Agenda Item No. 4 |
Date: 6 May 2009 |
To the Chair and Members of the CHIEF
OFFICERS’ APPOINTMENTS AND CONDITIONS OF SERVICE COMMITTEE
Revised Discipline and Dismissal Procedures
for the Managing Director
EXECUTIVE SUMMARY
1. A
report was presented to this committee on 15 January 2009 to request approval
to the adoption of the Model Disciplinary Procedure & Guidance (2008) (“the
Model Procedure”) as established by the Joint Negotiating Committee as a
revised documented process for dismissals, appeals and compromise agreements,
guidance on the use of suspension and special leave and procedures for
investigation for the Managing Director.
2. Members
were also asked to consider appropriate amendments to the Model Procedure as
set out and/or recommended in the report to take account of the matters for
local determination (as is set out in the Model Procedure Guidance) or to
ensure compliance with the recommendations of the District Auditor contained in
his report dated 28 May, 2008.
3. It
was resolved that the model
procedure be adopted as the basis of the revised documented process for
dismissals, appeals and compromise agreements, guidance on the use of
suspension and special leave and procedures for investigation for the Managing
Director, subject to minor amendments identified and agreed in relation to
those matters for local determination and that the Director of People and
Performance Improvement would submit a revised local discipline and dismissal
procedure for the Managing Director to this committee for adoption.
RecommendationS
4.
The Committee is asked to consider the revised
Local Discipline and
Dismissal Procedure for the Managing Director
(attached as Appendix 1),
following the minor amendments in relation to those
matters for local
determination agreed at the last committee, for
adoption.
BACKGROUND
5. A revised Joint
Negotiating Committee (JNC) handbook for Chief Executives (‘the handbook’) came
into force with effect from 1 April 2008.
Within these revisions are significant changes as regards disciplinary
procedures with the new model procedure contained in the handbook. Although this procedure is recommended to
authorities by the joint secretaries, it is not mandatory; however the relevant
statutory regulations are clearly mandatory and provide an appropriate response
to the Public Interest Report.
6. The Council approved the
Managing Director’s Action Plan in response to the District Auditor’s Report.
It is considered that the adoption of the new Model Procedures incorporating
the locally determined matters represented a significant step in the progress
of the Improving Governance Project which is the mechanism for the delivery of
the Managing Director’s Action Plan in response to the District Auditor’s
Recommendations detailed in the report which have been addressed.
7. A Report in the Public Interest under Section 8 of the
Audit Commission Act 1998 was prepared following a request by the then Interim
Managing Director, to review the approach followed by the Council in
investigating issues relating to the conduct and capability of the former
Managing Director. The findings of this
Report were reported to the Full Council on 28 May 2008 along with recommendations
that could be considered to avoid similar situations arising in the future.
8. The prime purpose of the District
Auditor’s report was to help the Council learn lessons for the future and a
number of recommendations were made to assist the process.
9. A holistic approach has
been taken to improve governance arrangements and a clear action plan drawn up
which not only addresses the recommendations with the Public Interest Report
but goes beyond this to aim for governance that fosters and creates an
excellent environment to work within. The implementation of a procedure for
dismissals, appeals and compromise agreements, guidance on the use of
suspension and special leave and procedures for investigation for the Managing
Director forms part of this holistic approach.
10. The Council’s existing procedure for the discipline
and dismissal of the Managing Director is the nationally agreed process which
has been in operation since 1988 with some minor revisions. In the light of difficulties experienced by
a number of authorities over recent years the Joint Negotiating Committee for
Chief Executives of Local Authorities has agreed a new model procedure and
guidance which was issued on 4th April, 2008.
Options Considered
11.
No other options were considered appropriate in this case
as a review of the related procedures covered in this report was needed not
only to resolve a number of recommendations made as part of the Managing
Director’s report but also in line with the JNC for Chief Executives changes
effective from 1 April 2008
Impact on the Council’s Key Objectives
12.
Doncaster
Priorities |
Implications of this initiative |
Achieving Excellence |
To support the Council in
achieving excellence in direct service delivery and to fulfil its broader Borough-wide
governance and leadership roles as part of the implementation of the LAA by
developing our workforce and Members and creating appropriate roles and
responsibilities that provide clear and effective leadership |
RISks &
Assumptions
13. The risk
of not having appropriate procedures in place and undertaking a review of
existing procedures may result in lessons not being learnt and the Council
facing being in a similar position to when the Public Interest Report was
requested. This could result in a poor reputation locally and nationally in
relation to governance arrangements and the potential for poor ratings in
inspection regimes.
14. In addition, if the Council’s procedures are not fundamentally in line with those of the Joint Negotiating Committee for Chief Executives, then it could leave the council vulnerable to not adhering to its statutory obligations and potential employment tribunal cases being brought forward against the council.
LEGAL IMPLICATIONS
15.The
Local Authorities (Standing Orders) (England) Regulations 2001 (Regulation 6, and Schedule3) require that
no disciplinary action be taken against the Managing Director (unless they are
also the council manager) other than in accordance with a recommendation in a
report made by the DIP. The definition of disciplinary action is 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.
The application of
the new model procedures will ensure that processes are up-to-date, comply with
relevant legislation and that best practice is being applied within the
Council.
Adopting the Model Procedure
together with the agreed minor amendments in relation to those
matters for local determination will constitute part of a substantive and significant
response to the Managing Director’s action plan.
FINANCIAL IMPLICATIONS
16.There are no direct financial
implications arising from the recommendations in this report.
Any
costs associated with dismissals, appeals or compromise agreements will need to
be met from existing budgets. A separate decision with appropriate financial
implications will be made on each occasion.
Consultation
17. Detailed
consultation has taken place with the Managing Director, relevant
Statutory, Legal and Human
Resources officers.
18. This
report has significant implications in terms of the following:
Procurement |
|
Crime & Disorder |
|
Human Resources |
X |
Human Rights & Equalities |
|
Buildings, Land and Occupiers
|
|
Environment & Sustainability |
|
ICT |
|
Capital Programme
|
|
BACKGROUND
PAPERS
Audit Commission Public Interest
Report –
February 2008
Report of the Managing Director on
the District Auditor’s Public Interest
Report – Full
Council 28 May 2008
NJC for Chief Executives of Local
Authorities Circular - 4 April 2008
Chief Officers’ Appointments and
Conditions of Service Committee –
15 January 2009
Appendix 1
Council’s Revised Procedures
From the
National Salary Framework and Conditions of Service for Local Authority Chief
Executives Joint Negotiating Committee Handbook- April 2008
REPORT AUTHOR & CONTRIBUTORS
Jill
Higgs, Head of Human Resources
Tel:
01302 737004 E-mail: jill.higgs@doncaster.gov.uk
Helen Wilson, Senior Legal Officer
Tel: 01302 734688 E-mail: helen.wilson@doncaster.gov.uk
Neil Pointon, Acting Director of
Legal Services
Tel: 01302 734629 E-mail: neil.pointon@doncaster.gov.uk
RESPONSIBLE
DIRECTORS
Kay
Leigh
Director
of People and Performance Improvement
Roger
Harvey
Acting Director of Legal Services and Acting Deputy Monitoring Officer
Appendix 1
Council’s Revised Local Procedures
From the National Salary Framework and Conditions of
Service for Local Authority Chief Executives Joint Negotiating Committee
Handbook- April 2008