The Local Authorities (Standing Orders) (England) Regulations 2001

Regulations 3(1) and 4(1)

SCHEDULE 1PROVISIONS TO BE INCORPORATED IN STANDING ORDERS RELATING TO STAFF

PART IAUTHORITY WITH MAYOR AND CABINET EXECUTIVE

1.  In this Part—

“the 1989 Act” means the Local Government and Housing Act 1989(1);

“the 2000 Act” means the Local Government Act 2000(2);

“disciplinary action” has the same meaning as in the Local Authorities (Standing Orders) (England) Regulations 2001;

“elected mayor” and “executive” have the same meaning as in Part II of the 2000 Act;

“member of staff” means a person appointed to or holding a paid office or employment under the authority; and

“proper officer” means an officer appointed by the authority for the purposes of the provisions in this Part.

2.  Subject to paragraphs 3 and 7, the function of appointment and dismissal of, and taking disciplinary action against, a member of staff of the authority must be discharged, on behalf of the authority, by the officer designated under section 4(1) of the 1989 Act (designation and reports of head of paid service) as the head of the authority’s paid service or by an officer nominated by him.

3.  Paragraph 2 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 statutory chief officer within the meaning of section 2(6) of the 1989 Act(3) (politically restricted posts);

(c)a non-statutory chief officer within the meaning of section 2(7) of the 1989 Act;

(d)a deputy chief officer within the meaning of section 2(8) of the 1989 Act;

(e)a person appointed in pursuance of section 9 of the 1989 Act(4) (assistants for political groups); or

(f)a person appointed in pursuance of regulations under paragraph 6 of Schedule 1 to the 2000 Act (mayor’s assistant).

4.—(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 or, as the case may be, must approve that dismissal before notice of dismissal is given to him.

(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 sub-paragraphs (a), (b), (c) or (d) of paragraph 3, at least one member of the executive must be a member of that committee or sub-committee.

5.—(1) In this paragraph, “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-paragraph (a), (b), (c) or (d) of paragraph 3 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 offer;

(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 elected mayor on behalf of the executive to the proper officer; and

(c)either—

(i)the elected mayor 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 elected mayor; or

(iii)the appointor is satisfied that any objection received from the elected mayor within that period is not material or is not well-founded.

6.—(1) In this paragraph, “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 (a), (b), (c) or (d) of paragraph 3 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 elected mayor on behalf of the executive to the proper officer; and

(c)either—

(i)the elected mayor 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 has 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 elected mayor; or

(iii)the dismissor is satisfied that any objection received from the elected mayor within that period is not material or is not well-founded.

7.  Nothing in paragraph 2 shall prevent a person from serving 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.

PART IIAUTHORITY WITH LEADER AND CABINET EXECUTIVE

1.  In this Part—

“the 1989 Act” means the Local Government and Housing Act 1989(5);

“the 2000 Act” means the Local Government Act 2000(6);

“disciplinary action” has the same meaning as in the Local Authorities (Standing Orders) (England) Regulations 2001;

“executive” and “executive leader” have the same meaning as in Part II of the 2000 Act;

“member of staff” means a person appointed to or holding a paid office or employment under the authority; and

“proper officer” means an officer appointed by the authority for the purposes of the provisions in this Part.

2.  Subject to paragraphs 3 and 7, the function of appointment and dismissal of, and taking disciplinary action against, a member of staff of the authority must be discharged, on behalf of the authority, by the officer designated under section 4(1) of the 1989 Act (designation and reports of head of paid service) as the head of the authority’s paid service or by an officer nominated by him.

3.  Paragraph 2 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 statutory chief officer within the meaning of section 2(6) of the 1989 Act(7) (politically restricted posts);

(c)a non-statutory chief officer within the meaning of section 2(7) of the 1989 Act;

(d)a deputy chief officer within the meaning of section 2(8) of the 1989 Act; or

(e)a person appointed in pursuance of section 9 of the 1989 Act(8) (assistants for political groups).

4.—(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 or, as the case may be, must approve that dismissal before notice of dismissal is given to him.

(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 sub-paragraph (a), (b), (c) or (d) of paragraph 3, at least one member of the executive must be a member of that committee or sub-committee.

5.—(1) In this paragraph, “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-paragraph (a), (b), (c) or (d) of paragraph 3 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 offer;

(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.

6.—(1) In this paragraph, “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 (a), (b), (c) or (d) of paragraph 3 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 has 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.

7.  Nothing in paragraph 2 shall prevent a person from serving 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.

PART IIIAUTHORITY WITH MAYOR AND COUNCIL MANAGER EXECUTIVE

1.  In this Part—

“the 2000 Act” means the Local Government Act 2000(9);

“council manager” has the same meaning as in section 11(4)(b) of the 2000 Act;

“disciplinary action” has the same meaning as in the Local Authorities (Standing Orders) (England) Regulations 2001; and

“member of staff” means a person appointed to or holding a paid office or employment under the authority.

2.  Subject to paragraphs 3 and 4, the function of appointment and dismissal of, and taking disciplinary action against, a member of staff of the authority must be discharged, on behalf of the authority, by the council manager or by an officer nominated by him.

3.  Paragraph 2 shall not apply to the appointment or dismissal of, or disciplinary action against—

(a)the council manager(10);

(b)a person appointed in pursuance of section 9 of the Local Government and Housing 1989 Act(11) (assistants for political groups); or

(c)a person appointed in pursuance of regulations under paragraph 6 of Schedule 1 to the 2000 Act (mayor’s assistant).

4.  Nothing in paragraph 2 shall prevent a person from serving as a member of any committee or sub-committee established by the authority to consider an appeal—

(a)by 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.

PART IVAUTHORITY OPERATING ALTERNATIVE ARRANGEMENTS

1.  In this Part—

“the 1989 Act” means the Local Government and Housing Act 1989(12);

“disciplinary action” has the same meaning as in the Local Authorities (Standing Orders) (England) Regulations 2001; and

“member of staff” means a person appointed to or holding a paid office or employment under the authority.

2.  Subject to paragraphs 3 and 5, the function of appointment and dismissal of, and taking disciplinary action against, a member of staff of the authority must be discharged, on behalf of the authority, by the officer designated under section 4(1) of the 1989 Act (designation and reports of head of paid service) as the head of the authority’s paid service or by an officer nominated by him.

3.  Paragraph 2 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 statutory chief officer within the meaning of section 2(6) of the 1989 Act(13) (politically restricted posts);

(c)a non-statutory chief officer within the meaning of section 2(7) of the 1989 Act;

(d)a deputy chief officer within the meaning of section 2(8) of the 1989 Act; or

(e)a person appointed in pursuance of section 9 of the 1989 Act(14) (assistants for political groups).

4.  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 or, as the case may be, must approve that dismissal before notice of dismissal is given to him.

5.  Nothing in paragraph 2 shall prevent a person from serving 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.

Regulation 3(1)

SCHEDULE 2PROVISIONS TO BE INCORPORATED IN STANDING ORDERS REGULATING PROCEEDINGS AND BUSINESS

PART IAUTHORITY WITH MAYOR AND CABINET EXECUTIVE OR MAYOR AND COUNCIL MANAGER EXECUTIVE

1.  In this Part—

• “elected mayor” and “executive” have the same meaning as in Part II of the Local Government Act 2000(15); and

• “plan or strategy” and “working day” have the same meaning as in the Local Authorities (Standing Orders) (England) Regulations 2001.

2.  Where the executive of the authority 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 3.

3.  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 elected mayor of any objections 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.

4.  Where the authority gives instructions in accordance with paragraph 3, it must specify a period of at least five working days beginning on the day after the date on which the elected mayor receives the instructions on behalf of the executive within which the elected mayor 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.

5.  Subject to paragraph 6, when the period specified by the authority, referred to in paragraph 4, 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 modifications) 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 elected mayor submitted to the authority, or informed the authority of, within the period specified.

6.  Where the authority proposes to—

(a)amend the draft plan or strategy or, as the case may be, the revised draft plan or strategy;

(b)approve, 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)adopt with modifications the plan or strategy,

and that plan or strategy (whether or not in the form of a draft), with any proposed amendments or modifications, is not in accordance with the draft plan or strategy or, as the case may be, the revised draft plan or strategy, the question whether to amend, to approve or to adopt the plan or strategy must be decided in accordance with paragraph 7.

7.  The question referred to in paragraph 6 must be decided by a two thirds majority of the members of the authority present and voting on the question at a meeting of the authority.

8.  Subject to paragraph 14, 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 substitute) in accordance with any of sections 32 to 37 or 43 to 49 of the Local Government Finance Act 1992(16) (calculation of budget requirements etc.);

(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 I of the Local Government Finance Act 1992 (precepts),

and following consideration of those estimates or amounts the authority has any objections to them, it must take the action set out in paragraph 9.

9.  Before the authority makes a calculation (whether originally or by way of substitute) in accordance with any of the sections referred to in paragraph 8(a), or issues a precept under Chapter IV of Part I of the Local Government Finance Act 1992, it must inform the elected mayor 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 amounts in accordance with the authority’s requirements.

10.  Where the authority gives instructions in accordance with paragraph 9, it must specify a period of at least five working days beginning on the day after the date on which the elected mayor receives the instructions on behalf of the executive within which the elected mayor 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.

11.  Subject to paragraph 12, when the period specified by the authority, referred to in paragraph 10, has expired, the authority must, when making calculations (whether originally or by way of substitute) in accordance with the sections referred to in paragraph 8(a), or when issuing a precept under Chapter IV of Part I 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 elected mayor submitted to the authority, or informed the authority of, within the period specified.

12.  Where the authority, for the purposes of making the calculations or issuing the precept, proposes to use estimates or amounts (“the different estimates or amounts”) which are not in accordance with the executive’s estimates or amounts or, as the case may be, the executive’s revised estimates or amounts, the question whether to use the different estimates or amounts must be decided in accordance with paragraph 13.

13.  The question referred to in paragraph 12 must be decided by a two thirds majority of the members of the authority present and voting on the question at a meeting of the authority.

14.  Paragraphs 8 to 13 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 (limitation of council tax and precepts); 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.

PART IIAUTHORITY WITH LEADER AND CABINET EXECUTIVE

1.  In this Part—

• “executive” and “executive leader” have the same meaning as in Part II of the Local Government Act 2000(17); and

• “plan or strategy” and “working day” have the same meaning as in the Local Authorities (Standing Orders) (England) Regulations 2001.

2.  Where the executive of the authority 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 3.

3.  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 objections 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.

4.  Where the authority gives instructions in accordance with paragraph 3, 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.

5.  When the period specified by the authority, referred to in paragraph 4, 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.

6.  Subject to paragraph 10, 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 substitute) 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 I 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 7.

7.  Before the authority makes a calculation (whether originally or by way of substitute) in accordance with any of the sections referred to in paragraph 6(a), or issues a precept under Chapter IV of Part I 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 amounts in accordance with the authority’s requirements.

8.  Where the authority gives instructions in accordance with paragraph 7, 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.

9.  When the period specified by the authority, referred to in paragraph 8, has expired, the authority must, when making calculations (whether originally or by way of substitute) in accordance with the sections referred to in paragraph 6(a), or issuing a precept under Chapter IV of Part I 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.

10.  Paragraphs 6 to 9 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.

Regulation 6

SCHEDULE 3PROVISIONS TO BE INCORPORATED IN STANDING ORDERS IN RESPECT OF DISCIPLINARY ACTION

1.  In paragraph 2, “chief finance officer”, “council manager”, “disciplinary action”, “head of the authority’s paid service” and “monitoring officer”, have the same meaning as in regulation 2 of the Local Authorities (Standing Orders) (England) Regulations 2001 and “designated independent person” has the same meaning as in regulation 7 of those Regulations.

2.  No disciplinary action in respect of the head of the authority’s paid service (unless he is also a council manager of the authority), its monitoring officer or its chief finance officer, except action described in paragraph 3, may be taken by the authority, or by a committee, a sub-committee, a joint committee on which the authority is 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).

3.  The action mentioned in paragraph 2 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.