Decision Making
Chapter 1: How Decisions are Made
Section 1.1: Principles of Decision-Making
All decisions of the Council will be made in accordance with the following principles: proportionality (i.e. the action must be proportionate to the desired outcome); due consultation and the taking of professional advice from officers; respect for human rights; a presumption in favour of openness; clarity of aims and desired outcomes; take account of all relevant matters; discount irrelevant matters; and explaining what options were considered and giving the reasons for the decision.
Section 1.2: Responsibility for Decision-Making (Executive / Non-Executive)
The Council will issue and keep up to date a record of what part of the Council or individual has responsibility for particular types of decisions or decisions relating to particular areas or functions. This record is set out in Section 12 below.
The form of the Council’s Executive Arrangements is a ‘Mayor and Cabinet’ model as defined in section 9C of the Local Government Act 2000 (as amended). Therefore, decision-making at the Council is split into the following types: ‘Executive’ Including ‘Executive Key Decisions’ ‘Non-Executive’ functions.
Section 1.3: Executive and Non-Executive Examples
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Section 1.4: Executive Decision Making
The Mayor is responsible for Executive decision-making and is therefore responsible for most day to day decisions. The Mayor can take these decisions at Cabinet, in a Cabinet Sub-Committee or the decisions can be delegated to officers.
These decisions must be in line with the Council’s Budget and Policy Framework (XXX Link). If any of these decisions change the Framework then these must be referred to Council.
Section 1.5: Executive Key Decisions Definition
1.A “key decision” is an executive decision which is likely to:A.result in the local authority incurring expenditure or the making of savings of:Savings - Where the proposal is expected to result in savings of above £1 MillionRevenue expenditure - Where the proposal involves revenue expenditure of above £1 MillionCapital expenditure - Where the proposal involves capital expenditure of above £5 MillionORB.be significant in terms of its effects on communities living or working in an area comprising two or more wards or electoral divisions.• In considering whether a decision is likely to have a significant impact, the decision maker is to consider the strategic nature of the decision and whether the outcome will have a significant material impact, for better or worse, on the local amenity or wellbeing (including social and environmental impact) of the community or the quality of service provided to a significant number of people living or working in the locality affected.• When officers consider the impact on the Community they will, for example, consider the effect on specific groups within that Ward (defined by other characteristics such as ‘age’, ‘culture’ etc) where those groups make up a significant proportion of that Ward’s population.• In determining the meaning of “significant” for the purposes of these paragraphs, regard must be had to any guidance for the time being issued by the Secretary of State in accordance with section 9Q of the Local Government Act 2000.In addition to the above, officers will also consider the following guidance when determining if an issue should be treated as a Key Decision:
A decision to approve, update or amend a policy, strategy, plan, scheme (or similar) will only be a key decision if criterions (A) or (B) above would apply to the implementation of the document once approved, updated or amended.
Documents listed in Section 7 under the Budget and Policy Framework, are non-executive decisions reserved to Full Council and therefore cannot be key decisions. However, they are required to be prepared and developed by Cabinet in accordance with the Budget and Policy Framework Procedure Rules at Part D section xxx.
A decision or report in relation to preparation and development of an issue, for example to begin a public consultation exercise, will not normally be a key decision unless criterions (A) or (B) above would also apply to that specific action. Even if the final determination of that issue would result in a Key Decision.
A decision not fulfilling the criteria at (A) or (B) above may follow the same process as a key decision if, in the professional opinion of the Chief Executive or the appropriate Corporate Director, it is a matter of particular political sensitivity.
A decision which is the same or similar to one taken in the past (for example, the approval of a previous iteration of a plan or strategy), and does not fulfil criterions (A) or (B) above, is not a Key Decision even if the comparable previous decision was identified as a Key Decision.
Taking Key DecisionsA decision taker, when making a decision may only take a Key Decision in accordance with the requirements of the Executive Procedure Rules set out in Part F of the Constitution.
When Key Decisions are to be made, notice of these decisions must be published in advance, in so far as they can be anticipated. If these Key Decisions are to be taken at an Executive meeting (for example Cabinet) this will generally be open for the public to attend, except for restricted agenda items which include, for example, personal, commercially sensitive or confidential matters.
The Health and Wellbeing Board is a statutory committee under the provisions of the Health and Social Care Act 2012 but does have certain executive functions and if this Board is making a Key decision then this will be published in advance. The meeting generally is open for the public to attend, except where restricted matters are being discussed in the same way as for other Executive meetings.
Part F, Section xxx provides more detail of Executive Decision Making.
Executive Decision Making by OfficersThe Supplementary Document (Part J) contains the Corporate Scheme of Delegation which must be read in conjunction with the Council-wide Operating Procedures and Directorate Schemes of Delegation also published in the Supplementary Documents Pack (Part J).
These documents set out where Officers have delegated powers to take Executive Decisions. However, the following must always be followed in respect of officer decisions:
Officers may not take Key Decisions unless there has been a specific delegation by the Executive.
Any officer decision resulting in (revenue or capital) expenditure or savings of over £250,000 must only be taken following consultation with the Mayor and must be published on the Council’s website ‘as soon as practicable’ (and following any guidance from the Monitoring Officer) after the decision has been taken.
Non-Executive Decision MakingThe Council has responsibility for all Non-Executive functions and for approving the Budget and Policy Framework. The Council, as a whole, retains responsibility for regulatory functions and has a role in holding the Executive to account. The exception is some licensing functions which are discharged through a statutory licensing committee.
Decision-Making by CouncilCertain decisions, such as the overall Council Budget, Council tax and the policy framework are reserved to Council. Section 7 sets out more details of how Council operates.
Decision-Making by Other Committees and Sub-Committees Established by the CouncilCouncil has established a number of other Committees and Sub-Committees to undertaken specific decision-making functions. Section 10 provides more information about the Council’s Committees.
Non-Executive Decision Making by OfficersSection 12 of this part of the constitution sets out the Council’s Non-Executive Functions and any delegations to officers for those functions. Where decisions have been delegated to officers the following must be followed:
Any officer decision resulting in (revenue or capital) expenditure or savings of over £250,000 must be published on the Council’s website ‘as soon as practicable’ (and following any guidance from the Monitoring Officer) after the decision has been taken.
The Council has established an Overview and Scrutiny Committee whose main responsibility is to review or scrutinise decisions made, or other action taken in connection with the discharge of any functions which are the responsibility of the Executive.
The Overview and Scrutiny Committee, and any Scrutiny Sub-Committees it appoints, will follow the Overview and Scrutiny Procedure Rules and relevant parts of the Council Procedure Rules set out in Part D Section xxx of this Constitution which apply to them when considering any matter.
Part G Section xxx also sets out a summary about the Overview and Scrutiny Committee.
Decision-Making by Council Bodies Acting as TribunalsThe Council, any Members, Committee, Sub-Committee, Panel or an officer acting as a tribunal, or in a quasi-judicial manner, or determining/considering (other than for the purposes of giving advice) the civil rights and obligations or the criminal responsibility of any person, will follow a proper procedure which accords with the requirements of natural justice and the right to a fair trial contained in Article 6 of the European Convention on Human Rights.