APPENDIX A
Officer Employment
Procedure Rules
These Rules
are designed to conform with the requirements of the Local Authorities
(Standing Orders) (Wales) Regulations 2006 (“the Regulations”) as amended by the
Local Authorities (Standing Orders) (Wales) (Amendment) Regulations 2014 (“the
Amending Regulations”). Some of the Rules are also locally determined but in
the event of any conflict with the Regulations, the latter shall prevail. The Rules covered by the Regulations cannot
be amended other than by legislation. These Rules need to be read in
conjunction with the full Regulations and Amending Regulations, copies of which
are available from Legal Services.
In these
Rules, the following terms have the meaning prescribed by the Regulations:
(a) “Chief
Officer” means the Head of its Paid Service ; a statutory Chief Officer in
paragraph (a), (c) or (d) of Section 2(6) of the Local Government and Housing
Act 1989 (“the 1989 Act”); a non-statutory Chief Officer within the meaning of
Section 2(7) of the 1989 Act above; the Monitoring Officer and Head of
Democratic Services; and any reference to an appointment or purported
appointment of a Chief Officer includes a reference to the engagement or
purported engagement of such an Officer under a contract of employment.
(b) “Head of
Paid Service” means the officer designated under Section 4(1) of the 1989 Act.
(c) “Chief
Finance Officer” means the officer having responsibility for the purposes of
Section 151 of the Local Government Act 1972.
(d)
“Monitoring Officer” means the officer designated under Section 5(1) of the
1989 Act.
(e) “Head of
Democratic Service” means the officer designated under Section 8 of the Local
Government (Wales) Measure 2011.
(f) “Deputy
Chief Officer” means a person within the meaning of Section 2(8) of the 1989
Act.
(g)
“disciplinary action” in relation to a member of staff of the Council means any
action occasioned by alleged misconduct which, if proved, would, according to
the usual practice of the Council, 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. [1]
(h) “member of staff “ means a person appointed to or holding a
paid office or employment, under the Council.
(i) “remuneration” has the same
meaning as in Section 43(43) of the Localism Act 2011
1. Recruitment
and appointment
1.1 Declarations
The Council will require any candidate for
appointment to state in writing whether they are the parent, grandparent,
partner, child, stepchild, adopted child, grandchild, brother, sister, uncle,
aunt, nephew or niece of an existing councillor or senior officer of the
Council at Head of Service level or above; or of the partner of such persons.
1.2 Seeking
support for appointment.
1.2.1. the Council will disqualify any applicant who directly or
indirectly seeks the support of any officer involved in the appointments
process (other than as referee) or councillor, for any appointment with the
Council. The content of this paragraph will be included in any recruitment
information.
1.2.2. no councillor will seek support for any person for any
appointment with the Council.
1.2.3. no councillor shall give a written or oral testimonial of
the candidate’s ability, experience or character for submission to the Council
with an application for an appointment.
2. Recruitment
of Chief Officers
2.1.
Where
the Council propose to appoint a Chief Officer within the terms of the
Regulations and the remuneration which it proposes to pay to the Chief Officer is
£100,000 or more per annum it shall take the steps set out in paragraph 2.2.3.
2.2. Where the Council proposes to appoint a
Chief Officer and where it is not proposed to pay to the Chief Officer the
remuneration mentioned in paragraph 2.1. and it is not
proposed that the appointment be made exclusively from among its existing
officers it shall take the steps set out in paragraph 2.2.3.
2.2.3. The Council shall:-
(a) draw up a statement specifying —
(i) the duties of the officer concerned, and
(ii) any qualifications
or qualities to be sought in the person to be appointed
(b) make arrangements for the post to be
advertised in such a way as is likely to bring it to the attention of persons
who are qualified to apply for it and
(c) make arrangements
for a copy of the statement mentioned in paragraph (a) to be sent to any person
on request.
2.2.4. The requirement to advertise contained in
paragraph 2.2.3. (b) does not apply where the proposed
appointment under paragraph 2.1. is for a period of no
longer than twelve months.
2.3.1. Where the Chief Executive (acting on the
advice of the Head of Human Resources) considers that the number of qualified
applicants for a vacancy make it difficult for the Special Appointments
Committee to prepare a final shortlist for consideration by Council then the
Chief Executive may compile and submit an initial list of qualified applicants
for consideration by the Special Appointments Committee.
2.3.2. In exercising the delegation set out in rule
2.3.1. the Chief Executive shall consider the views of
the Head of Human Resources, the Leader of Council and the Leader of the
largest non-executive political group.
2.3.3. In cases other than as set out in Rule 2.3.1.
the Chief Executive shall refer all qualified
applicants to the Special Appointments Committee.
2.3.4. The Special Appointments Committee shall
either:-
(a) Refer all qualified applicants submitted to it
by the Chief Executive to full Council for selection, or
(b) Compile a shortlist of qualified applicants
from the qualified applicants submitted to it by the Chief Executive and refer
that shortlist to full Council for selection.
2.4.
The Special Appointments Committee
shall be constituted in accordance with the provisions of Paragraph 4 (2) of Part
2 of Schedule 3 of the Regulations – which means that at least one member of
the executive must be a member of that Committee, but not more than half of the
members of the Committee are to be members of the executive.
2.5. The Council shall interview all applicants
referred to it for interview by the Special Appointments Committee in
accordance with Paragraph 2.3.4.
2.6. Where no qualified person has applied, or
if the Council decides to re-advertise the appointment, the Council may make
further arrangements for advertisement in accordance with procedure rule
2.2(b).
2.7. Where the duties of a chief officer
include the discharge of functions of two or more relevant authorities in
pursuance of section 101(5) of the Local Government Act 1972 or section 20
Local Government Act 2000 and the authorities have agreed that it will be a
joint appointment -
2.7.1 the steps taken
under paragraph 2.2.3., 2.3.4., 2.5. and 2.6. above may be taken by a joint committee of those relevant
authorities, a subcommittee of that committee or a chief officer of any of the
relevant authorities concerned; and
2.7.2. any chief officer
may be appointed by such a joint committee, a sub-committee of that committee
or a committee or sub-committee of any of those relevant authorities.
2.8 The Council shall determine the level,
and any change in the level, of remuneration to be paid to a Chief Officer
2.9. The full Council shall make all decisions
relating to the appointment of the Head of Paid Service.
3. Appointment
of Monitoring Officer and Deputy Chief Officers
3.1 The Special Appointments Committee will
shortlist applicants and appoint the Monitoring Officer and Deputy Chief
Officers (ie
in Neath Port Talbot the Heads of Service).
The relevant Regulatory Committee Chair may also attend the Committee in an
advisory capacity.
3.2 The Special Appointments Committee shall
be constituted in accordance with the provisions of Paragraph 4 (2) of Part 2
of Schedule 3 of the Regulations – which means that at least one member of the
executive must be a member of that Committee, but not more than half of the
members of the Committee are to be members of the executive.
4. Other
Appointments
4.1 The function of appointment of a member of
staff of the Council (other than Chief Officers, Deputy Chief Officers, and
persons to whom regulations made under Section 35(4) and (5) of the Education
Act 2002 apply – teachers and other staff of schools) must be discharged, on
behalf of the Council, by the Head of Paid Service or by an officer nominated
by the Head of Paid Service.
Accordingly, the following shortlisting and appointment arrangements
shall apply in respect of all appointments below Deputy Chief Officer level:
Posts Method
With
pay scale commencing
at scp 39 and above, or Chief
Officer or Deputy
equivalent. Chief
Officer
With pay scale commencing
Chief Officer or Deputy
at scp 38
and below, or Chief Officer or Accountable
equivalent Manager or Line Manager
Other appointment provisions
4.2 The
starting salary for all posts, other than those graded in accordance with
salary scale 1, will normally be at the minimum point of
the scale, but the starting point may be other than the minimum at the
discretion of the authorised Officer making the appointment.
4.3 For
appointments of:-
4.3.1. Officers
and Assistant Officers in Charge of Residential children’s establishments and
4.3.2. basic grade social
workers working with children,
these appointments
are to be carried out by a Panel of three Officers in accordance with the
recommendations as set out in the Adrianne Jones and Warner Reports.
4.4 For joint
appointments with schools, representative Headteachers
will be involved in the appointment at shortlisting and interview stages.
4.5 The
Director of Education, Leisure and Lifelong Learning is also required to give
statutory advice to School Governing Bodies on the appointment and dismissal of
persons to whom regulations made under section 35(4) and (5) of the Education
Act 2002 apply.
5. Disciplinary
action and Dismissal
5.1 The function of dismissal of, and taking
disciplinary action against, a member of staff of the Council (other than Chief
Officers, Deputy Chief Officers, Chief Finance Officer, and persons to whom
regulations made under Section 35(4) and (5) of the Education Act 2002 apply –
teachers and other staff of schools) must be discharged, on behalf of the
Council, by the Head of Paid Service or by an officer nominated by the Head of
Paid Service. Accordingly, the
disciplinary procedures set out the Officer functions.
5.2 For the purposes of Paragraphs 5.1 and 5.7,
Chief Officers, Deputy Chief Officers and Chief Finance Officer shall be taken
to include any officer identified in paragraph 5.1 who was, but at the time of
the proposed disciplinary action no longer is, one of these officers and the
alleged misconduct or, as the case may be, the reason for the proposal for
dismissal, occurred during the period when the officer was an officer
identified in paragraph 5.1
5.3 Where a Committee or Sub Committee or
Officer is discharging on behalf of the Council, the function of dismissal of
an officer designated as the Head of Paid Service, the Council must approve
that dismissal before notice of dismissal is given. The power to approve the
dismissal of the Head of Paid Service must be exercised by the Council itself,
and accordingly Section 101 of the Local Government Act 1972 does not apply to
the exercise of that power.
5.4 Where a Committee or Sub Committee is
discharging on behalf of the Council the function of the dismissal of Head of
Paid Service, Chief Officer or Deputy Chief Officer within the meaning of the
Regulations, any such Committee or Sub Committee shall be constituted in
accordance with the provisions of Paragraph 4 (2) of Part 2 of Schedule 3 of
the Regulations – which means that at least one member of the executive must be
a member of that Committee, but not more than half of the members of the
Committee are to be members of the executive.
5.5 Nothing in the paragraphs above prevents a
person from serving as a member of any Committee or Sub Committee established
by the Council to consider an appeal by a member of staff of the Council
against any decision relating to the dismissal of, or taking disciplinary
action against, that member of staff.
5.6 Disciplinary Action or dismissal of teachers
and other staff of schools employed by the local education authority is dealt
with by regulations made under Section 35(4) and (5) of the Education Act 2002.
5.7. In respect of the Head of Paid Service; Chief
Finance Officer; Head of Democratic Services and Monitoring Officer, the
following provisions shall apply:-
5.7.1. In paragraph 5.7.2., “head
of the authority’s paid service”; “chief finance officer”; “monitoring
officer”; “head of democratic services” and “disciplinary action” have the same
meaning as in Regulation 2 of the Regulations, and “designated independent
person” has the same meaning as in Regulation 9 of those Regulations.
5.7.2. No disciplinary action (other than action to
which paragraph 5.7.3. applies in
respect of the head of the authority’s paid service, the chief finance officer,
the monitoring officer and the Head of Democratic Services, may be taken by the
Council, or by a committee or a sub-committee (or a joint committee on which
the Council is represented or any other person acting on behalf of the
Council), other than in accordance with a recommendation in a report made by a
designated independent person under Regulation 9 of the Regulations
5.7.3. The action to which
this paragraph applies is suspension of the officer for the purpose of
investigating the alleged misconduct occasioning the action; provided such
suspension is on full pay and terminates no later than the expiry of two months
beginning on the day on which the suspension takes effect.
5.7.4. The procedures under Regulation 9 of the Regulations must apply in
respect of any investigation of alleged misconduct against the head of the
authority’s paid service, the chief finance officer, the monitoring officer or
the Head of Democratic Services.
5.8. The full Council must determine any matter
relating to the dismissal of the Head of Paid Service
5.9. All members of staff shall be subject to
the relevant approved disciplinary procedures and every member of staff shall
have rights of appeal as set out in those procedures against any decision
relating to the dismissal of, or taking disciplinary action against, that
member of staff