainable Neighbourhood Assessments, which set out in detail an assessment
of existing infrastructure, gaps in provision and key local issues within every
neighbourhood in the city.
The Infrastructure Needs Assessment, which sets out strategic infrastructure that
is needed in parts of the city to support the overall growth agenda of the city.
A summary of existing Section 106 agreements within every ward, which is updated
quarterly.
The planning policy framework, as set out in Policy CS33 of the Core Strategy and
the Planning Obligations and Affordable Housing SPD: these provide the policy
context for the negotiation of planning obligations and it will be important for ward
members to be familiar with these.
To further assist ward councillors in considering to what extent they wish to make
comments on development proposals, every week ward councillors will be sent by email
only:
•
A list of registered Development Enquiry Service requests where the applicant has
indicated that they do not wish the pre-application to be confidential. Where an
applicant has indicated that a pre-application enquiry is confidential these will not
appear in the weekly list.
•
A list of registered planning applications with links (where applicable) to details of
the proposed Section 106 Obligations Heads of Terms, which will show what the
developer is proposing for the Section 106 agreement and which provides a
starting point for members to consider Section 106 matters on a particular
planning application.
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Ward Member Involvement at Development Enquiry Service (DES) PreApplication Stage
8.7
In accordance with the principles set out in the Statement of Community Involvement,
councillors should review the weekly DES list. Upon receipt of the DES list ward
councillors must contact the named case officer within 10 working days if they wish to
draw attention to any particular planning or Section 106 related issues or concerns,
specifying which site within their ward this relates to. This will enable officers, ward
councillors and the developer to more positively engage together in progressing the preapplication discussions and take account of key local issues at an early stage. It is at this
stage a ward councillor should also indicate whether they wish to receive an informal
presentation from the developer/agent where this is a major development. (Informal
presentations for minor or householder proposals will only be provided in exceptional
circumstances at the discretion of the Assistant Director of Planning). Pre-application
presentations to local ward councillors will enable the developer to positively engage with
ward councillors at an early stage in the development process, without compromising the
decision making process
8.8
Where requested, for major developments, the planning case officer will facilitate the
opportunity for an informal presentation of the development proposal by the
developer/agent to ward councillors, at pre-application stage. A request for an informal
presentation can be made by ward councillors, the developer/agent or by planning officers.
Informal DES presentations will generally be undertaken within 4 weeks of the
Development Enquiry Service application being registered, and will be carried out fully in
accordance with the Council’s Code of Good Practice for Members and Officers, and the
general advice contained in the National Model Code of Conduct (Local Authorities
(Model Code of Conduct) Order 2007 - S1 2007/1159). Wherever possible meetings will
be arranged for all members within the ward affected by the proposal to reflect member
availability, but in order not to unduly delay pre-application discussions members will be
expected to prioritise attendance at any DES meetings requested.
8.9
The purpose of these DES presentations is to inform ward councillors of emerging
proposals for major developments and enable key local issues of relevance to the
development, including any Section 106 matters, to be identified. Such early engagement
will enable the developer to understand and address any significant local concerns as early
in the development process as possible including any priorities to mitigate the impact of
the proposed development. The collection and expenditure of Community Infrastructure
Levy (CIL) payments will not be a matter for discussion at these meetings since CIL is nonnegotiable and the expenditure will be determined through the governance of the
Council's Regulation 123 List.
8.10
The developer’s presentation will be limited to the facts of the development proposal.
8.11
Ward councillors will be given the opportunity to ask questions concerning any aspect of
the proposal, including Section 106 matters. Unless a matter is commercially confidential
and sensitive, developers will be expected to provide comprehensive answers to questions
from ward councillors.
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8.12
The planning case officer will highlight the key planning issues, summarising policy issues,
third party views and other issues for consideration. Key issues raised at the DES meeting
will be written up as part of the case officer’s report to Planning Committee.
8.13
Ward councillors will be at liberty to express opinions in support or opposition for the
proposals at the meeting if they wish, unless they are also a member of the Planning
Committee.
8.14
Where a ward councillor is also a member of Planning Committee this will be declared at
the start of the meeting. The planning case officer will then make it clear that the Planning
Committee Member is at the meeting to understand the issues and to ask questions of
clarification, but will remain open minded so as to avoid any suggestions of predetermination.
8.15
Local ward councillor involvement at pre-application stage will not affect the speaking
rights of the member at Planning Committee provided the local ward Councillor has
followed the Council’s Code of Good Practice for Members and officers.
8.16
The advice given at DES stage does not necessarily bind the formal determination by the
Local Planning Authority of any subsequent planning application.
8.17
Under no circumstances should Planning Committee Members meet with
developers/landowners (or their advisors) without the presence of a Planning
Officer. To do so will be a breach of this code and may prejudice the integrity of any
subsequent decisions made on any application. Councillors who are not members of
Planning Committee are advised to seek advice from Planning Officers prior to agreeing to
meet with developers or landowners.
Ward Member Involvement at Planning Application Stage
8.18
In accordance with the principles set out in the Statement of Community Involvement,
councillors should review the weekly list of planning applications. It is the councillor’s
responsibility to initiate contact with the case officer named in the weekly list within 10
working days of the publication of the list if they wish to draw attention to any particular
planning or Section 106 related issues or concerns.
8.19
Where a ward councilor requests a presentation on a registered major planning
application, this must be done within 10 working days of receiving the weekly list.
(Presentations for minor or householder proposals will only be provided in exceptional
circumstances at the discretion of the Assistant Director of Planning). The purpose of any
presentations at this stage is to inform ward councillors of the content of the planning
application in order to enable ward councillors to make formal representations on the
application within the published consultation period. The collection and expenditure of
Community Infrastructure Levy (CIL) payments will not be a matter for discussion at these
meetings since CIL is non-negotiable and the expenditure will be determined through the
governance of the Council's Regulation 123 List.
55
8.20
Wherever possible meetings will be arranged for all members within the ward affected by
the proposal to reflect member availability, but in order not to unduly delay the
determination of planning applications members will be expected to prioritise attendance
at any planning meetings requested. This date will normally be within 3 weeks of receipt of
the request for the meeting. Members can still make comments on a planning application
within the statutory consultation period of 21 days.
8.21
The advice and discussions at any meeting will not necessarily bind the formal
determination by the Local Planning Authority of the planning application.
8.22
Under no circumstances should Planning Committee Members meet with a developer
without the presence of a Planning Officer and other Members are advised to seek advice
from Planning Officers prior to meeting a developer.
9.0
ROLES OF MEMBERS AND OFFICERS AT PLANNING
COMMITTEE
9.1
Officers and Members have specific roles at Planning Committee. In particular the
following Members and Officers will be identified at the Planning Committee:
•
•
•
•
•
•
•
•
9.2
Chair of Planning Committee
Vice Chair of Planning Committee
Other Members of Planning Committee
Lead Planning Officer
Legal Officer
Democratic Support Officer
Case Officer
Other professional inputs (as determined by the Assistant Director for Planning)
More information on the roles and responsibilities of the above Officers and Members are
outlined in a guidance note which will be available at all Planning Committees, a copy of
which can be found on the Council’s website.
10.0 ORDER OF PLANNING COMMITTEE CONSIDERATIONS
10.1
All decisions that are to be made by the Planning Committee will be based upon written
reports by Officers supplemented, where necessary, by a brief oral presentation which may
include a site plan, an aerial photograph of the site, photographs of the site, key application
plans and drawings, video and other relevant material that the Officer considers will assist
the Planning Committee in the consideration of the proposal.
10.2
In most cases the Assistant Director for Planning will make a recommendation to the
Planning Committee to either refuse planning permission, with reasons, or to approve
56
planning permission, with conditions. In exceptional circumstances the Assistant Director
for Planning may not be in a position to make a recommendation to the Planning
Committee through the main report. Where this is necessary reasons will be given as part
of the Officer report and presentation to the Planning Committee. The Assistant Director
for Planning may also need to report updates on specific aspects of a proposed
development or undertake presentations of development proposals with the applicant at
the early stages of a proposal. Where this is the case these will be separately identified on
the Planning Committee agenda. In order to ensure efficient and effective decision making
the Assistant Director for Planning will generally seek from the Planning Committee
delegated authority to determine a planning application after the expiry of an
advertisement period, or upon receipt of additional details, or will seek delegated authority
to refuse permission where a Section 106 agreement linked to a resolution to grant
consent is not, in his/her opinion, being expedited with sufficient speed by the applicant or
will seek to defer to the Assistant Director for further negotiations in consultation with
Chair, Vice Chair, and Lead Opposition Group Member for Planning.
10.3
Where further detail and clarification on a published report is required, this will be
provided in the form of a written addendum report, to be made public no later than 5.00
p.m. the day prior to the Planning Committee meeting. Officers will always seek to ensure
that the use of addendum reports is kept to the absolute minimum.
10.4
In exceptional circumstances, a further oral report may need to be provided at the
Planning Committee meeting itself.
10.5
The order for consideration of all planning applications will be as follows:
1.
Planning Officer Oral Presentation;
2.
Any Planning Committee Member(s) with a prejudicial interest who wish to speak for
or against a proposal (who will then leave the room);
3.
Any eligible Ward Councillor(s) who wish to speak for or against the proposal;
4.
Any Public Speaker who wishes to speak against the proposal;
5.
Any Public Speaker who wishes to speak in favour of the proposal;
6.
Questions to the Planning Officer by Planning Committee Members;
7.
Planning Committee Members debate and consider the proposal;
8.
Planning Committee Members move and debate any alternative motions to the
recommendation. The Democratic Support Officer clarifies the wording of the
alternative motion and the Chair puts these to the vote as appropriate (refer also to
section 14);
9.
Chair of Planning Committee puts the original recommendation to the vote, if
necessary;
10. Formal Decision of Planning Committee on the proposal.
10.6
If Members request a point of clarification arising from what they have heard from any of
the Speakers, to assist them with their consideration of the proposal, the Chair may, at his
57
or her complete discretion, ask for a short adjournment so that the Lead Planning Officer
can consult directly with the Speaker.
11.0 SPEAKING AT PLANNING COMMITTEE
11.1
Once the Planning Committee agenda and accompanying papers are made available to the
public five days prior to the Planning Committee meeting, anyone who wishes to speak
must notify the Council’s Democratic Support Section (details of which will be on the
agenda papers) that they wish to speak, give details of the item upon which they wish to
speak under Part 1 and whether they wish to speak as a supporter, objector, or Ward
Councillor. Notification must be made in person by either telephone, fax, letter or e-mail
and must be received by no later than 4.30 p.m. two working days before the Planning
Committee meeting. An individual who wishes to speak at Planning Committee must
register personally.
11.2
The Members who will be permitted to speak as Ward Members are normally only those
Members whose ward boundary falls within the ‘red line’ of the planning application site.
However, exceptionally other Members will be allowed to speak at the discretion of the
Chair provided that they represent an adjacent ward to where the red line is located and
in the Committee’s opinion the development directly affects residents in that adjacent
ward and any of those residents have submitted letters of representation within the
statutory notice period. When such an exception is made the reason will be provided as
part of the Planning Committee minutes. Other Members can speak at Planning
Committee, but as an objector or supporter and provided they meet the other
requirements in section 11.
11.3
The other participants allowed to publicly speak at the Planning Committee will be the
applicant or agent and/or third party objectors and supporters or professional agents
appointed by them to speak. In the case of third parties only those who have made
written representations on the planning application during the statutory consultation
period will be eligible to speak. In the case of Public Rights of Way applications there will
also be a further participant, the landowner, who will be allowed to speak after the Officer
presentation, and any Members, objectors and supporters have spoken.
11.4
In all circumstances the maximum number of public speakers will be one objector and one
in support of the development proposal (plus a landowner for Public Rights of Way
applications). If there are several persons wishing to speak (whether objectors or
supporters) preference will be given to the first person who properly registers to speak.
However the Democratic Support Officer will advise other people who wish to speak of
the nominated speaker and, if that speaker is agreeable, then an alternative speaker can be
put forward provided all the other criteria in section 11 is satisfied.
11.5
Speakers who have notified that they wish to speak need to attend the Planning
Committee at least quarter of an hour before the start of the meeting and should register
their details with the Democratic Support Officer. They will need to provide their name,
the application they are to speak on, and whether they are an objector or supporter of the
proposal.
58
11.6
Speakers will be allowed to speak for up to a maximum of five minutes and there will be
no further involvement of the speaker in the deliberations of the Planning Committee,
except as outlined in paragraph 10.6. Speakers will NOT be given an opportunity to ask
questions of the Members of the Planning Committee.
11.7
Speakers are not expected to provide any presentational material for the Planning
Committee. However, if a speaker wishes to submit any presentational material to
supplement their speech they must do so no later than the deadline for speaking as
outlined in paragraph 11.1. The material must only deal with issues raised through the
formal representations procedure on that particular application. Any other presentational
material that is produced by speakers will not be accepted and will be disregarded.
11.8
In the event an application is deferred, anyone wishing to speak at the subsequent Planning
Committee meeting must register in the normal way. Any previous speaker will not be
given preference over other eligible speakers.
11.9
Speakers should not interrupt other speakers or interrupt the Planning Committee debate.
11.10 Speakers are advised not to make slanderous statements or any other racial motivated,
discriminatory or inflammatory remarks.
11.11 The Chair can suspend the right to public speaking in relation to an individual item or the
whole Planning Committee if he/she considers it necessary to maintain order at the
meeting.
11.12 The Chair can also require a speaker to cease speaking and leave the meeting if in the
opinion of the Chair the speaker’s statement falls within 11.9 or 11.10 above.
11.13 The Chair of Planning Committee at any time may adjourn the Planning Committee and
ask for the public gallery to be cleared to maintain order at the meeting if there is any
activity or behaviour which, in his/her opinion, is disrupting the proper consideration of a
planning application and/or the conduct of the business of the Planning Committee.
11.14 The Chair of Planning Committee at any time may require a Member of the Planning
Committee to leave the meeting and take no further part in the proceedings if, in his or
her opinion the Member has made statements that fall within 11.9 or 11.10.
12.0 SITE VISITS
59
12.1
Planning Committee Members will be expected to be familiar with the site and the issues
surrounding the Officer recommendation when they arrive at a Planning Committee
meeting.
12.2
If, prior to a Planning Committee meeting, a Member considers that additional illustrative
material would assist the Planning Committee to visualise the impact of the proposed
development (over and above the planning application drawings and plans and the material
forming part of the Officer’s presentation to the Planning Committee) they should advise
the Assistant Director for Planning at least three working days before the Planning
Committee meeting clearly specifying what additional material is needed and why.
12.3 Officers will normally organise a site visit ahead of any formal recommendation if they feel
this would benefit Members’ understanding of the proposal. These site visits will be held
prior to the Planning Committee meeting and Members will be expected to give priority to
attending this at the arranged time. If Members wish the Planning Committee to visit
other sites on the Planning Committee agenda not already included in the scheduled site
visit they should advise the Assistant Director for Planning at the earliest opportunity. If
Members cannot attend the scheduled site visit they will still be expected to have
familiarised themselves with the site. Members should, however, inform the planning
officer if they intend to enter the owner’s property unaccompanied and seek clarification
from the planning officer whether it is appropriate for them to be accompanied by an
officer.
12.4
If a Member of Planning Committee moves a resolution for a site visit at a Planning
Committee meeting not having attended the scheduled visit under paragraph 12.3 Planning
Committee will exercise a strong presumption against agreeing to defer the planning
application for a further site visit.
12.5
If during the course of the consideration of any application a Member moves a resolution
for a site visit on a site which was not included in the Scheduled site visit the Member will
need to give an explicit reason that must explain why the need for a site visit was not
apparent prior to the Planning Committee meeting. In such cases the deferment for a site
visit will need to be agreed by Planning Committee members through a majority vote.
12.6
If a site visit is to be made by the Planning Committee it will consist of an inspection of the
site (and adjoining sites and buildings as necessary) with the assistance of Officers. The
purpose of the site visit is to assess the site and surroundings in the context of the
development proposals under consideration, relevant development plan policies and
proposals, and identified material considerations. It does not form part of the formal
Planning Committee meeting.
12.7
Site visits conducted by the Planning Committee will normally be unaccompanied (by third
parties). As such there is no obligation on the Council to notify the applicant or objectors
of the arrangements for a site visit. However it may be necessary to contact the applicant
and/or landowner of the site and/or adjacent sites to gain permission to access private
property. Before Members enter the site(s) or building(s) Officers will explain to any
applicants, objectors, or supporters in attendance the procedure for the conduct of the
60
visit. Officers will then explain to Members the issues relating to the Planning Committee
item pointing out any site related matters as necessary. Members will be encouraged to
ask Officers questions of fact.
12.8
Under no circumstances are Members of the Committee or Officers to enter into any
discussions with Ward Members, applicants, supporters or objectors on the site visit
regarding the merits or demerits of the proposal. During the site visit Members and
Officers should avoid comments that could be interpreted as deliberations on the proposal
itself, restricting themselves to questions of clarification or observations of fact. If, in the
opinion of the Chair of the Planning Committee, the conduct of Members, Officers or
third parties is of such a nature as to be potentially in conflict with any of these
requirements, or the safety of the Members or Officers is in question, he/she will
immediately suspend the site visit. If the Chair of the Planning Committee does suspend a
site visit the application will be determined by a subsequent Planning Committee without
further recourse to a site visit (even if a further request is made by a Member).
12.9
Ward Members will be notified and may be present at a site visit but this is only to
accompany the Planning Committee members, it is not an opportunity for the Ward
Members to put forward any case for or against the proposal. The Ward Member is only
present to assist with any clarification that may be required in connection with local area
issues and to hear the explanation given by the Officer.
12.10 The purpose of Planning Committee site visits is:
•
For Members of the Planning Committee to familiarise themselves with the site and its
surroundings and the location of relevant parts of the proposal.
•
For Officer(s) to provide factual information to Members regarding the site and the
proposed development.
•
For the applicant or their agent to be present on the site, either to enable access or to
ensure health and safety procedures are followed.
•
At the Chair’s discretion, to visit third party premises.
•
To seek clarification on details of the planning application from officers, through the
Chair.
12.11 All site visits will commence with the Chair of the Planning Committee making a statement
to all in attendance regarding site visit procedures. The statement is as follows:
“May I remind Members of the Planning Committee that the purpose of this site visit is
solely to view the site and seek clarification on the planning application from officers.
Planning Committee Members cannot engage in a debate or answer questions about the
development. Members cannot discuss the merits or otherwise of the proposal with
developers, ward councillors or local residents.”
12.12 The Chair of the Planning Committee is able to suspend a site visit at any time if they are
not conducted in an appropriate manner or where there are health and safety issues.
61
12.13 A record that a Planning Committee site visit has taken place should be made through a
Planning Committee minute.
13.0 DECISIONS CONTRARY TO THE DEVELOPMENT PLAN
13.1
The general principle in planning is that where the Development Plan is up to date and
relevant, planning applications should be determined in accordance with it unless material
considerations indicate otherwise.
13.2
All applications must be assessed in accordance with Section 38(6) of the Planning and
Compensation Act 2004 and Section 70 of the Town and Country Planning Act 1990 as
amended by Section 143 of the Localism Act 2011.
14.0 DECISIONS CONTRARY TO OFFICER RECOMMENDATION
14.1
Department of Communities and Local Government Circular 03/09 advises that the most
common cause for costs being awarded against a Local Planning Authority is where there
are unsubstantiated reasons for refusal. However, the circular recognises that planning can
often involve judgements concerning the character and appearance of a local area and the
precise interpretation and application of development plan policy requirements. As such
the circular states:
“Planning Authorities are not bound to accept the recommendations of their officers.
However, if officers’ professional and technical advice is not followed, authorities will need
to show reasonable planning grounds for taking a contrary decision and produce relevant
evidence on appeal to support the decision in all respects. If they fail to do so costs may
be awarded against the authority”. (DCLG Circular 03/09, paragraph B20, April 2009).
14.2
Planning applications can also give rise to local controversy and sustained opposition,
leading to Members being actively lobbied (see Section 7). However local opposition or
support for a proposal is not, in itself, a ground for refusing or granting planning
permission, unless it is founded upon valid planning reasons. Planning authorities will be at
risk of costs for unsubstantiated reasons for refusal that rely almost exclusively on local
opposition for their justification.
14.3
Once the Planning Committee agenda has been published any member may seek advice
from Planning Officers, irrespective of the recommendation made on any particular
planning application, and discuss what options there are with the Assistant Director for
Planning or the Head of Development Management.
14.4
If a decision is to be made contrary to the Assistant Director for Planning
recommendation, then the Members proposing, seconding or supporting a contrary
decision must agree the planning reasons leading to this decision and must also give
Officers an opportunity to explain the implications of such decision prior to the vote. The
reasons for the decision must be given prior to the vote and shall be minuted.
62
14.5
14.6
In the event that the Planning Committee is minded to grant an application contrary to
Officers recommendation then they MUST provide:
(i)
Full conditions and relevant informatives;
(ii)
Full statement of reasons for approval (as defined in Town & Country Planning
(General Development Procedure) (England) (Amendment) Order 2003);
(iii)
Relevant Local Plan and Local Development Framework policies and proposals.
Where a Member of the Planning Committee moves a motion to refuse an application
contrary to the Officers’ recommendation then the Member moving the motion MUST
provide:
(i)
Full reasons for refusal, which must include a statement as to demonstrable harm
caused and a list of the relevant plan and policies which the application is in
conflict with;
(ii)
Statement of other policies relevant to the decision.
14.7
In the event of a Member motion to refuse, which is seconded, the Chair will if necessary
adjourn the meeting for a few minutes to allow Officers to advise of any other relevant
planning issues to assist them with their reasons. Vague, generalised or inaccurate
assertions about a proposals’ impact, which are unsupported by an objective analysis, are
more likely to result in a costs award.
14.8
If the Member moving the motion does not meet the requirements of (i) and (ii) above the
motion shall be not be deemed to have been properly made.
14.9
If, in the opinion of the Assistant Director for Planning the possible decision of the Planning
Committee to refuse planning permission would carry a high risk of an award of costs
against the Local Planning Authority, s/he shall formally ask the Planning Committee to
defer a decision and this advice will be formally minuted. The purpose of the deferral shall
be to provide time for a full consideration by Officers of the Planning Committee’s
concerns about the application, such that Officers may advise of grounds of refusal, should
the Planning Committee remain minded to refuse the application. In making an assessment
about the level of risk of a cost award, the Assistant Director for Planning shall have regard
to:
•
•
•
The application’s level of compliance with the Local Development Framework and
other adopted policies;
The robustness of the evidence that can be cited to support a refusal of planning
permission;
All other material considerations.
63
14.10 Any decision made during the Planning Committee forms the full and final decision of the
Council (subject to agreed matters for deferral and final ratification) and it is therefore
essential that both Members and Officers carefully follow the above procedure in order to
provide a legally binding decision.
15.0 APPEALS AND INQUIRIES
15.1
In the event that planning permission is refused either under delegated powers conferred
on the Assistant Director for Planning or by the Planning Committee, an applicant may
exercise his/her right of appeal. Officers are responsible for preparing the Council’s
evidence for these appeals, and the vast majority of these are dealt with by written
representations involving an exchange of statements. On occasions specialist Counsel and
consultant support is needed to supplement the evidence of Officers.
15.2
In the case of an applicant exercising his/her right to an informal hearing or a Public Inquiry
Officers will be responsible for presenting the Council’s evidence and attending to present
that evidence. Members are at liberty to attend in their capacity as Ward Members and
may be called to give evidence as a Ward Member. Members of the Planning Committee
will not normally be required to attend to present the Council’s case.
15.3
In the case where the Planning Committee has refused planning permission contrary to
Officer’s recommendations Officers will normally prepare and present the evidence in
their role as employee of the Local Planning Authority. It will be for the Assistant
Director for Planning to identify the officers to prepare and present the evidence.
15.4
It should not be necessary for Members of the Planning Committee to become involved in
preparing and presenting the case at appeal on an overturn decision, because the reasons
for refusal and statements on relevant policies put forward by the Members in reaching
their decision should be sufficient to defend the case. However, there may be some
situations where in an inquiry a Member involvement as a relevant witness is necessary in
order to provide a full and accurate case. In circumstances where the Assistant Director
for Planning considers this to be the case the Member will be expected to attend any
Informal Hearing or Public Inquiry in support of the Council’s case.
15.5
In exceptional circumstances the Assistant Director for Planning may not be able to
prepare the Council’s evidence to the hearing or inquiry because the Officer’s earlier
recommendation on the grounds of refusal is so prejudiced by the earlier advice given. In
these circumstances a nominated Member of the Planning Committee together with an
externally appointed consultant will need to present the Council’s evidence.
16.0 QUALITY OF SERVICE
16.1
The responsibility to provide a quality service is shared by both Officers and Members.
Unnecessary delay at any point in the process of determining an application can result in
64
customer commitments not being met. It can also mean costly delays and can damage the
reputation of Plymouth City Council, the Planning Committee itself and its individual
Members and Officers. This could have wider implications for the regeneration of
Plymouth in terms of how investors, and indeed local people, perceive the city.
16.2
Therefore, when making decisions Members and Officers need to ensure primarily that a
fair and reasonable planning decision is made, but that in so doing account must also be
taken of customer commitments.
17.0 MONITORING AND REVIEW OF DECISIONS
17.1
Members should also play an active part in regularly reviewing the outcome of planning
decisions so that lessons can be learned and the future consideration and determination of
planning application proposals can be improved as part of a broader commitment to
continuous improvement.
17.2
Every year the Planning Committee will undertake an Annual Site Visit to review
completed projects and look at key regeneration sites that form part of the Local
Development Framework. There may also be the need for review site visits during the
determination stage of planning applications.
17.3
Members should assist in the preparation of the Local Development Framework/Local
Plans by engaging in key consultation stages and discussing with Officers the application of
key policies. The Chair of Planning Committee will also meet regularly with the relevant
Portfolio Holder to discuss the interrelationships between policy development and policy
application.
17.4
Members should therefore ensure that they are available for review visits as and when
necessary throughout the year and for a whole day of visits for the Annual Site Visit.
18.0 TRAINING
18.1
No Member may sit at a Planning Committee meeting without first having received
appropriate mandatory training as set out in paragraph 18.2. This training will expire if the
Member has not sat on the Planning Committee within 12 months of receiving the training,
or has had a gap of at least 6 months from the Planning Committee. Where the training
has expired the Member may not sit on the Planning Committee until they have received
the mandatory training.
18.2
Given the complex legislative framework for determining planning applications and the
constant reforms and changes to procedure within the planning system, the Assistant
Director for Planning will provide a Planning Committee Training Programme comprising
regular sessions covering:
65
•
An annual Planning Committee training session that will provide an overview of the key
role of planning in the city and the role of Members in the planning process. This
training will normally be held once the annual list of Planning Committee members are
known and should be attended by both new and existing Members. Training will be
undertaken by appropriate Legal and Planning Officers. If Members join Planning
Committee after this training or act as a substitute for a Planning Committee Member,
they will receive separate training.
•
Training Workshops on new Council and Central Government policy and legislation or
other Planning issues that either Members request or Officers recommend.
•
Annual Site Visit.
18.3
The above training will usually be open to all Members of the Council to enable them to
have a better understanding of planning issues in their role as Ward Councillors.
18.4
Members will be expected to make themselves available to attend these training sessions in
order to keep up to date on the latest planning and development issues. It will be the
responsibility of each individual Member to ensure that they have had at least the annual
training in order to be able to sit at a Planning Committee meeting. The Assistant
Director for Planning will maintain a register of Member training. Training will be provided
using a range of training methods.
19.0 COMPLAINTS
19.1
A complaint that a Member or Officer has breached this code should be made in writing to
the Head of Legal Services and would be referred to the Monitoring Officer for
investigation and determination.
19.2
A complaint made in writing regarding the determination of a planning application or a
related planning matter would be investigated by the Assistant Director for Planning and/or
an appropriate officer of the Planning Department in accordance with the Council’s
complaints procedure.
19.3
A complaint may be made to the Local Government Ombudsman in the event that a
complainant was not satisfied with the result of an investigation under the Council’s
complaints procedure. This must be made on the appropriate prescribed form and
submitted direct to the Local Government Ombudsman.
Paul Barnard, Assistant Director for Planning
Peter Ford, Head of Development Management
Julie Rundle, Senior Lawyer
66
67
Appendix 3: List of Delegated duties
Planning and Related Applications













The determination of all planning and related applications in accordance with in accordance
with the conditions specified in paragraph 6.2 of the Chapter 6 of the Constitution
The determination of prior approval applications in accordance with paragraph 6.3 of Chapter 6
of the constitution
The issue of all decision notices including reasons for refusal and imposition of conditions in
respect of Planning, listed building, tree preservation orders, advertisement applications
application, trees in conservation area notification, hedgerow notifications,
Initiating consultations on planning applications
Initiating publicity for planning applications
To determine the conditions to be imposed on any grant of Planning permission or similar
consent, and whether a Planning Obligation pursuant to Section 106 of the Town & Country
Planning Act 1990 is required and to authorise the Head of Legal Services to secure such an
Obligation
To formulate conditions and reasons for refusal, the substance of which has been determined by
Development Committee
To determine applications made under Section 191 or 192 of the Town and Country Planning Act
1990 (as amended), after consultation with the Head of Legal Service
Approval of details required to be submitted by condition and discharge of conditions
The determination of ‘permitted development’ proposals affecting SPA and SAC sites.
To make representations in relation to Government consultations and to other Authorities
concerning planning application within that Authority’s area
To comment upon development proposals made by Norfolk County Council and other public
bodies, unless such an application is considered by the Head of Planning (after consultation with
Chairman and/or Vice Chairman of Development Committee) to be of such district wide
significance or so contentious that it should in the public interest be referred to Development
Committee
To make representations including the submission of cost claims (and responses to such claims
made against the Council) to the Secretary of State in respect of all Planning and enforcement
appeals conducted by exchange of written representation and by a hearing, including those
under the provisions of the Town and Country Planning (Appeals)(Written Representation
Procedure)(England)Regulations 2000, the Town and Country Planning (Hearings
Procedure)(England) Rules 2000 and other relevant legislation/regulations (for appeals against
the refusal of permission, or conditions and against enforcement notice.
68



To give evidence including the submission of cost claims (and responses to such claims made
against the Council) at all Planning and enforcement enquiries, including those conducted under
the provision of the Town and Country Planning (Inquiries Procedure) (England) Rules 2000 and
the Town and Country (Determination by Inspectors)(Inquiries Procedure)(England) Rules 2000
(appeals against the refusal of permission or conditions or in respect of applications called in by
the Secretary of State) and the Town and Country Planning (Enforcement)(Inquiries Procedure)
Rules 1992 (appeals against enforcement notices).
To require the submission of an Environmental Assessment under Regulation 9 of the Town and
Country Planning (Assessment of Environmental Effects) Regulations 1999
To give and adopt such notices and opinions and to take such action as may be necessary to
ensure compliance with the Town and Country Planning (Environment Impact
Assessment)(England and Wales)(Regulations 1999.
Enforcement

The serving of Enforcement Notices in accordance with applications in accordance with
paragraph 6.4 of Chapter 6 of the constitution
With regard to the enforcement of the Planning Legislation the Head of Planning is authorised to
undertake the following










To authorise entry to land in accordance with enforcement function in relation to Town and
County Planning (and related matters)
To serve Planning Contravention Notices
To serve Requisition for Information Notices
To determine the termination of investigative action in case where it is not expedient
/appropriate to pursue enforcement action
To serve Breach of Condition Notices
To serve Notices under S215 in respect of Untidy Land
Once enforcement action authorised (6.4(a) – this includes
Prosecution in relation to extant notices
Conduct of Time and Place meetings
The service of Temporary Stop Notices and Stop Notice, Building Preservation Notice provided
such action is reported to the Chairman and/or Vice Chairman and Local Member(s) at the
earliest opportunity.
Miscellaneous



Providing observations on Good Vehicle Operators Licenses
Providing observations to exempt organisations re paras 4,5 and 6 of Schedule to the Caravan
Sites and Control of Development Act 1960
Making of Orders in connection with Public Rights of
69
Trees and Hedgerows








Authority to make a Tree Preservation Order
Authority to send Section 3 letter to recipients of Tree Preservation officers
In cases where no objections are received, to confirm or revoke a Tree Preservation Order
Publicity, consultation and determinations involving works to trees protected by Tree
Preservation Orders, trees in Conservation Areas, and trees the subject of planning permission.
Publicity, consultation and determinations involving work under the Hedgerow Regulations,
excluding the signing or rescission of a Hedgerow Retention Notice.
Signing or rescission of Hedgerow Retention Notices
Comments on Felling Licence applications
Comments on consultations including those from Highway Authority re biodiversity, nature
conservation and landscape related matters
Historic buildings and Conservation



Initiating publicity and consultations on matter including Conservation Area, Listed Buildings and
historic heritage and design proposals.
Determination of listed buildings and other historic grants
Serving of listed building repair notices
It should be noted that this list is not exhaustive, but is aimed to cover the main list of activities
undertaken by the Council as Local planning Authority.
70
Appendix 4 PLANNING – Legislation for Authorisations
Act
Town & Country Planning Act 1990
Town & Country Planning Act 1990
Part
Part 3
Part 7
Section
S62-81
Section 191 or 192
Town & Country Planning Act 1990
Town & Country Planning (Control of
Advertisement Regulations 1992 (as
amended)
Planning (Listed Building and Conservation
Areas) Act 1990
Town & Country Planning Act 1990
Part3
Part 3
Section 106
Section 9-19
Purpose
Determination of applications
Certificate if lawfulness of existing use or development /
Certificate of proposed use or development
Legal Agreements/Unilaterals
Determination of advert applications
Part 1
S17-22
Listed Buildings applications
Part 8
S198 -202
Town & Country Planning Act 1990
Planning (Hazardous Substances) Act 1990
Anti-Social Behaviour Action 2003
Part 8
All
Part 8
Section 211
S4-19
S74
Tree Preservation Orders – making of orders and dealing
with applications
Felling of trees within Conservation Areas
Hazardous substance applications
Serve high hedge enforcement notices
Enter land
Prepare case where appeal lodged
Determine a complaint and to issue a decision
Part 7
S196A-C
Entry to land – general powers
Part 15
S324
Entry to land – CPO/development plan
Part 3
S88
Entry to land-Listed buildings
All
Part 5
Part 8
S36
S97
S214B-D
Entry to land – hazardous substances
Hedgerow regulations power to entry
TPO entry powers
Part 7
Part 7
S187A
S171C
Issue and serve Breach of Condition Notice
Serve Planning Contravention Notices
Power of Entry
Town & Country Planning Act 1990 (as
amended)
Town & Country Planning Act 1990 (as
amended)
Planning (Listed Building and Conservation
Areas) Act 1990
Hazardous Substances Act 1990
Environment Act 1995
Town & Country Planning Act 1990
Enforcement
Town & Country Planning Act 1990
Town & Country Planning Act 1990 (as
amended)
71
Town & Country Planning Act 1990
Local Government (Miscellaneous
Provisions) Act 1976
Town & Country Planning Act 1990 (as
amended)
Town & Country Planning Act 1990 (as
amended)
Planning (Listed Building and Conservation
Areas) Act 1990
Planning (Listed Building and Conservation
Areas) Act 1990
Planning (Listed Building and Conservation
Areas) Act 1990
Town & Country Planning Act 1990 (as
amended)
Town & Country Planning Act 1990 (as
amended)
Direct Action
Town & Country Planning Act 1990 (as
amended
Town & Country Planning Act 1990 (as
amended
Town & Country Planning Act 1990 (as
amended
Planning (Listed Building and Conservation
Areas) Act 1990
Planning (Listed Building and Conservation
Areas) Act 1990
Other regulations
Town & Country Planning General
Regulations 1992 (as amended)
Planning (Hazardous Substances)
Regulations 1992 as amended by the
planning (Control of Major Accident
Part 15
S330
S16
Requisition of Information
Requisition of Information
Part 7
S172
Serve enforcement notices
Part 8
S215
Untidy site notices
Part 1
S38
Listed building Enforcement Notice
Part 1
S54
Urgent works (unoccupied LB)
Part 1
S48
Repairs notice
Part 7
S183-184
Stop Notices
Part 7
S171E
Temporary Stop Notices
Part 7
S178
Execution and cost of works required by Enforcement Notice
Part 8
S219
Direct action and recovery of cost relating to S215 Notice
Part 8
TPO/Conservation orders and replacement trees
Part 1
S207
S209
S3
Part 4
S42
Execution and cost of works required by Enforcement Notice
All
Reg 3 or 4
Development by County council
Building Preservation Notice
All
Hazardous substance applications
72
Hazards) Regulation 1999
Town & Country Planning (General
Permitted Development (England) Order
1995 as amended Hedgerow Regulations 1997
Hedgerow Regulations 1997
Appeals
Town & Country Planning
(Appeals)(Written Representation
Procedure) (England) Regulations 2000
Town & Country Planning (Hearing
Procedure) (England) Regulations 2000
Town & Country Planning (Inquiries
Procedure) (England) Regulations 2000
Town & Country Planning (Enforcement
Notices and Appeals)(England) Regulations
2002
Environmental Assessment
Town and Country Planning (Environmental
Impact Assessment) Regulations 2011
All
Prior approval process
Interpretation of pd rights
All
Regulation 8
Hedgerow regulations – dealing with application
Replacing notice under the hedgerow Regs
All
Preparation appeals
All
Represent the Council at Hearings
All
Represent the Council at Public Inquiries
All
Appeals against enforcement notices
Part 3 and Part
4
Submission, scoping and screening opinions
73
Appendix 5 – Amended 15 February 2015
Delegation
Chapter 6 of The Constitution, Section 6 paragraphs 6.2-6.4
Current wording
6.2 Determination of Planning and Listed Building
Applications
Reserved to: Development Committee
Default Delegation to: Head of Planning
Conditions:
Proposed Changes
Add to undertake all statutory functions of the Council
acting as Local Planning Authority including to
Determine all planning and listed building applications and
related matters (exclude reference to enforcement matters)
tree and hedgerow matters
(a) All Members to be notified weekly of all applications
received in the last seven days
(b) No request for the application to be considered by
Committee has been received from a Member within 14
days of notification and
(c) No written representations with which the local District
Councillor (or either one of them in two-Member wards)
agrees, have been received from a Town or Parish Council
which conflict with the intended determination and
(d) No other written representations have been received
which conflict with the intended determination and which, in
the view of the Head of Planning, contain unresolved
objections or comments which are material considerations
in planning terms.
(e) Where the proposed decision to be taken is against the
advice of a technical consultee then the Head of Planning
should ensure that there are sound planning reasons for the
decision and that these are properly recorded. The Local
Member(s), Planning Portfolio Holder and the
Remains unaltered
Remains unaltered
Remains unaltered
Remains unaltered
Remains unaltered
74
Development Committee Chairman should be consulted.
(f) In relation to any delegated powers, the condition of
consulting a Member does not need to be observed where
that member is unable to respond due to a conflict. In such
circumstances the Head of Planning may consult with the
Chairman of the Development Committee
Notes:
Remains unaltered
Remains unaltered
(1) When the intended course of delegated action is to refuse an
application in accordance with policy and representations are
received from third parties, to the effect that they do not object,
then a delegated refusal may still be issued
(2) When the intended course of delegated action is to refuse an
application in accordance with policy and representations are
received from third parties, to the effect that they object on other
grounds which, in the view of the Head of Planning, are
incapable of substantiation on appeal, then a delegated refusal
on the originally recommended basis may still be issued.
(3) The requirement to refer to Committee shall not apply where
the intended course of delegated action is to approve an
application in accordance with this scheme of delegation, and
where objections have been received with which the local District
Councillor(s) disagree(s) OR where the intended course of action
is to refuse an application in accordance with this scheme of
delegation where a letter or letters of support have been received
with which the local District Councillor(s) disagree
Remains unaltered
Remains unaltered (Local Member Protocol)
Definition of Solar Farm added.
4) Applications submitted by or on behalf of the District
Council and applications for wind turbines and solar farms
may be determined under delegated powers with the
agreement of the local District Councillor(s) and the
Chairman or Vice-Chairman of the Development Committee
6.3 Responses to prior notification/approval under the
provisions of the Town and Country Planning (General
Permitted Development) Order 1995, involving
agricultural buildings and operators (Part 6),
development by telecommunications code system
To give notice in respect of all prior approval applications
made under the Town and Country Planning (General
Permitted Development)(Amendment)(England) Order 2013
and any subsequent amendments and to grant or refuse
prior approval on behalf of the Local Planning Authority in
75
operators (Part 24) and demolition of buildings (Part 31) cases where the developer has been given notice that such
Conditional Delegation to: Head of Planning
prior approval is required.
Conditions:
(a) Where any representation is received from a Town or
Parish Council within seven days of the date of consultation
which conflicts with the intended course of action, the Head
of Planning should consult with the Chairman of the
Development Committee and the local Member
(b) Any additional or amended plans submitted under these
procedures should be sent to the relevant Town or Parish
Council for information purposes
6.4 Commencement of enforcement proceedings under
Development Control legislation
Conditional Delegation to: Head of Planning
Conditions
Remains unaltered
Remains unaltered
Note for clarification purposes: This relates to the service of
Enforcement Notices. Once authorised by Chairman or Vice
Chairman and Local Members this includes prosecution
against extant notices, but excludes Direct Action, that
needs to be authorised by Development Committee
Remains unaltered
a) Subject to consultation with Chairman of the
Development Committee or the Vice-Chairman and with the
Local Member(s) and to
(b) Subsequent notification of all members
Delete – as information is already provided - outstanding
enforcement cases reported to Development Committee on
quarterly basis
Delete note.
Note: Planning Contravention Notices and the conduct of
“Time and Place” Meetings are not caught by this
conditional delegation. These functions are
fully delegated to both the Head of Planning and Legal
Services
Note for Clarification
The Acts of Parliament and Regulations listed in this
document are current as at the date of publication (or
adoption?) but shall also include any subsequent Acts
76
and/or Regulations which replace or modify those listed
above
77