Part 3 - Responsibility for Functions

[Notes:

(a)   The use of the word “appeal” in items 3 to 6 in the table below is intended only to apply to those instances where a formal right of legal appeal exists.  Processes which involve the making of representations or access to a review do not come within the legal ambit of an “appeal”.  The word “appeal” is a technical one, involving specific legal consequences and the inappropriate use of that word to describe representation or review processes should be avoided.

(b)   In items 4 to 6 in the table below, the Executive’s responsibilities are concerned with making the arrangements.  The actual hearing of an appeal will be handled by a Panel, appointed by the Chief Executive, whose composition will comply with any statutory requirements.

(c)   In item 13 in the table below, the “revocation of appointments” excludes considering and determining representations seeking the removal of any LEA appointed school governor, which is the function of the Corporate Governance Committee]  

1.   The Development Control and Regulatory Board shall not have power to appoint subcommittees.

2.   The extent to which the non-executive powers within the Board’s remit have been delegated to heads of departments, either by the full County Council or by the Board (or by any of the bodies previously charged with the functions now within its remit), will be found:

(a)   in the general scheme of delegation to heads of departments which appears in Section D of this Part; and
(b)   in the record of specific delegations maintained by the Chief Executive for public inspection at County Hall and which constitutes Part 9 of this Constitution.

3.   Subject to the delegations described in paragraph 2, the functions delegated to the Board shall be:

(a)   Planning and conservation.

         (i)   The exercise of those functions relating to town and country planning and development control which are specified in Schedule 1 to the Local Authorities (Functions and Responsibilities) (England) Regulations 2000 (the “Functions Regulations”) and which are relevant to a county council;
         (ii)   Offering advice to the Cabinet in response to consultation exercises relating to planning applications referred by District Councils or other agencies.

(b)   Commons registration.  The exercise of the functions relating to the registration of common land or town and village greens and registration of the variation of rights of common as set out in Schedule 1 to the Functions Regulations.

(c)   Licensing. Those functions relating to licensing which are specified in Schedule 1 to the Functions Regulations and which are relevant to a county council.

(d)   Marriages.  The exercise of the power to approve premises for the solemnisation of marriages as specified in Schedule 1 to the Functions Regulations.

(e)   Highways use and regulation.  The exercise of those functions relating to the regulation of the use of highways and the miscellaneous highways functions which are set out in Schedule 1 to the Functions Regulations and which are relevant to a county council.

(f)   Health and safety.  The exercise of those functions relating to health and safety under any “relevant statutory provision” within the meaning of Part 1 of the Health and Safety at Work Act 1974, to the extent that those functions are discharged otherwise than in the County Council’s capacity as employer.

(g)   Byelaws.  Making recommendations to the County Council relating to the making, amendment, revocation or re-enactment of byelaws which are specified in Schedule 1 to the Functions Regulations and which are relevant to the County Council.

(h)   Charges.  Determination of charges which should be made (and if so, the amount of the charge) for any approval, consent, licence, permit or registration the issue of which is within the remit of the Board.

1.   The Pension Fund Management Board shall not have power to appoint subcommittees, but the County Council may appoint an Investment Subcommittee to assist the Board to carry out its functions.

2.   The extent to which the non-executive powers within the Board’s remit have been delegated to heads of departments, either by the full County Council or by the Board (or by any of the bodies previously charged with the functions now within its remit), will be found:

3.    Subject to the delegations described in paragraph 2, the functions delegated to the Board shall be those related to the maintenance of the Leicestershire Pension Fund.  The Board may carry out these functions with the assistance of an Investment Subcommittee with the following terms of reference.

1. The functions delegated to the Investment Subcommittee shall be:

1.The Corporate Governance Committee shall have power to appoint subcommittees to deal with any appointments for which it has responsibilities.

2.The extent to which the non-executive powers within the Committee’s remit have been delegated  to chief officers, either by the full County Council or by the Committee (or by any of the bodies previously charged with the functions now within its remit), will be found:

3.Subject to the delegations described in paragraph 2, the functions delegated to the Committee shall be:

(a) The promotion and maintenance of high standards within the Authority in relation to the operation of the Council’s Code of Governance and in particular to ensure:-

(b) To review the Council’s Code of Governance as necessary and make recommendations to the County Council to ensure that it remains relevant to the Council’s work and practices.

(c) To satisfy themselves that the County Council’s Statement of Accounts and those relating to the Leicestershire Pension Fund including the County Council’s Annual Governance Statement have been prepared in accordance with best practice.

(d) To make recommendations to the County Council either directly or via the Constitution Committee on any amendments required to the Financial Procedure Rules and Contract Procedure Rules set out in Parts 4F and 4G of this Constitution and to make such changes as are considered necessary to the Standard Financial Instructions.

(e) To monitor the adequacy and effectiveness of the external audit of the Council’s services and functions and to:-

(f) To monitor the adequacy and effectiveness of the Internal Audit Service and to:-

(g) Monitor the effectiveness of officer arrangements for ensuring an adequate internal control environment and combating fraud and corruption.

(h) Monitor the arrangements for the identification, monitoring and management of strategic and operational risk within the Council.

(i) To liaise with the Executive, and other bodies as appropriate, on matters of corporate governance and financial accountability.

(j) Advising on training for members of the Council on matters relating to the Corporate Governance of the Authority.

(k) The promotion and maintenance of high standards of conduct by members and co-opted members within the County Council, including:-

(l) Ensuring that all members and co-opted members of the County Council have access to training in all aspects of the Code of Conduct for members, that this training is actively promoted and that members are aware of the standards expected from local councillors under the Code.

(m) Making arrangements for the appointment of independent persons whose views must be sought about allegations of a breach of the Members’ Code of Conduct in accordance with the provisions of the Localism Act 2011.

(n) Making payments or providing other benefits in cases of maladministration under section 92 of the Local Government Act 2000.

(o) Making arrangements for members to receive dispensations to speak on, or participate in matters in which they have interests.

(p) Exempting members from vacation of office by failure to attend meetings.

(q) Considering and determining representations seeking the removal of any LEA appointed school governor.

(r) Subject to the powers of the Employment Committee in relation to Local Conditions of Service, advising as necessary on matters relating to the conduct of employees and procedures relating to the handling of complaints, including “whistle blowing”.

1.   The Constitution Committee shall not have power to appoint subcommittees, save in relation to members’ allowances.

2.   The extent to which the non-executive powers within the Committee’s remit have been delegated to chief officers, either by the full County Council or by the Committee (or by any of the bodies previously charged with the functions now within its remit), will be found:

(a)   in the general scheme of delegation to heads of departments which appears in Section D of this Part; and

(b)   in the record of specific delegations maintained by the Chief Executive for public inspection at County Hall and which constitutes Part 9 of this Constitution.

3.   Subject to the delegations described in paragraph 2, the functions delegated to the Committee shall be:

(a)   Elections. Those functions relating to elections which are specified in Schedule 1 to the Functions Regulations and which are relevant to a county council.
(b)   Statement of Accounts.  Approval of the County Council’s Statement of Accounts and those relating to the Leicestershire Pension Fund.
(c)   Names and status. Those functions relating to the name and status of areas and individuals which are specified in Schedule 1 to the Functions Regulations and which are relevant to a county council.
(d)   Bills.  The power to promote or oppose local or personal Bills which are specified in Schedule 1 to the Functions Regulations and which are relevant to a county council.
(e)   Appointments.  Making and revoking appointments, except where the Executive has responsibility for the appointment or revocation, or where the Standards Committee has responsibility for the revocation.
(f)   Standards Committee. Advertising and interviewing suitable people for recommendation to the County Council for appointment as an Independent Member of the Standards Committee.  
(g)   Members’ Allowances Scheme.  Advising the County Council on the Members’ Allowances Scheme [Note: approval of the scheme cannot be delegated by the County Council to a committee].
(h)   Members’ Services.  Approving the arrangements for providing appropriate support services to meet the needs of elected members.
(i)   Constitution.  Advising the County Council on the Constitution.

1.  The Employment Committee shall not have power to appoint subcommittees.

2.   The extent to which the non-executive powers within the Committee’s remit have been delegated to chief officers, either by the full County Council or by the Committee (or by any of the bodies previously charged with the functions now within its remit), will be found:

(a)   in the general scheme of delegation to heads of departments which appears in Section D of this Part; and

(b)   in the record of specific delegations maintained by the Chief Executive for public inspection at County Hall and which constitutes Part 9 of this Constitution.

3.   Subject to the delegations described in paragraph 2, and to the provisions of the Officer Employment Procedure Rules (Part 4H of the Constitution) the functions delegated to the Committee shall be:

(a)   power to determine the terms and conditions on which staff hold office, including disciplinary  and grievance procedures.

(b)   making effective arrangements to ensure compliance with employment legislation and, where necessary, employment codes of practice.

4.   The powers of the Employment Committee shall not extend to consultations or negotiations with representatives of the recognised trade unions since other mechanisms exist within the County Council to undertake these functions.

[Notes:

(a)   The Executive has not yet delegated any of its executive functions to a subcommittee.
(b)   The Executive may not, in accordance with Article 7.08 in Part 2, delegate any executive functions to an individual member of the Executive.  While that Article remains in operation, Table C2 will have no effect.
(c)   Executive powers have been delegated to officers.]  

The Executive has established joint arrangements for the purchase of goods and supplies and the provision of agreed services by establishing a consortium with Lincolnshire County Council, Cambridgeshire County Council, Norfolk County Council, Warwickshire County Council, Leicester City Council and Peterborough City Council, which is called the Eastern Shires Purchasing Organisation (ESPO).  A joint committee has been established in accordance with section 102 of the Local Government Act 1972.  The executive has delegated to the joint committee the powers to:-

(i)   operate a comprehensive professional purchasing service; and

(ii)   maintain effective, efficient and economical arrangements for the supply of goods and services.

The Executive has entered into this national Joint Committee arrangement (for which Manchester City Council act as lead Authority) for the provision of an adjudications service to ensure that parking restrictions can be enforced in Leicestershire, under Section 101 of the Local Government Act 1972.

The Executive has established joint arrangements with Nottingham City Council for the delivery of a programme of shared services including Human Resources, Payroll and Finance Transactional Services.  A joint committee has been established in accordance with Section 102 of the Local Government Act 1972.  The Executive has delegated to the joint committee the power to provide support services to Leicestershire and Nottingham Councils and other external clients.

Joint arrangements with Leicester City Council, Rutland Council and the District Councils for the purposes of holding to account the Police and Crime Commissioner for the execution of his or her role as required by legislation in force for the time being.

On-Street Parking
The Cabinet has delegated to the District Councils on 4 June 2007 the task of maintaining on-street parking regulations.  That is, patrolling on-street areas and where required issuing Penalty Charge Notices where breaches of the regulations apply. The details are the subject of a Service Level Agreement.

The County Council has accepted a reciprocal delegation of necessary notice processing powers from the District Councils to enable the County Council to meet its obligations under The Service Level Agreement.

Deprivation of Liberty Assessements
The County Council has accepted on 25 March 2009 the delegation of social care and health functions from Leicester City Council, Rutland County Council, NHS Leicestershire County & Rutland and NHS Leicester City to carry out Deprivation of Liberty Assessments on behalf of those bodies.

Travellers
The County Council has accepted on 8 July 2009pursuant to the Local Government Acts 1927 and 2000, the delegation of functions from Leicester City Council in relation to unauthorised encampments within the area of Leicester City and from Rutland Council in relation to unauthorised encampments in the area of Rutland, such delegation to take effect from the date of completion of the associated Compact Agreement.

Community Equipment Services
The Cabinet has delegated to Leicester City Council on 27 July 2010 so much of the health related functions undertaken by the County Council as may be necessary to enable the City Council to provide integrated community equipment services for older people and people with disabilities in Leicester and Leicestershire.

Criminal Justice Substance Misuse Treatment Provision
The Cabinet has delegated to Leicester City Council on 7 September 2010 so much of the County Council's health related functions as may be necessary to enable the City Council to lead on the procurement exercise to commission the criminal justice drug treatment services and to take a lead role in managing the service level agreements within the Joint Commissioning Arranagements and to manage a pooled budget in respect of the services.

Community Care Assessments for Substance Misuse Residential Rehabilitation Placements
The Cabinet has delegated to Leicester City Council on 6 March 2013 the relevant social care functions to allow the City Council to continue to undertake community care assessments and provide care management services to persons with substance misuse problems who are located in the Leicestershire area and are seeking placement in residential rehabilitation facilities.

The extent to which executive powers within the Executive’s remit have been delegated to heads of departments by the Executive (or by any of the bodies, including the County Council, previously charged with the functions now within its remit), will be found:

(i)   in the general scheme of delegation to heads of departments which appears in Section D of this Part; and

(ii)   in the record of specific delegations maintained by the Chief Executive for public inspection at County Hall and which constitutes Part 9 of this Constitution.

1.   The following delegated powers should be read in conjunction with Financial Procedure Rules (Part 4F) and Contract Procedure Rules (Part 4G).  

2.   Officers should also have regard to specific delegations to heads of departments, to the Standard Financial Procedures, to the personnel policies and procedures, and to any departmental rules and conventions, before exercising powers.  

3.   The powers delegated to officers under this scheme are in respect of executive or non-executive functions as the case may be.  

4.   In the case of a non-executive function, “relevant body” means the body responsible for the non-executive function concerned

5.   Any exercise of delegated powers by officers -

(a)   shall comply with the Meeting Procedure Rules (Part 4A), Financial Procedure Rules (Part 4F) and Contract Procedure Rules (Part 4G) and the Standard Financial Instructions made by the Executive;

(b)   shall not authorise expenditure except in accordance with the approved budget or capital programme, and where other further approval is required, shall not precede that approval;

(c)   shall not involve a key decision save in exceptional circumstances where it may be necessary for the Chief Executive to act as a matter of urgency under paragraph 19 below;

(d)   shall not make a new policy or amend an existing policy of the County Council as determined at elected member level;

(e)   shall be in accordance with any approved scale or scheme and any directions of the Executive or other relevant body; and

(f)   shall be the subject of prior consultation with the appropriate professional or technical officer of the County Council in any case involving professional or technical considerations not within the province of the head of department concerned.

6.   Any delegation to a head of department may be exercised on his or her behalf by any officer authorised by him or her either generally or specifically for the purpose.

7.   Delegation to officers shall be without prejudice to the overriding right of the County Council, Executive or other relevant body itself to decide any matter for which it has the capacity under the Local Government Act 2000 to take a decision or to call for information about a particular case or class of case relevant to its competence.  In particular, a head of department may in any case, in lieu of exercising his or her delegated powers, refer a matter to the Executive or other relevant body, as the case may be, for decision.

8.   Subject to the foregoing conditions and to any special conditions which may have been or may in future be applied in respect of particular matters, heads of departments will be expected to make such decisions and to initiate such action as they deem necessary in the interests of the efficient running of their departments and the services which they administer.

9.   In the general scheme of delegation the term "employees" shall not include teachers employed by schools.

Subject to the provisions of the preceding paragraphs:

10.   Appointment of employees:  power to appoint, within the approved budget or approved external funding, all employees below the level of chief officer.  The appointment may be at any point within the approved salary scale.

11.   Power to incur revenue expenditure: power to incur  revenue expenditure within the approved budget or approved external funding on non-employee related items, subject to the Director of Corporate Resources having the discretion to lay  down conditions, either generally or in any particular case, and subject to the approval of the Executive where the Director of Corporate Resources considers this to be appropriate.

12.   Tenders and quotes: in exercising the power in paragraph 11 above the head of department shall comply with the provisions of the Contract Procedure Rules.

Power in consultation with the relevant Lead Member to apply for and accept grants and external funding subject to:-

Power to make grants and provide financial assistance in accordance with such schemes as may be adopted by the Council subject to provision having been made within the budget and any conditions laid down by the Director of Corporate Resources.

15.   Appointment of consultants:  the powers in this scheme (and their limitations) will extend to the appointment of:-

provided that people so appointed receive appropriate training about the Council’s governance arrangements, rules and operating procedures and are made clearly aware of the extent of any limitations on any delegated authority they may receive from the Chief Officer concerned.

16.   Data Protection Act 1998 - charging for subject access: power, in consultation with the Director of Corporate Resources, to exercise discretion as to what fee (if any), not exceeding the prescribed maximum, is to be required in respect of the right of access under Section 7 of the Data Protection Act 1998 to personal data.  

17.   Surplus equipment: power to dispose of surplus or obsolete vehicles, plant, apparatus, or other equipment or books, in accordance with the Standard Financial Instructions.

18.   Lost and uncollected property: powers to deal with items under Section 41 of the Local Government Miscellaneous Provisions Act 1982 in relation to lost and uncollected property on County Council Premises.

19.   Decision-making between meetings: power to the Chief Executive to take action between meetings which he or she considers is urgent in consultation:-

(a)   on matters within the responsibility of the Executive, with the Leader or such other member of the Executive as may be nominated by the Leader; or

(b)   on matters within the responsibility of a relevant body with the Chairman and relevant Group Spokesmen of that body;

subject to the details of such action being reported for information to the next appropriate meeting of the body concerned.

20.   Personnel procedures: power for heads of departments to take decisions relating to employment matters delegated to them from time to time in accordance with the local conditions of service and other personnel policies and procedures.  The Chief Executive may determine from time to time those matters which may be exercised by the head of department without prior consultation with the Chief Executive.

1.   The Chief Executive has power to determine the size of the Panels set out in paragraph 5 below and to appoint members to those Panels from a Pool of members who have expressed an interest in this role.  The Chief Executive will exercise these powers in compliance with any statutory requirements and in consultation with the political groups.

2.   The Panels relate either to non-executive functions or to executive functions, as the case may be.

3.   Those of the following Panels which relate to an executive function have been given terms of reference which do not involve delegated powers, but rather giving advice.  Consequently, where a county councillor who is not a member of the Executive is appointed to such a Panel, that person’s membership of the Panel will not have the effect of disqualifying him or her from being a member of an overview and scrutiny committee. The member will, however, be unable to scrutinise any decision in which he or she took part, as a member of the Panel concerned.

4.   Any appeal from a decision of a Panel which requires determination by another Panel will be dealt with by a differently constituted Panel, none of whose members was involved in the earlier stages of the matter.

5.   The Panels which are appointed by the Chief Executive are:

(a)   Adoption Panel: to advise the adoption agency whether adoption is in the best interests of the child and whether a prospective adopter is suitable in principle and in relation to a particular child.

(b)   Approval of Premises Panel (Civil Marriages): to consider objections and/or appeals in connection with applications for the approval of premises for the performance of civil marriages.

(c)   Childrens’ Community Home and Service Teams Monitoring Panel:

          (i)   to visit operational Children’s Service Teams and advise the Director of the Children and Young People's Service, and if necessary the Chief Executive and relevant Executive Members, of issues affecting those Teams, as appropriate.

          (ii)  to act as a point of reference for the Director of the Children and Young People's Service in considering Community Homes Monitoring Reports and reports of Ofstead and to oversee the Community Homes Monitoring Process.

(d)   Complaints Panel (School Curriculum and Religious Education): to consider and advise the Executive upon complaints made by parents or guardians under the provisions of Section 409 of the Education Act 1996 relating to the school curriculum and religious education.

(e)   Secure Accommodation Review Panel: to consider (every 28 days) the appropriateness of the use of secure accommodation in respect of individual children.

(f)   Member Conduct Panel: to assess any allegation that a member or co-opted member of the Council has breached the Council's Code of Conduct and to conduct a determination hearing as appropriate.

(g)   County Council Employment Panel: to conduct hearings and make decisions in individual cases in respect of employment arrangements to the extent as may be determined from time to time by conditions of service of staff and local procedures.

(h)   Appointment Committee (Chief Officer):  as provided for in the Officer Employment Procedure Rules, a Committee to appoint or recommend for appointment a person to act as Chief Officer or Head of Paid Service (Provided that it is not practical to appoint such a Committee at a meeting of the Council).

(i)   Fostering Panel:  to consider applications from people who wish to be registered as foster carers to ensure that they comply with the National Standards laid down for the fostering of young children, and make recommendations to the Fostering Agency (i.e. the Children and Young People's Service).

(j)   Manufacture and Storage of Explosives Panel:  to consider, through public hearings, representations about applications to the Health and Safety Executive under the Manufacture and Storage of Explosives Regulations 2005 and to determine whether or not to give the County Council's assent to those applications

(k)   Disputes Panel:  to consider oral representations from unions and management when negotiations at officer level have failed to reach agreement (following written submissions) and to make recommendations to the Employment Committee or Cabinet, or both, as appropriate.

(l)   Representations Panel (independent providers of adult social care):  to consider representations made from independent sector providers against proposals to remove them from a list of approved service providers or to suspend them from such a list and to make recommendations to the Director of Adults and Communities as to the appropriate course of action.

(m) Guardianship Review Panel: to consider whether a Guardianship Order made under Sections (7) or (37) of the Mental Health Act (1983) is still necessary or if the person concerned should be discharged.

(n) Member Reference Panel on Quality and Safeguarding in Registered Care Homes:

[Note: the County Council Employment Panel is intended to perform the functions of the County Council Appeals Panel, the Teachers Employment Panel and the Teachers’ Grievance Panel. Employment issues in relation to teachers in schools are dealt with at school level as a consequence of Local Management of Schools.]