PART 1
(OPEN TO THE PUBLIC)
ITEM NO.
REPORT OF THE MONITORING OFFICER AND THE SECTION 151 OFFICER
TO CABINET MEETING
ON 30th OCTOBER, 2002
TITLE :
MONITORING OFFICER AND THE SECTION 151 OFFICERS'
NEW ROLE AND PROTOCOL
RECOMMENDATIONS :
THAT Members agree and understand the role and responsibilities of the Monitoring Officer
and Section 151 Officer and agree to the arrangements, as set out in paragraph 2(a) - (q).
EXECUTIVE SUMMARY :
To explain to Members the new role of the Monitoring Officer as a result of the Local
Government Act 2000, and the Section 151 Officer under the Local Government Act 1972.
Also, to provide Members with an understanding of the responsibility of these officers and to
ensure that they agree to the recommendation as being in the best interests of the City
Council in support of the new executive structures.
BACKGROUND DOCUMENTS :
(Available for public inspection)
None
ASSESSMENT OF RISK
Not applicable
SOURCE OF FUNDING
Corporate Services Directorate
LEGAL ADVICE OBTAINED
Alan R. Eastwood, Head of Law & Administration
FINANCIAL ADVICE OBTAINED
Alan Westwood, Director of Corporate Services
CONTACT OFFICER :
Alan R. Eastwood, Head of Law & Administration
(Tel: No: (0161) 793 3000)
WARD(S) TO WHICH REPORT RELATE(S)
All
KEY COUNCIL POLICIES
All
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DETAILS
Section 151 of the Local Government Act 1972 and the Local Government and Housing Act
1989 introduced the statutory offices of Chief Finance Officer and Monitoring Officer. As
Members will be aware, the Government has now established a strong, external regime for
dealing with serious misconduct, and has substantially enhanced the role of Monitoring
Officers, giving them a key role in supporting the Standards Committee and Standards
Board.
The Monitoring Officer has a key role in liaising with the Standards Board and working
alongside any Ethical Standards Officer appointed to investigate any breaches of the
National Code of Conduct. The Section 151 Officer and the Monitoring Officer owe a
personal duty to the Council as a whole in carrying out their statutory functions, which cannot
be discharged through an intervening officer or committee. As with all functions of the
Council, the exercise of the Section 151 Officer and Monitoring Officers' functions are
susceptible to judicial review.
The Deputy Monitoring Officer is the Assistant Director (Legal) - Mr. Ian Sheard - who will act
in the absence or illness of the Monitoring Officer.
Primary Duties and Responsibilities of Section 151 Officer and Monitoring Officer
1.
The Monitoring Officer and the S151 Officer undertake to discharge their
responsibilities outlined in this paper with determination and a manner which will
enhance the reputation of the Council. In general terms their ability to discharge
these duties depends on excellent working relations with colleagues and members
but also the flow of information and access to debate particularly at early stages.
2.
The following arrangements and understandings between the Monitoring Officer,
S151 Officer and colleagues and members are designed to help ensure the
effective discharge of their functions:
(a)
As the Monitoring Officer is not a member of the Chief Officer's
Management Teams, the Monitoring Officer will have advance notice of
those meetings and agenda and reports and the right to attend and speak.
(The S151 Officer is a Member).
(b)
Advance notice of meetings whether formal or informal between Chief
Officers and members of the Executive or Committee Chairmen will be
given to the Monitoring Officer where any procedural, vires or other
constitutional issues are likely to arise and to the S151 Officer where any
issue as to the administration of financial affairs arises.
(c)
Chief Officers will alert the Monitoring Officer to all emerging issues of
concern including legality, probity, vires and constitutional issues and the
S151 Officer to any emerging issues concerning the financial affairs of the
Authority.
(d)
The Monitoring Officer and S151 Officer or their staff will have copies of all
reports to members.
(e)
The Monitoring Officer is expected to develop good liaison and working
relations with the Standards Board, the District Auditor, the S151 Officer
and the
Ombudsman including the giving and receiving of relevant information
whether confidential or otherwise.
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(f)
The S151 Officer is expected to develop good liaison and working relations
with the District Auditor, the Monitoring Officer, the Head of Paid Service
and the Head of Finance, including the giving and receiving of relevant
information whether confidential or otherwise.
(g)
The Monitoring Officer will have a special relationship with the Chairman of
the Council, Chairman of the Standards and Overview and Scrutiny
Committees and will ensure the Head of Paid Service and Chief Financial
Officer have up-to-date information regarding emerging issues.
(h)
The S151 Officer will have a special relationship with the Chairman of the
Council, the Lead Member with responsibility for finance, the Chairman of
Overview and Scrutiny Committees, any Audit Committee, and will ensure
that the Monitoring Officer, the Head of Paid Service and the Head of
Finance have up-to-date information regarding emerging issues.
(i)
The Monitoring Officer will be expected to make enquiries into allegations
of misconduct in the absence of a written complaint being received by the
Standards Board and if appropriate will make a written report to the
Standards Committee unless the Monitoring Officer and Chair of Standards
Committee agree a report is not warranted.
(j)
The Head of Paid Service, Chief Financial Officer and Monitoring Officer
will meet regularly to consider and recommend action in connection with
current governance issues and other matters of concern regarding probity
or administration of finances.
(k)
In carrying out any investigation (whether under Regulations or otherwise)
the Monitoring Officer or S151 Officer will have unqualified access to any
information held by the Council and any employee who can assist in the
discharge of their functions.
(l)
The Monitoring Officer will have control of a budget sufficient to enable him
/ her to seek Counsel's opinion on any matter concerning their functions.
(m)
The Monitoring Officer will be responsible for preparing a training
programme for members on the ethical framework subject to the approval
of the Standards Committee.
(n)
The Monitoring Officer will report to the Council from time to time on the
Constitution and any necessary or desirable changes following consultation
in particular with the Head of Paid Service and Chief Financial Officer.
(o)
In consultation with the Chairman of the Council and Standards Board
the Monitoring Officer may defer the making of a formal report under
Section 5 LGHA 1989 where another investigative body is involved.
(p)
The Monitoring Officer will make a report to the Council from time to time as
necessary on the staff, accommodation and resources he / she requires to
discharge his/her functions.
(q)
The Monitoring Officer or S151 Officer will appoint deputies and keep them
briefed on emerging issues.
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SUMMARY OF MONITORING OFFICER FUNCTIONS
Description
Source
1.
Report on contraventions or likely
contraventions of any enactment or rule
of law.
Section 5 Local Government and
Housing Act 1989.
2.
Report on any maladministration or
injustice where Ombudsman has carried
out an investigation.
Section 5 Local Government and
Housing Act 1989.
3.
Appointment of Deputy.
Section 5 Local Government and
Housing Act 1989.
4.
Report on resources.
Section 5 Local Government and
Housing Act 1989.
5.
Investigate misconduct in compliance with
Regulations (when made) and directions
of Ethical Standards Officers.
Regulations when made. Directions
when made in individual cases. LGA
2000 Section 66(1) + 66(6).
6.
Establish and maintain registers of
Members' interests and gifts and
hospitality.
Section 82 LGA 2000 and draft Model
Code.
7.
Advice to Members on interpretation of
Code.
Model Code and consultation papers.
8.
Key role in promoting and maintaining
high standards of conduct through
support to the Standards Committee.
Statutory Guidance paragraph 8.20.
9.
Liaison with Standards Board and Ethical
Standards Officers.
New ethical framework, practical
implications.
10.
New ethnical framework functions in
relation to Parish Councils.
Section 83(12) : LGA 2000.
11.
Compensation for maladministration.
Section 92 : LGA 2000.
12.
Advice on vires issues, maladministration,
financial impropriety, probity and policy
framework and budget issues to all
Members.
DETR guidance.
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SUMMARY OF S151 OFFICER FUNCTIONS
Description
Source
1.
Proper administration of Local Authority
Financial Affairs
S151 Local Government Act 1972
2.
Report to the Council if the Authority, its
Committees, Members or Officers :
S114 to S116 Local Government
Finance Act 1988, as amended by the
Local Government and Housing Act
1989

has made or is about to make a
decision which has or would result
in unlawful expenditure or
spending exceeds resources in
any financial year

has taken, or is about to take, an
unlawful action which has or
would result in a loss or deficiency
to the Authority; or

is about to make an lawful entry in
the Authority's accounts.
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