Professional Documents
Culture Documents
SCHEME OF DELEGATION
TO OFFICERS
Alex Haswell
Director Chief Executive Service
March 2004
DUMFRIES AND GALLOWAY COUNCIL
INDEX
Pages
1. Introduction 1
2. Delegations to Officers 1, 2
4.1 Stipulations 5
4.2 Rules Regulating Use of Delegated Powers 6
1. INTRODUCTION
1.2 To achieve this, the Council is committed to setting and securing the highest
standards in decision making.
1.3 Dumfries and Galloway Council is only permitted to do what statute empowers it
to do. In the absence of a decision by the Council to the contrary, all powers are
exercisable by the Council.
1.4 Such a requirement, however, is unworkable. The Council has therefore chosen
to exercise its powers under Section 56 of the Local Government (Scotland) Act
1973 to discharge any of its functions by Committee, Sub-Committee or Officer.
Those delegations to Officers contained in this Scheme are empowerments to
these Officers in accordance with the policies of the Council.
1.5 Under the terms of the Local Government in Scotland Act 2003, the Council also
has the power to promote well-being, ie it can do anything which it considers is
likely to promote or improve the well-being of its area and persons within that
area.
1.6 Certain of the Council's powers cannot be delegated and these are detailed
separately in the Council's Standing Orders and Scheme of Administration and
Delegation to Committees as powers reserved to the Council.
1.7 This Scheme of Delegation to Officers provides the framework and guidance for
the powers given to Officers.
2. DELEGATIONS TO OFFICERS
2.1 Officers can be granted delegated powers by the Council, a Committee, a Sub-
Committee or another Officer.
2.2 In terms of this Scheme, delegations are to the Chief Executive, Corporate
Directors: Executive Director Community and Support Services; Corporate
Director of Planning and Environment Services; Service Director Schools
Services; Service Director Social Work Services; Director of Finance; Corporate
Director of Combined Services; Chief Constable and Chief Fire Officer.
Delegated authority granted to these Officers may be further delegated to Group
Managers and Area Managers but requires the delegator to provide a written
record of this. These delegations will be added to this Scheme at a later date.
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Scheme of Delegation to Officers
2.4 In so far as is permitted by law, Proper Officers may delegate their powers to
other specified Officers in writing either on a general or a specific basis. Where
such powers are not so delegated they may be exercised, in the absence of the
Proper Officer, by the Group Manager, Corporate Support and Governance.
2.5 Delegations that have been agreed for the Corporate Directors, Director of
Finance and the Corporate Director of Combined Services are a mix of general
delegations (all Officers are similarly empowered) and specific delegations to
Director of Finance, Chief Constable and Chief Fire Officer.
2.6 When exercising any delegated authority, Officers are bound to have regard to a
variety of stipulations that the Council has decided should govern and influence
the exercise of powers delegated to Officers. Details of these general and
specific delegations, and of the stipulations relevant to them, are in the sections
following.
In terms of various statutes, the Council is required to appoint Officers for a variety of
particular purposes. Officers so appointed are empowered to take such action as is
implicit in their role. The statutory appointments agreed by the Council are as follows:-
s.43 and schedule 7 Proper Officer for receipt of Director Chief Executive
para 1(4) requisition for special Council Service
meeting.
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Scheme of Delegation to Officers
s.43 and schedule 7 Proper Officer to sign summons to Director Chief Executive
para 2(1) special Council meetings. Service
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Scheme of Delegation to Officers
Sub para 1 of para 4 Proper Officer for the signing Director Chief Executive
of documents Service
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Scheme of Delegation to Officers
4.1 Stipulations
4.1.1 The Standing Orders of the Council; any policies as embodied in a formal
document; the Council's financial regulations and any other guidance issues in
connection with the exercise of a particular function.
4.1.2 The right of an Officer to consult with the Chief Executive on any matter, even
though specifically delegated to them, or to refer the matter to the appropriate
Committee of the Council.
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Scheme of Delegation to Officers
4.1.4 Officers must use the authority delegated to them in the interests of Dumfries and
Galloway Council.
(a) the Chief Executive, Executive Director Chief Executive Service, Director of
Finance and Director Chief Executive Service in respect of matters which
are sensitive or complex, or where legal, administrative or other advice or
guidance is necessary
4.1.6 Officers must record, and publish if required, details of arrangements made by
them for the exercise of delegated powers granted to them.
4.2.1 Where a Director has delegated authority, the principle of subsidiarity should be
applied and decisions should be further delegated to as close to the point of
service delivery as is appropriate in the circumstances. Each Director must
prepare a Scheme of Delegation for their Service which details those decisions
which have been delegated to Group, Service and Operational Managers within
their Service and also to Area Managers
4.2.2 A Director may arrange for powers delegated to them to be exercised by staff in
other Services. When powers are delegated to another Service both Directors
must retain a written record of the delegated powers in question.
4.2.3 All delegated powers must be exercised subject to adequate budgetary provision
being available and having regard to the terms of the Council’s Financial
Regulations and Standing Orders.
4.2.4 An Officer must not make any decision or take any action in accordance with
powers conferred by this Scheme or any Service Scheme of Delegation if the
decision or outcome could create the perception that an employee is not strictly
adhering to the seven principles of public life as set out in the Council’s Code of
Conduct for Employees. These principles are selflessness, integrity, objectivity,
accountability, openness, honesty and leadership. Delegated powers must not
be used where either the interests of the employee, the matter to which the
decision relates or the identity of any other person involved could lead a member
of the public to conclude that the powers had been used to avoid scrutiny by the
Council or a Committee of the Council. If an Officer is in any doubt as to whether
they should make use of delegated powers then they should seek guidance from
their Head of Service.
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Scheme of Delegation to Officers
5.1 To act as the head of the Council’s paid service in terms of section 4 of the Local
Government and Housing Act 1989.
5.2 To give a direction in special circumstances that any Officer shall not exercise a
delegated function.
5.3 Where considered to be in the interests of the Council, to approve the provision
of reasonable hospitality to representatives of other authorities, organisations,
Officers of the Council or others; to make visits and to authorise visits by Officers
of the Council or others (excluding elected Members) representing the Council
outwith the UK; to deal with all issues relating to the extension of civic hospitality.
5.4 To approve attendance at conferences outwith the UK of Officers, in cases where
it is considered to be in the interest of the Council.
5.5 To deal with and, in appropriate circumstances, to approve applications by
employees charged with offences in the course of their employment for
assistance with legal expenses of their defence and report as necessary to the
appropriate Committee of the Council.
5.6 To deal with, and in appropriate circumstances, to approve applications by
employees convicted of and fined in respect of offences committed whilst acting
in the course of their employment, for full or part payment of the fine imposed
and report as necessary to the appropriate Committee of the Council.
5.7 To deal with, and in appropriate circumstances, to approve applications from
employees for reimbursement of reasonable legal expenses, in part or in whole,
incurred in defending actions raised against them personally, providing that they
were acting:-
5.8 To secure the efficient and effective implementation of the Council's programmes
and policies, the deployment of resources towards that end, and also the
maintenance of internal and external relations being actions of a routine nature
implicit in the day to day management of affairs and all steps ancillary thereto,
not involving a change of policy or the incurring of serious expenditure and for
which there is adequate provision in the estimates.
5.9 To deal with any operational matter not otherwise delegated in the period
between the last meeting of the Council and prior to the setting up of a new
Council following statutory elections.
5.10 In consultation with the Group Manager Human Resources, to approve special
leave for Directors in accordance with the provisions of the appropriate scheme
of salaries and conditions of service and guidelines issued by the Council.
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Scheme of Delegation to Officers
5.11 Following consultation with the Director of Finance, to decide in terms of the
Council's defalcation procedures whether to refer any particular case to the
Police.
5.12 Following consultation with the Group Manager Human Resources to exercise all
discretions available to the Council in terms of the Local Government Pension
Scheme (Scotland) Amendment Regulations 2000 and the Local Government
(Discretionary Payments and Injury Benefits) (Scotland) Amendment Regulations
2000.
General Delegations
6.1 Subject to there being the appropriate provision in the Council's budget, to deploy
resources as they think fit for the best execution of functions under their
management.
6.3 To ensure that all activities undertaken are within the legal powers of the Council
and in the event of doubt to consult with the Director Chief Executive Service.
6.4 To sign all documents on behalf of the Council relevant to the functions for which
the Chief Executive/Director is responsible and to authorise other Officers to do
so, excluding always any specific provision made for documents in terms of
primary or subordinate legislation, statutory direction, the policies of the Council
in this or other Administrative Schemes.
6.5 To take any actions necessary on any emergency situation that is within the remit
of their own post or the Service for which they are responsible.
6.6 To make decisions regarding complaints made under the Council's complaints
procedure.
6.7 Following consultation with the Director Chief Executive Service, to lodge
objections with the Licensing Board under section 16 of the Licensing (Scotland)
Act 1976 where one of the grounds for objection under the Act exists.
6.9 To organise safe working processes within current Health & Safety policies.
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Scheme of Delegation to Officers
6.10 Where thought to be in the interests of the Council, to approve the provision of
reasonable hospitality to representatives of other authorities, organisations,
Officers of the Council and to others in relation to any one occasion.
6.11 To approve the attendance of Officers at conferences within the United Kingdom
where considered to be in the interests of the Council.
6.13 To appoint within their respective departments, all staff up to Chief Officer grade
within the authorised establishments, except where the Council determines
otherwise. The appointment of employees who are in receipt of occupational
pensions, other than teachers, may only be made following consultation with the
Group Manager Human Resources.
6.14 To exercise the powers given to Chief Officers in the various conditions of
service so far as the discipline and efficiency of their Services are concerned.
6.15 To apply the Council's conditions of service as affecting employees within their
Service.
6.17 To sign and issue (a) authorisation to Officers of the Council to exercise statutory
powers (including the right to enter land and premises in connection with the
discharge of their duties) and (b) identity cards. To make recompense in respect
of damage to or loss of an employee's personal property in respect of any one
incident up to an amount not exceeding £100 and up to £500 with the agreement
of the Director of Finance.
6.18 To permit any member of staff to absent themselves occasionally and temporarily
during business hours to attend to duties or services of a civic, honorary,
charitable, academic or social nature in accordance with the Council's special
leave policy provided that these do not interfere with the efficient discharge of the
functions of the Council.
6.19 To allow reasonable unpaid leave of absence to any employee to attend to public
duties as defined in section 50(1) and 2 (2) of the Employees Rights Act 1996 or
approve leave of absence in accordance with the Council's special leave policy.
6.20 To appoint temporary staff where the appointments are fully funded by external
agencies or as replacements for established employees on long-term absence
through sickness, maternity or special leave.
6.21 In consultation with the Group Manager Human Resources, to appoint temporary
staff on appropriate grades additional to the formal establishment to address
exceptional workload peaks, such appointments to be for periods not exceeding
6 months or such longer period as may be agreed with the Chief Executive and
subject to funding being met from existing budgets.
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Scheme of Delegation to Officers
6.22 In consultation with the Group Manager Human Resources and, subject to the
exigencies of the Service, to approve the secondment of staff between Services
of the Council and between the Council and other Councils or other organisations
such appointments to be for periods not exceeding 12 months.
6.23 To take all necessary action of a routine nature in terms of their appointment, to
implement the policies, practices and procedures previously agreed by the
Council and also to take such action implicitly in all matters ancillary thereto,
including the incurring of expenditure of a minor or recurring nature and for which
adequate provision has been made in the estimates.
6.24 To exercise delegations in terms of the Standing Orders relating to contracts
adopted by the Council and to issue orders for the supply of goods and services
for their departments required for normal working and for which there is provision
in the estimates in accordance with the purchasing policy of the Council.
6.25 To exercise delegations in terms of the Financial Regulations adopted by the
Council.
6.26 To maintain proper security for staff, buildings, stocks stores, furniture,
equipment and similar items under their control. Where special arrangements
are considered necessary they shall consult with the Director of Finance.
6.27 To authorise the payment of accounts due by the Council for goods and services
properly supplied and for which there is adequate provision in the estimates.
6.28 To advise the Director of Finance about any extraordinary financial obligation
which will affect the Council.
6.29 To advise the Director of Finance about any extraordinary risk with will affect the
insurances held on behalf of the Council.
6.30 To terminate on behalf of the Council any contract which the Council is entitled to
terminate under the appropriate conditions of contract after consultation with the
Executive Director Community and Support Services, if satisfied that it is in the
interests of the Council.
6.31 To exercise the powers given to the Council by Section 1 of the Local Authorities
(Goods and Services) Act 1970.
7. DIRECTOR OF FINANCE
7.1 As Proper Officer for the administration of the Council’s financial affairs.
7.2 To determine the systems of accounting control and the form of accounts and
supporting records, arrange for the publication of the annual accounts and the
statutory audit.
7.3 To make arrangements for the collection, payment and, where appropriate,
recovery of all income due to or to be collected by the Council including the
council tax, rates and community charge income.
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Scheme of Delegation to Officers
7.7 Must be consulted before a final decision is reached on action proposed into
investigations into frauds or irregularities conducted under the direction of a Chief
Officer.
7.8 To make provision for doubtful debt as considered appropriate and may write-off
debts considered uncollectable up to the individual value of £5,000 with out
reference to Committee.
7.9 To approve the creation of any reserve and any expenditure made.
7.10 To approve any ex-gratia payment of more than £50 to be made to a third party
for loss or damage to property.
7.11 To be the Proper Officer in terms of Section 92 of the 1973 Act and able to
authorise the transfer of Securities and in terms of Section 191 of the 1973 Act
may sign on behalf of the Council any claim in sequestration, liquidation or other
proceedings.
7.12 To grant early retirals on the grounds of efficiency in conjunction with the Group
Manager Human Resources consistent with the Scheme of Retirals adopted for
the time being by the Council.
8. CHIEF CONSTABLE
8.2 In discharging the statutory authority of direction and control in respect of Force
Support Staff, to exercise routine personnel management of all force support
staff in respect of appointments, pay, conditions of service, discipline,
superannuation and other personnel matters.
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Scheme of Delegation to Officers
8.6 To enter into agreements with the occupiers of premises on behalf of the Council
as Police Authority in terms of Section 13(2) of the Police (Scotland) Act 1967
(Watching of premises or land).
8.8 To approve secondments, below Chief Officer rank, from Dumfries and Galloway
Constabulary to Central Service posts or other posts outside the Force under
section 38 of the Police (Scotland) Act 1967 or other applicable legislation,
subject to prior consultation, in the case of Divisional Commanders or other
Officers whose working relationship with the community or the Council has been
significant, with the Chair of the Police and Fire Committee and the relevant
Chair of the Area Committee.
The duties delegated to the Chief Fire Officer are also delegated to the Brigade
Managers and may be sub-delegated to any other Officer under the direction and
control of the Chief Fire Officer whom the Chief Fire Officer may, by written notice,
nominate, and copy of any notice thus served shall be submitted to the Fire Authority for
information. In exercising any delegated function the nominating Officer will take
account of any appropriate Fire and Rescue Service practices and procedures, of any
managerial instruction given and of any similar consideration.
9.1 In accordance with Section 19(2) of the Fire Services Act 1947 to be directly
responsible for the management of all executive, administrative and operational
aspects of the Fire and Rescue Service.
9.2 To discharge the duties of the Fire Authority under the various Acts, Orders,
Rules, Regulations and Byelaws relating to Fire Safety, Health and Safety etc as
approved by the Authority and to authorise any Officer who is, in his/her opinion,
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Scheme of Delegation to Officers
suitably qualified so to act, to carry out any such duties aforesaid and including,
without prejudice to the generality of the foregoing, authority to sign on behalf of
the Authority, such Fire Certificates, Notices, Licences or other documents as
may be required to be issued in connection therewith.
9.3 In consultation with the Director of Finance to determine, within a policy laid
down by the Authority, charges for special services, courses and other services
provided by the Fire and Rescue Service, and the waiving and modification of
any such charges.
9.4 In discharging the statutory authority of direction and control with regard to Fire
and Rescue Service Staff, to exercise routine personnel management of all Staff
in respect of appointments, pay, extension of sick pay arrangements, conditions
of service, discipline, superannuation and other personnel matters.
9.6 In consultation with the Council, to institute on behalf of the Authority any
proceedings in the Courts in connection with any offences under fire safety
legislation for the time being in force.
9.7 To determine, in such cases where an employee of the Fire and Rescue Service
has accepted an unsolicited gratuity, which charity the gratuities shall be given.
9.9 To operate the following schemes in consultation with the Director of Finance,
having due regard to the rate of inflation to determine charges and allowances:
9.10 To grant paid leave of absence in relation to meetings and membership of those
public bodies referred to in the Conditions of Service.
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Scheme of Delegation to Officers
10.1 Any reference in this Scheme to a particular Act or statutory provision is, unless
the contrary intention appears, a reference to that Act or statutory provision as
amended.
10.2 All matters of interpretation of the Scheme are to be determined by the Director
Chief Executive Service.
10.3 The Director Chief Executive Service is authorised to supply any omission in or
necessary amendment to or to correct any error arising in this Scheme of
Delegation which is of an administrative nature.
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