Officers
Chapter 57: Functions of the Chief Executive, Monitoring Officer, Chief Finance Officer and Corporate Directors
Section 57.1: The Chief Executive
The Chief Executive is appointed as Head of Paid Service under s 4 of the Local Government and Housing Act 1989 to carry out the Council’s statutory obligations to report to the Council as appropriate with regard to the way in which the overall discharge by the Council of its different functions is co-ordinated, the number and grades of staff required for the discharge of these functions, the way in which these people are organised and managed, and the way in which they are appointed under that Act. This post is responsible for the corporate and overall strategic management of the Council as a whole and is responsible for establishing a framework for management direction, style and standards and for monitoring the performance of the Council. Its overriding responsibility is to the Council and not to the Mayor, any party-political group, or other grouping of Members. It must report to and provide information for the Executive, the full Council, the Overview and Scrutiny Committee and other Committees. The Political neutrality of the office holder must be respected at all times.
(a)Working with the Mayor.The Chief Executive works closely with the Mayor to assist in the development of the Mayor’s strategic policy and to ensure that such is then put into practice and, in that regard, will:
(i) Strategic direction.Ensure that the Mayor and Council’s priorities and goals can be implemented in a timely, efficient and innovative way through focused strategies, projects and programmes.
(ii) Policy advice.Act as the principal policy adviser to the Mayor and Members and will secure the best professional advice on all relevant matters in respect of the Council’s functions and services.
(iii) Partnerships (internal).Develop a professional partnership with the Mayor and Members to ensure that the Council’s vision, goals and core values are made reality and to provide a clear sense of direction, optimism and purpose and marshal the resources of the whole organisation to this end.
(iv) Partnerships (external).Assist the Mayor in partnership working by taking the lead in developing effective partnerships at management level with other public agencies, private companies and local community organisations to achieve better public services and improved results for local people.
(b) Emergency or Extreme Urgency
(i) The Chief Executive may exercise any executive function in cases of emergency or extreme urgency whether or not reserved to the Mayor and following the exercise of such power will provide a written report to the Mayor setting out the decision taken and the reason for it including the reasons for emergency or extreme urgency.
(ii) The Chief Executive may exercise any non-executive function in cases of emergency or extreme urgency whether or not reserved to the Council and following the exercise of such power will provide a written report to the Council setting out the decision taken and the reasons for it, including the reasons for emergency or extreme urgency.
(c) Ensuring overall correctness of decision making
The Chief Executive is also responsible for ensuring that all decisions made by the Mayor and the reasons for them are made public and will ensure that Council Members are aware of decisions made by the Mayor and of those made by officers who have delegated executive responsibility.
If the Chief Executive considers that any proposal, decision or omission raises a significant concern it must be reported in writing to the Mayor in relation to an executive function or to the Council in relation to a non-executive function. Such a report will have the effect of immediately stopping the proposal or decision being implemented until the report has been considered. The report must be considered within 21 days at a meeting of either Council or the Mayor/Mayor in Cabinet as appropriate.
As soon as practicable after either the Council or the Mayor/Mayor in Cabinet has considered this report, it shall prepare and publish a report that will include;
(i) what action it has taken in response to the report
(ii) what action it proposes to take in response to the report and when it proposes to take that action;
(iii) the reasons for taking that action, or the reason for not taking any action.
The exercise of this function needs to be considered in conjunction with the Monitoring Officer ensuring lawfulness and fairness of decision making and the Chief Finance Officer to ensure lawfulness and financial prudence of decision-making.
(d)Management Structure.The Chief Executive will determine and publicise a description of the overall structure of the Council showing the management structure and deployment of officers.
(e)Restrictions on functions. The Head of Paid Service may not be the Monitoring Officer, but may hold the post of Chief Finance Officer if a qualified accountant.
Section 57.2: Deputy Chief Executive
Should the Chief Executive be unavailable for any reason, their designated Deputy Chief Executive may undertake any function and/or take any decision which is the responsibility of the Chief Executive.
Note – the role of Returning Officer is designated to the Chief Executive personally and not to the post and so these responsibilities cannot be delegated to the Deputy Chief Executive.
Section 57.3: Functions of the Monitoring Officer and Director of Legal
The Director of Legal is appointed under the provisions of s 5 of the Local Government and Housing Act 1989 to be the Council’s Monitoring Officer and to carry out the Council’s statutory functions under that Act in respect of matters of legality, conduct, and probity. The Monitoring Officer may not be the Head of Paid Service or the Chief Finance Officer, but will liaise as appropriate with the Head of Paid Service in the discharge of their functions.
The Monitoring Officer is a member of the Corporate Leadership Team with a direct reporting line to the Chief Executive.
(a)Maintaining and monitoring the Constitution.The Monitoring Officer will maintain an up-to-date version of the Constitution and will ensure that each Member of the authority has access to a copy of this Constitution upon delivery of that individual’s declaration of acceptance of office on the Member first being elected to the Council. The Monitoring Officer will ensure that the Constitution is published on the Council’s website and that the Constitution can be purchased by members of the local press and the public on payment of a reasonable fee.
The Monitoring Officer will monitor and review the operation of the Constitution and may make recommendations to ensure that the aims and principles of the Constitution are given full effect. A key role is to be aware of the strengths and weaknesses of the Constitution and to make recommendations for ways in which it could be amended in order better to achieve the purpose of the Constitution. In undertaking this role the Monitoring Officer may:i. Observe meetings of different parts of the Member and officer structure.ii. Undertake an audit trail of a sample of decisions.iii. Record and analyse issues raised with them by Members, officers, the public and other relevant stakeholders.iv. Compare practices in this authority with those in other comparable authorities or national examples of best practice.
Section 57.4: Changes to the Constitution.
The Monitoring Officer• Can approve all non-material changes to the Constitution including those that reflect decisions taken by the Council or changes in legislation or to correct matters of fact; and• Can recommend to General Purposes Committee and /or Council for approval material changes to the Constitution.(Note that the Supplementary Documents Pack sets out its own delegated authorities to change Sections within that part of the document.)
Section 57.5: Interpreting the Constitution.
The Monitoring Officer will advise as to the construction or application of the Constitution.
Section 57.6: Ensuring lawfulness and fairness of decision making.
If the Monitoring Officer considers that any proposal, decision or omission would give rise to unlawfulness; or if any decision or omission has given rise to maladministration, , after consulting with the Head of the Paid Service and Chief Finance Officer, they will report in writing to the Mayor in relation to an executive function or to Council in relation to a non-executive function. Such a report will have the effect of immediately stopping the proposal or decision being implemented until the report has been considered. The report must be considered within 21 days at a meeting of either Council or by the Mayor/Mayor in Cabinet as appropriate.As soon as practicable after Council or the Mayor/Mayor in Cabinet has considered the Monitoring Officer’s report, it shall prepare and publish a report that will include:• What action it has taken in response to the report;• What action it proposes to take in response to the report and when it proposes to take that action;• The reasons for taking that action, or the reasons for not taking any action.(The exercise of this function needs to be considered in conjunction with the function of the Chief Executive to ensure lawfulness and fairness of decision making and the function of the Chief Finance Officer to ensure lawfulness and financial prudence of decision-making).
Section 57.7: Supporting the Standards Advisory Committee.
The Monitoring Officer is responsible forpromoting and maintaining high standards of ethical conduct throughout the Council and will provide support to the Standards Advisory Committee, in particular by
Section 57.8: Receiving reports.
receiving and having regard to recommendations from the Standards Advisory Committee regarding Member conduct.
Section 57.9: Conducting investigations.
Where an investigation is required in accordance with the agreed arrangements for dealing with an alleged breach of the Code of Conduct by a Member, conducting or arranging for that investigation to be carried out and making reports or recommendations in respect of them to the Standards Advisory Committee or its Sub-Committee as appropriate.
Section 57.10: Register of Interests.
Establishing and maintaining a Register of Interests of Members and Co-opted Members of the Council.
Section 57.11: Advising whether Executive decisions are within the budget and policy framework.
Advising whether decisions of the Mayor/Mayor in Cabinet are in accordance with the budget and policy framework.
Section 57.12: Providing advice.
Providing advice on the scope of powers and authority to take decisions, maladministration, financial impropriety, probity (and budget and policy framework issues) to the Mayor, all Councillors and officers.
Section 57.13: Determining Dispensations.
Determining applications for dispensations from the Code of Conduct where the number of Members otherwise precluded from taking part in a decision would impede the conduct of business or interfere with the political balance of the decision-making body and also determining applications for dispensations made by individual Members. The Monitoring Officer will report at least annually to the Standards Advisory Committee on any dispensations granted.
Section 57.14: The Director of Legal
Is also responsible for: Legal Services; Democratic Services and Elections. These functions can be varied at any time by the Chief Executive who may also allocate to the role additional functions and responsibilities. The Director of Legal:
Is authorised to make or amend an appointment to a position on a Committee, Sub-Committee or Panel of the Council in accordance with the nomination by a political group, where the position has previously been allocated by the Council to that Group. Any nomination received by them after 5.00pm on any day will take effect no earlier than 9.00am on the next working day.
Is authorised to institute, defend, settle or participate in any legal proceedings in any case where such action is necessary to give effect to decisions of the Council or in any case where such action is considered to be necessary to protect the Council’s interests and may designate nominated officers to carry out this function on their behalf.
Consult with and instruct counsel, solicitors and other experts for legal proceedings, public inquiries, and other matters involving the Council, and the negotiation and settlement of legal disputes on behalf of the Council, the Mayor, Committees of the Council or officers and arrangements for their representation in any court, public inquiry or other forum where formal representation is considered to be proper, including the incurring of such fees in respect thereof as may be appropriate.
Is authorised to sign any document that is necessary to any legal procedure or proceedings on behalf of the Council, or to authorise another to sign, unless any enactment otherwise authorises or requires, or the Council has given specific authority to some other person.
Is authorised to sign contracts (and similar documents where intended to have legal binding effect) on behalf of the Council, either in their own name or on behalf of the Council, where any required authority or approval of the Mayor/Cabinet, a Committee or a Sub-Committee has been obtained, or where such authority has been delegated to another officer of the Council and that officer has requested the Director of Legal to do so.
Will keep the Common Seal of the Council in a safe place. A decision of the Council, or of any part of it, will be sufficient authority for sealing any document necessary to give effect to the decision. The Common Seal will be affixed to those documents which should be sealed. The affixing of the Common Seal will be attested by the Director of Legal or any other duly authorised person.
May authorise officers to appear on behalf of the Council in proceedings in the magistrate’ courts, pursuant to section 223 of the Local Government Act 1972.
May authorise officers to appear on behalf of the Council in any proceedings in the county court in relation to the recovery of possession of a house belonging to the Council or the recovery of any rent, mesne profits, damages or other sum claimed in respect of the occupation by any person of such a house, pursuant to section 60 of the County Courts Act 1984.
As the Monitoring Officer they are:
Authorised to make or amend an appointment to a position on a committee or panel of the Council in accordance with the nomination by a political group, where the position has previously been allocated by the Council to that Group. Any nomination received by the Monitoring Officer in accordance with the above provision after 5.00 p.m. on any day will take effect no earlier than 9.00 a.m. on the next working day.
Section 57.15: Restrictions on post.
The Monitoring Officer cannot be the Chief Finance Officer or the Head of Paid Service.
Section 57.16: Functions of the Corporate Director, Resources (and Chief Finance Officer)
The Corporate Director, Resources has the statutory responsibilities defined in s 151 of the Local Government Act 1972 and section 114 of the Local Government Finance Act 1988 as the Council’s Chief Finance Officer to ensure the proper administration of the financial affairs of the Authority including:Ensuring the proper administration of the Council’s financial affairs.Setting and monitoring compliance with financial management standards.Advising on the corporate financial position and on the key financial controls necessary to secure sound financial management.Providing financial information (in conjunction with Senior Managers).Ensuring that the annual statement of accounts is prepared in accordance with appropriate financial standards and within the statutory deadlines.Preparing the revenue budget and capital programme relating to the General Fund and the Housing Revenue AccountIn Addition the role of the Chief Finance Officer is:
Ensuring lawfulness and financial prudence of decision-making.
If the Chief Finance Officer considers that any proposal, decision or course of action which would involve the Council incurring unlawful expenditure; or is unlawful and is likely to cause a loss or deficiency; or if the Council is about to enter an item of account unlawfully then after consulting with the Head of Paid Service and the Monitoring Officer, the Chief Finance Officer will report in writing to the Mayor in relation to an executive function or to Council in relation to a non-executive function, and to the Council’s external auditor. Such a report will have the effect of immediately stopping the proposal or decision being implemented until such time as the report has been considered. The report must be considered within 21 days at a meeting of either Council or the Mayor as appropriate.As soon as practicable after Council or the Mayor/Mayor in Cabinet has considered the report, it shall prepare and publish a report that will include:• what action it has taken in response to the report;• what action it proposes to take in response to the report and when it proposes to take that action;• the reasons for taking that action, or the reasons for not taking any action.The exercise of this function needs to be considered in conjunction with the function of the Monitoring Officer to ensure lawfulness and fairness of decision making and the function of the Chief Executive to ensure lawfulness and financial prudence of decision-making.
Administration of financial affairs.
The Chief Finance Officer has responsibility for the proper administration of the financial affairs of the Council including:Determining the accounting procedures and records for the authority.Maintaining a continuous review of the Financial Regulations and issuing updates as necessary.Reporting breaches of the Financial Regulations to the Audit CommitteeThe Chief Finance Officer will also
Contribute to corporate management.
In particular through the provision of professional financial advice.
Provide advice
on the scope of powers and authority to take decisions, financial impropriety, probity (and budget and policy framework issues) to the Mayor and all Councillors and will support and advise the Mayor and Councillors and officers in their respective roles.
Give financial information
provide financial information to the media, members of the public and the community.
As the Corporate Director, Resources
The Resources
portfolio currently includes: Audit and Risk; Information Governance; Registrars; Finance; Workforce, OD and Business Support; IT; Customer Services;Revenues and Benefits; and Procurement. These functions can be varied at any time by the Chief Executive, who may also allocate to the role additional functions and responsibilities.
Section 57.17: Functions of the Corporate Director, Health and Adult Social Care
The Corporate Director, Health and Adult Social Care is the Statutory Director of Adult Social care under s 6 of the Local Authority Social Services Act 1970 as amended by s18 of the Children Act 2004 and is responsible for the delivery of those local authority social services functions listed in Schedule 1 of the Local Authority Social Services Act 1970 (as amended), other than those for which the Director of Children’s services is responsible, and the public health functions contained in the Health and Social Care Act 2012.The Corporate Director, Health and Adult Social Care is responsible for implementing and ensuring compliance with any statutory guidance issued by the Department of Health or other Government department and is currently required to:-Assess local needs and ensure availability and delivery of a full range of local authority services;Give professional leadership, including workforce planning;Lead the implementation of standards;Manage cultural change;Promote local access and ownership and drive partnership working;Deliver an integrated whole systems approach to supporting communities; andPromote social inclusion and wellbeing.The Health and Adult Social Care portfolio currently includes Adult Social Care; Public Health (and the Director, Public Health reports to the Corporate Director); and Health and Integrated Commissioning. These functions can be varied at any time by the Chief Executive, who may also allocate to the role additional functions and responsibilities.
Section 57.18: Functions of the Corporate Director, Children’s Services
The Corporate Director, Children’ Services is the Council’s Statutory Director of Children’s services under s 18(7) of the Children Act 2004 with statutory duties to discharge the education and children’s social services functions of the local authority including those detailed as follows:
Education functions conferred on or exercisable by the Council;
Functions conferred on or exercisable by the Council which are social services functions so far as those functions relate to children;
The functions conferred on the authority under sections 23C to 24D of the Children Act 1989 (so far as not falling within paragraph (b));
The functions conferred on the authority under sections 10 to 12, 12C, 12D and 17A of the Children Act 2004;
Any functions exercisable by the Council under section 75 of the National Health Service Act 2006 on behalf of an NHS body, so far as those functions relate to children;
The functions conferred on the Council under Part 1 of the Childcare Act 2006; and
Any function conferred on the authority under section 2 of the Childcare Act 2016.
The Children and Culture portfolio currently includes; Supporting Families; Education, Youth Services and Commissioning. These functions can be varied at any time by the Chief Executive, who may also allocate to the role additional functions and responsibilities.
Section 57.19: Functions of the Corporate Director, Housing and Regeneration
The Housing and Regeneration portfolio currently includes responsibility for discharging all the Council’s duties, powers and functions in the following areas:-Planning and Building Control; Housing; Integrated Growth and Development;;Regeneration; all functions related to being a landlord of social housing and the award of contracts for capital projects These functions can be varied at any time by the Chief Executive, who may also allocate to the role additional functions and responsibilities.The Corporate Director, Housing and Regeneration is also responsible for:
Acquisitions and Disposals at full market value.
Required to issue guidelines on best practice for the disposal of land based assets and to approve the purchase or sale of land if it has been declared surplus by the Mayor/Mayor in Cabinet and if authority to do so has been delegated to him/her.
Acquisitions andDisposals atbelow market value.
Authorised to recommend to the Mayor/Mayor in Cabinet for acceptance, disposals which are proposed to be less than the unrestricted market value as defined by the General Disposal Consent (England) 2003 and/or where State Aid issues may arise. The report shall make the level of undervalue explicit and the report will need to set out the well-being benefits to be derived and provide a statement that the wellbeing “value” matches or exceeds the value foregone.Where a sale is pursuant to Section 123 Local Government Act 1972, Section 32 Housing Act 1985 or Section 25 Local Government Act 1988, consent of the Secretary of State may be sought as necessary, unless the sale falls within the General Housing Consents 2013 issued pursuant to powers contained in sections 32, 33 and 34 Housing Act 1985, 133 of the Housing Act 1988, which permit certain disposals to occur without the need to secure express consent.Is authorised to accept a late offer for land/property, with the prior agreement of the Director of Legal / Monitoring Officer, if to do so, would ensure that the Council secures best consideration, provided other bids have not been opened.
Compulsory Disposals.
Is Authorised to approve any sale or lease of land pursuant to the Right to Buy or the Right of Enfranchisement under the Housing Act 1985, the Leasehold Reform Act 1967 or The Leasehold Reform Housing and Urban Development Act 1993 subject to compliance with the relevant statutory procedures.
Section 57.20: Functions of the Corporate Director, Communities
The Communities portfolio currently includes responsibility for discharging all the Council’s duties, powers and functions in the following areas:-Public Realm; Culture and Community SafetyThese functions can be varied at any time by the Chief Executive, who may also allocate to the role additional functions and responsibilities.The Corporate Director, Communities is also responsible for:
Determiningapplications forLicences.
Authorised to consider and determine any applications for licenses not specifically reserved to the Licensing Committee under the Constitution and all applications for licences where no objections have been received.