Appendix 1 - Procedural Decisions Not Contained Within The General Procedural Rules
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Procedure Rules Relating to Staff
A. Appointment and Dismissal of Staff
NB: Please also see Page
No. 135 - Terms of Reference for the Appointments Committee
(Part 3, Appendix 4) which
deals with arrangements for the appointment of a Chief Executive
(Head of Paid Service), Deputy Chief Executive, and Heads of
Service.
1) The appointment and dismissal of, and
taking of disciplinary action against, a Member of staff of the
Authority must be discharged, on behalf of the Authority, by the
Head of Paid Service or by an Officer nominated by him.
2) Paragraph (1) above shall not apply to
the appointment or dismissal of, or disciplinary action
against:-
(a) the Officer designated as the Head of the Authority’s Paid
Service;
(b) A Non-Statutory Chief Officer, namely
(i) a
person for whom the Head of the Authority’s Paid Service is
directly responsible;
(ii) a
person who, as respects all or most of the duties of his/her post,
is required to report directly or is
directly
accountable to the Head of the Authority’s Paid Service; and
(iii) any
person who, as respects all or most of the duties of his post, is
required to report directly or is
directly
accountable to the Local Authority themselves or any Committee or
Sub-Committee of the
Authority.
(c) A Deputy Chief
Officer, namely a person who, as respects all or most of the duties
of his post, is
required
to report directly or is directly accountable to one or more of the
Statutory or Non-statutory
Chief
Officers.
(d) Assistants
for political groups.
3) (1) Where a
Committee, Sub-Committee or Officer is discharging, on behalf of
the Authority, the function of
the appointment or dismissal
of an Officer designated as the Head of the Authority’s Paid
Service, the
Authority must approve that
appointment before an offer of appointment is made to him/her or,
as the case
may be or must approve
dismissal before Notice of Dismissal is given to him/her.
(2) Where a Committee or a
Sub-Committee of the Authority is discharging, on behalf of the
Authority, the
function of the appointment or
dismissal of any Officer referred to in Paragraph 2 (b) to (d)
(above)
at least one Member of the
Executive must be a Member of that Committee or Sub-Committee.
4) (1) “Appointor”
means in relation to the appointment of a person as an Officer of
the Authority, the Authority
or, where a Committee,
Sub-Committee or Officer is discharging the function of appointment
on behalf of the
Authority, that Committee,
Sub-Committee or Officer, as the case may be.
(2) An offer of an appointment as an Officer referred to in
sub-paragraphs (b) (i) (ii) (iii) or (c) of paragraph 2
must not be made by the
appointor until
(a) the
appointor has notified the Proper Officer of the name of the person
to whom the appointor
wishes
to make the offer and any other particulars which the appointor
considers are relevant to the
appointment;
(b) the
Proper Officer has notified every Member of the Executive of the
Authority of:
(i) the
name of the person to whom the appointor wishes to make the
appointment
(ii) any
other particulars relevant to the appointment which the appointor
has notified to the Proper
Officer; and
(iii) the
period within which any objection to the making of the offer is to
be made by the Executive
Leader
on behalf of the Executive to the Proper Officer; and
(c) either
(i) the
Executive Leader has, within the period specified in the Notice
under sub-paragraph (b) (iii),
notified the appointor that neither he nor any other Member of the
Executive has any objection to the
making
of the offer.
(ii) the
Proper Officer has notified the appointor that no objection was
received by him within that
period
from the Executive Leader; or
(iii) the
appointor is satisfied that any objection received from the
Executive Leader within that period
is
not material or is not well-founded.
5) (1) “Dismissor”
means, in relation to the dismissal of an Officer of the Authority,
the Authority or, where a
Committee, Sub-Committee or
another Officer is discharging the function of dismissal on behalf
of the
Authority, that Committee,
Sub-Committee or other Officer as the case may be.
(2) Notice of the
dismissal of an Officer referred to in sub-paragraph (b) (i) (ii)
(iii) or (c) of paragraph 2 must
not be given by the dismissor
until:
(a) the
dismissor has notified the Proper Officer of the name of the person
who the dismissor wishes to
dismiss
and any other particulars which the dismissor considers are
relevant to the dismissal;
(b) The
Proper Officer has notified every Member of the Executive of the
Authority of:
(i) the
name of the person who the dismissor wishes to dismiss.
(ii) any
other particulars relevant to the dismissal which the dismissor has
notified to the Proper
Officer;
and
(iii) the
period within which any objection to the dismissal is to be made by
the Executive Leader on
behalf
of the Executive to the Proper Officer; and
(c) Either
(i) the Executive Leader has, within the period specified in
the Notice under sub-paragraph (b) (iii),
notified
the dismissor that neither he nor any other Member of the Executive
had any objection to the
dismissal.
(ii)
the Proper Officer has notified the dismissor that no objection was
received by him within that
period
from the Executive Leader; or
(iii) the
dismissor is satisfied that any objection received from the
Executive Leader within that period
is
not material or is not well-founded.
6) Nothing in paragraph 1 shall
prevent a person from service as a Member of any Committee or
Sub-Committee established by the Authority to consider an appeal
by:
(a) Another person against any decision relating to the
appointment of that other person as a member of
staff of the Authority; or
(b) A member of staff of the Authority against any decision
relating to the dismissal of, or taking disciplinary
action against, that member of
staff.
NB 1 The power to approve the
appointment or dismissal of the Head of the Authority’s Paid
Service shall be exercised by the Full Council. Neither
courses of action may be delegated to a Committee or
Sub-Committee.
NB 2 “Disciplinary Action” in
relation to a member of staff of a Local Authority means any action
occasioned by alleged misconduct which, if proved, would according
to the usual practice of the Authority, be recorded on the member
of staff’s personal file, and includes any proposal for dismissal
of a member of staff for any reason other than redundancy,
permanent ill-health or infirmity of mind or body, but does not
include failure to renew a contract of employment for a fixed term
unless the Authority has undertaken to renew such a
contract.
“Member of Staff” means a person appointed to or holding a paid
office or employment.
(The Local Authorities
(Standing Orders) (England) Regulations 2001)
B. Disciplinary Action Against the Head of the
Authority’s Paid Service, the Monitoring Officer, and/or the Chief
Finance (151) Officer
1) No disciplinary action in respect of
the Head of the Authority’s paid service, the Monitoring Officer or
the Chief Finance (Section 151) Officer except action described in
paragraph 2 below may be taken by the Authority, or by a Committee,
a Sub-Committee, a Joint Committee on which the Authority was
represented or any other person acting on behalf of the Authority,
other than in accordance with a recommendation in a report made by
a Designated Independent Person under Regulation 7 of the Local
Authorities (Standing Orders) (England) Regulations 2001
(Investigation of Alleged Misconduct).
2) The action mentioned in paragraph 1
above is suspension of the Officer for the purpose of investigating
the alleged misconduct occasioning the action; and any such
suspension must be on full pay and terminate no later than the
expiry of two months beginning on the day on which the suspension
takes effect.
(The Local
Authorities (Standing Orders) (England) Regulations
2001)
C. Investigation of Alleged Misconduct
1) If it appears to the Local Authority
that an allegation of misconduct by:-
(a) The Head of the Authority’s Paid Service;
(b) The Monitoring Officer; or
(c) Its Chief Finance (Section 151) Officer,
as the
case may be, (“the Relevant Officer”), requires to be investigated,
the Authority must appoint a
person (“the Designated
Independent Person”) to investigate any allegation of
misconduct).
2) The designated independent person must
be such a person as may be agreed between the Authority and the
relevant Officer or, in default of such agreement, nominated by the
Secretary of State.
3) The designated independent
person:-
(a) may direct:
(i) that
the Authority terminate any suspension of the relevant Officer;
(ii) that
any such suspension must continue after the expiry of two
months;
(iii) that
the terms on which any such suspension has taken place must be
varied in accordance with the
direction;
or
(iv) that
no steps (whether by the Authority or any Committee, Sub-Committee
or Officer acting on behalf
of
the Authority) towards disciplinary action or further disciplinary
action against the relevant Officer,
other
than steps taken in the presence, or with the agreement, of the
Designated Independent Person,
are
to be taken before a report is made under Sub-Paragraph (d)
below;
(b) may inspect any documents relating to the conduct of the
relevant Officer which are in the possession
of the Authority, or which the
Authority has power to authorise him to inspect.
(c) may require any member of staff of the Authority to answer
questions concerning the conduct of the
relevant Officer;
(d) must make a report to the Authority:-
(i) stating
his opinion as to whether (and, if so, the extent to which) the
evidence he has obtained
supports
any allegation of misconduct against the relevant Officer; and
(ii) recommending
any disciplinary action which appears to him to be appropriate for
the Authority to take
against
the relevant Officer; and
(e) must no later than the time at which he makes his report
under Sub-Paragraph (d) above, send a copy of
the report to the relevant
Officer.
4) A Local Authority must pay reasonable
remuneration to a Designated Independent Person appointed by the
Authority and any costs incurred by him in, or in connection with,
the discharge of his/her functions under this standing order.
(The Local Authorities
(Standing Order) (England) Regulations 2001)
Plans and Strategies
D. Executive Draft Plans and Strategies
1) Where the Executive has submitted a Draft Plan or
Strategy to the Authority for its consideration and, following
consideration of that Draft Plan or Strategy, the Authority has any
objections to it, the Authority must take the action set out in
paragraph 2.
2) Before the Authority:
(a) amends the Draft Plan or Strategy;
(b) approves, for the purpose of its submission to the
Secretary of State or any Minister of the Crown for his
approval, any plan or strategy
(whether or not in the form of a draft) of which any part is
required to be so
submitted; or
(c) adopts, (with or without modification) the Plan or
Strategy,
It must
inform the Executive Leader of any objection which it has to the
Draft Plan or Strategy and must give to him
instructions requiring the
Executive to reconsider, in the light of those objections, the
Draft Plan or Strategy
submitted to it.
3) Where the Authority gives instructions
in accordance with paragraph 2), it must specify a period of at
least five working days beginning on the day after the date on
which the Executive Leader receives the instructions on behalf of
the Executive, within which the Executive Leader may:-
(a) submit a revision of the Draft Plan or Strategy as amended
by the Executive (the “revised Draft Plan or
Strategy”), with the
Executive’s reasons for any amendments made to the Draft Plan or
Strategy, to the Authority
for the Authority’s
consideration; or
(b) inform the Authority of any disagreement that the
Executive has with any of the Authority’s objections and
the
Executive’s reasons for any
such disagreement.
4) When the period specified by the
Authority, referred to in paragraph 3), has expired, the Authority
must, when:-
(a) amending the Draft Plan or Strategy or, if there is one,
the revised Draft Plan or Strategy;
(b) approving, for the purpose of its submission to the
Secretary of State or any Minister of the Crown for his
approval, any Plan or Strategy
(whether or not in the form of a Draft or Revised Draft) of which
any part is
required to be so submitted;
or
(c) adopting, (with or without modification) the plan or
strategy,
take into
account any amendments made to the Draft Plan or Strategy that are
included in any revised Draft Plan or
Strategy, the Executive’s
reasons for those amendments, any disagreement that the Executive
has with any of
the Authority’s objections and
the Executive’s reasons for that disagreement, which the Executive
Leader
submitted to the Authority, or
informed the Authority of, within the period specified.
5) Subject to paragraph 9, where before
8th February in any financial year, the Authority’s
Executive submits to the Authority for its consideration in
relation to the following financial year:-
(a) estimates of the amounts to be aggregated in making a
calculation (whether originally or by way of a
subsitute) in accordance with
any of Sections 32 to 37 or 43 to 49, of the Local Government
Finance Act 1992;
(b) estimates of other amounts to be used for the purposes of
such a calculation;
(c) estimates of such a calculation; or
(d) amounts required to be stated in a precept under Chapter
IV of Part 1 of the Local Government Finance Act
1992, and following
consideration of those estimates or amounts the Authority has any
objections to them, it must
take the action set out in
paragraph 6.
6) Before the Authority makes a
calculation (whether originally or by way of substitute) in
accordance with any of the sections referred to in paragraph 5(a),
or issues a precept under Chapter IV of Part 1 of the Local
Government Finance Act 1992, it must inform the Executive Leader of
any objections which it has to the Executive’s estimates or amounts
and must give to him instructions requiring the Executive to
reconsider, in the light of those objections, those estimates and
accounts in accordance with the Authority’s requirements.
7) Where the Authority gives instructions
in accordance with paragraph 6, it must specify a period of at
least five working days beginning on the day after the date on
which the Executive Leader receives the instructions on behalf of
the Executive within which the Executive Leader may:-
(a) submit a revision of the estimates or amounts as amended
by the Executive (“revised estimates or amounts”),
which have been reconsidered
in accordance with the Authority’s requirements, with the
Executive’s reasons for
any amendments made to the
estimates or amounts, to the Authority for the Authority’s
consideration; or
(b) inform the Authority of any disagreement that the
Executive has with any of the Authority’s objections and
the
Executive’s reasons for any
such disagreement.
8) When the period specified by the
Authority, referred to in paragraph 7, has expired, the Authority
must, when making calculations (whether originally or by way of
substitute) in accordance with the sections referred to in
paragraph 5(a), or issuing a precept under Chapter IV of Part 1 of
the Local Government Finance Act 1992, take into account;
(a) any amendments to the estimates or amounts that are
included in any revised estimates or amounts
(b) the Executive’s reasons for those amendments;
(c) any disagreement that the Executive has with any of the
Authority’s objections; and
(d) the Executive’s reasons for that disagreement,
(which
the Executive Leader submitted to the Authority, or informed the
Authority of, within the period specified).
9) Paragraphs 5-8 shall not apply in
relation to:-
(a) calculations or substitute calculations which an Authority
is required to make in accordance with Section 52I,
52J, 52T or 52U of the Local
Government Finance Act 1992; and
(b) amounts stated in a precept issued to give effect to
calculations or substitute calculations made in
accordance
with Section 52J or 52U of
that Act.
(The Local Authorities
(Standing Orders) (England) Regulations 2001)
E. Sealing And Authentication Of Documents
1) The Common Seal of the Council shall not be affixed to
any document unless the sealing has been authorised by a resolution
of the Council, the Executive or of
a Committee, Sub-Committee or Officer acting in pursuance of
delegated powers.
Law of Property Act
1925 - Section 74
2) A resolution of the Council
authorising the acceptance of any tender, the purchase, sale,
letting, or taking of any property, the issue of any stock, the
presentation of any petition, memorial or address, the making of
any rate precept upon the Council Tax Collection Fund or contract,
or any other matter or thing shall be a sufficient authority for
sealing any document necessary to give effect to or in consequence
of that resolution.
3) The Seal shall be attested by one
Member and one Officer being:-
(a) the Mayor or Deputy Mayor of the Council (or in their
absence the Leader of the Council or Deputy Leader of
the Council) and,
(b) the Head of Legal and Democratic Services or another
practising solicitor employed as such or the Chief Executive
or
Deputy Chief Executive.
4) An entry of every sealing of a
document shall be made and numbered consecutively in a book
provided for that purpose (which shall also indicate the authority
for such sealing) and shall be signed or initialled by the persons
who shall have attested the Seal.
5) In cases of urgency, if any Member is
not available readily to attest the Seal in accordance with
sub-paragraph (3)(a) above then the Head of Legal and Democratic
Services or other duly authorised Officer may attest alone.
Next - Part 4 - Appendix 2 - Political
Balance
This webpage was updated on
8/17/2011