(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 RISKNot applicable
SOURCE OF FUNDINGCorporate Services Directorate
LEGAL ADVICE OBTAINED Alan R. Eastwood, Head of Law & Administration
FINANCIAL ADVICE OBTAINEDAlan 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 POLICIESAll
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.
(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.
SUMMARY OF MONITORING OFFICER FUNCTIONS
Description / Source1. / 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.
SUMMARY OF S151 OFFICER FUNCTIONS
Description / Source1. / 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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