C1C2C3C4C5C6C7C10C11Part III Conduct of local government members and employees
Pt. III applied (22.7.2004) by The Cotswolds Area of Outstanding Natural Beauty (Establishment of Conservation Board) Order 2004 (S.I. 2004/1777), arts. 1, 14(1)
Pt. III applied (24.3.2005) by New Forest National Park Authority (Establishment) Order 2005 (S.I. 2005/421), art. 1, Sch. 4 para. 9(3)
Pt. III savings for effects of 2005 c. 10, s. 38 (1.4.2006) by The Public Services Ombudsman (Wales) Act 2005 (Transitional Provisions and Consequential Amendments) Order 2006 (S.I. 2006/362), arts. 1(1), 4
Pt. III applied (with modifications) (5.3.2008) by The Cheshire (Structural Changes) Order 2008 (S.I. 2008/634), arts. 1, 7(5)
Pt. III applied (with modifications) (28.3.2008) by The Bedfordshire (Structural Changes) Order 2008 (S.I. 2008/907), arts. 1, 16(8)
Pt. III functions made exercisable (E.) by joint standards committees (15.6.2009) by The Standards Committee (Further Provisions) (England) Regulations 2009 (S.I. 2009/1255), regs. 1(1), 14
Pt. III applied (24.3.2010) by The South Downs National Park Authority (Establishment) Order 2010 (S.I. 2010/497), art. 1, Sch. 4 para. 9(3)
Pt. III continued (with modifications) (14.12.2011) by The Police Reform and Social Responsibility Act 2011 (Commencement No. 3 and Transitional Provisions) Order 2011 (S.I. 2011/3019), art. 5
Chapter IV Adjudications
Adjudications
I177 Adjudications.
1
A person who is the subject of an adjudication conducted by a case tribunal or interim case tribunal may appear before the tribunal in person or be represented by—
a
counsel or a solicitor, or
b
any other person whom he desires to represent him.
F232
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F233
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4
The National Assembly for Wales may by regulations make such provision as appears to it to be necessary or expedient with respect to adjudications by case tribunals or interim case tribunals drawn from the Adjudication Panel for Wales.
5
The president of the Adjudication Panel for Wales may, after consultation with the National Assembly for Wales, give directions as to the practice and procedure to be followed by tribunals drawn from the Panel.
6
Regulations under this section may, in particular, include provision—
a
for requiring persons to attend adjudications to give evidence and produce documents and for authorising the administration of oaths to witnesses,
b
for requiring persons to furnish further particulars,
c
for prescribing the procedure to be followed in adjudications, including provision as to the persons entitled to appear and to be heard on behalf of persons giving evidence,
d
for the award of costs or expenses (including provision with respect to interest and provision with respect to the enforcement of any such award),
e
for taxing or otherwise settling any such costs or expenses (and for enabling such costs to be taxed in a county court),
f
for the registration and proof of decisions and awards of tribunals.
7
A person who without reasonable excuse fails to comply with any requirement imposed by virtue of subsection (6)(a) or (b) F22, or with any corresponding requirement imposed by Tribunal Procedure Rules in relation to proceedings under this Act before the First-tier Tribunal, is guilty of an offence and liable on summary conviction to a fine not exceeding level 3 on the standard scale.
8
In this section any reference to documents includes a reference to information held by means of a computer or in any other electronic form.
I2C878 Decisions of F18the First-tier Tribunal or interim case tribunals.
1
F25In adjudicating on any of the matters which are the subject of an interim report, the First-tier Tribunal or an interim case tribunal must reach one of the following decisions—
a
that the person to whom the recommendation mentioned in section 65(3) or 72(3) relates should not be suspended or partially suspended from being a member or co-opted member of the relevant authority concerned,
b
that that person should be suspended or partially suspended from being a member or co-opted member of the F8relevant authority concerned for a period which does not exceed six months or (if shorter) the remainder of the person’s term of office.
F42
If the decision of F26the tribunal concerned is as mentioned in subsection (1)(a), the tribunal must give notice of its decision to the standards committee of the relevant authority concerned.
3
If the decision of F27the tribunal concerned is as mentioned in subsection (1)(b), the tribunal must give notice to the standards committee of the relevant authority concerned stating that the person concerned is suspended or partially suspended for the period, and in the way, that the tribunal has decided.
3A
The effect of a notice given under subsection (3) is to suspend or partially suspend the person concerned as mentioned in subsection (3).
F424
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5
A decision of an interim case tribunal under this section shall not prevent F1 the Public Services Ombudsman for Wales from continuing with the investigation under section 69 which gave rise to the interim report concerned and producing a report under section 71, or a further interim report under section 72, in respect of any matters which are the subject of the investigation.
6
The suspension or partial suspension of any person under this section shall not extend beyond the day on which a notice F7is given by virtue of section 78A or 79 to the standards committee of the relevant authority concerned with respect to that person.
7
A copy of any notice under this section must be given—
a
to any person who is the subject of the notice, and
b
to the monitoring officer of the relevant authority concerned.
F68
Where the person concerned is no longer a member or co-opted member of the relevant authority concerned, but is a member or co-opted member of another relevant authority—
a
the references in subsection (1) to the relevant authority concerned are to be treated as references to that other authority,
b
the references in subsections (2) and (7)(b) to the relevant authority concerned are to be treated as including a reference to that other relevant authority,
c
the duty under subsection (3) to give notice to the standards committee of the relevant authority concerned is to be treated as a duty—
i
to give that notice to the standards committee of that other relevant authority, and
ii
to give a copy of that notice to the standards committee of the relevant authority concerned.
8A
Subsection (8) does not apply unless—
a
where the relevant authority concerned is in England, the other relevant authority is also in England,
b
where the relevant authority concerned is in Wales, the other relevant authority is also in Wales.
9
F28The First-tier Tribunal or (as the case may be) an interim case tribunal must take reasonable steps to inform any person who made any allegation which gave rise to the investigation under section 59 or 69 of its decision under this section.
F249A
Where a person is suspended or partially suspended under this section by a decision of the First-tier Tribunal, the person may appeal to the Upper Tribunal—
a
against the suspension or partial suspension; or
b
against the length of the suspension or partial suspension,
(unless the decision is set aside under section 9 of the Tribunals, Courts and Enforcement Act 2007).
9B
An appeal may not be brought under subsection (9A) on a point of law (as to which see instead section 11 of the Tribunals, Courts and Enforcement Act 2007).
9C
An appeal may be brought under subsection (9A) only if, on an application made by the person concerned, the First-tier Tribunal or Upper Tribunal has given its permission for the appeal to be brought.
9D
In any case where the Upper Tribunal is determining an appeal under subsection (9A), section 12(2) to (4) of the Tribunals, Courts and Enforcement Act 2007 (proceedings on appeal to the Upper Tribunal) apply.
10
F29Where a person is suspended or partially suspended under this section by a decision of an interim case tribunal, the person may appeal to the High Court—
a
against the suspension or partial suspension, or
b
against the length of the suspension or partial suspension.
F511
An appeal may not be brought under subsection (10) except with the leave of the High Court.
78AF3Decisions of F19First-tier Tribunal
F301
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
F31Where the First-tier Tribunal adjudicates on any matter under this Act, it must decide whether or not any person to which that matter relates has failed to comply with the code of conduct of the relevant authority concerned.
3
Where F32the tribunal decides that a person has not failed to comply with the code of conduct of the relevant authority concerned, it must give notice to that effect to the standards committee of the relevant authority concerned.
4
Where F33the tribunal decides that a person has failed to comply with the code of conduct of the relevant authority concerned, it may—
a
take in respect of him any action authorised by regulations made by the Secretary of State for the purposes of this subsection, or
b
decide to take no action against him.
5
Regulations made under subsection (4) may in particular—
a
enable the tribunal to censure the person,
b
enable it to suspend, or partially suspend, the person from being a member or co-opted member of the relevant authority concerned for a limited period,
c
enable it to disqualify the person, for a period not exceeding five years, for being or becoming (whether by election or otherwise) a member of that or any other relevant authority.
6
The reference in subsection (5)(b) to the relevant authority concerned is to be read, in relation to a person who is no longer a member or co-opted member of the relevant authority concerned but is a member or co-opted member of another relevant authority in England, as a reference to that other relevant authority.
7
Regulations made by the Secretary of State may require F34the First-tier Tribunal to give a notice to the standards committee of the relevant authority concerned where it decides that a person has failed to comply with the code of conduct of that authority and—
a
decides to suspend or partially suspend the person,
b
decides to disqualify the person,
c
decides to take action against the person other than suspension, partial suspension or disqualification, or
d
decides to take no action against him.
8
Regulations under subsection (7) may—
a
prescribe the content of any notice,
b
provide for the effect that any notice is to have,
c
provide for provisions of the regulations to have effect with prescribed modifications where the person concerned is no longer a member or co-opted member of the relevant authority concerned, but is a member or co-opted member of another relevant authority in England.
C978BF20Section 78A: supplementary
F431
A copy of any notice given under section 78A(3) or under regulations made under section 78A(7)—
a
must be given to the Standards Board for England,
b
must be given to any person who is the subject of the decision to which the notice relates, and
c
must be published in one or more newspapers circulating in the area of the relevant authority concerned.
2
Where the person concerned is no longer a member or co-opted member of the relevant authority concerned but is a member or co-opted member of another relevant authority in England, the following references to the relevant authority concerned are to be treated as including references to that other relevant authority—
a
the second reference in section 78A(3);
b
the reference in subsection (1)(c) above.
3
Where F36the First-tier Tribunal adjudicates on any matter under this Act, it must take reasonable steps to give notice of its decision to any person who made any allegation which gave rise to the adjudication.
4
Where F37the First-tier Tribunal decides under section 78A that a person has failed to comply with the code of conduct of the relevant authority concerned, that person may appeal to F38the Upper Tribunal against that decision, or any other decision made by the tribunal by virtue of section 78A which relates to him F39(unless the decision is set aside under section 9 of the Tribunals, Courts and Enforcement Act 2007).
F355
An appeal may not be brought under subsection (4) on a point of law (as to which see instead section 11 of the Tribunals, Courts and Enforcement Act 2007).
6
An appeal may be brought under subsection (4) only if, on an application made by the person concerned, the First-tier Tribunal or Upper Tribunal has given its permission for the appeal to be brought.
7
In any case where the Upper Tribunal is determining an appeal under subsection (4), section 12(2) to (4) of the Tribunals, Courts and Enforcement Act 2007 (proceedings on appeal to the Upper Tribunal) apply.
I379F9Decisions of case tribunals: Wales .
F10A1
In this section “Welsh case tribunal” means a case tribunal drawn from the Adjudication Panel for Wales.
1
A F17Welsh case tribunal which adjudicates on any matter must decide whether or not any person to which that matter relates has failed to comply with the code of conduct of the relevant authority concerned.
2
Where a F17Welsh case tribunal decides that a person has not failed to comply with the code of conduct of the relevant authority concerned, it must give notice to that effect to the standards committee of the relevant authority concerned.
3
Where a F17Welsh case tribunal decides that a person has failed to comply with the code of conduct of the relevant authority concerned, it must decide whether the nature of the failure is such that the person should be suspended or disqualified in accordance with subsection (4).
4
A person may be—
a
suspended or partially suspended from being a member or co-opted member of the relevant authority concerned, or
b
disqualified for being, or becoming (whether by election or otherwise), a member of that or any other relevant authority.
5
Where a F17Welsh case tribunal makes such a decision as is mentioned in subsection (4)(a), it must decide the period for which the person should be suspended or partially suspended (which must not exceed one year or, if shorter, the remainder of the person’s term of office).
6
Where a F17Welsh case tribunal makes such a decision as is mentioned in subsection (4)(b), it must decide the period for which the person should be disqualified (which must not exceed five years).
7
Where a F17Welsh case tribunal decides that a person has failed to comply with the code of conduct of the relevant authority concerned but should not be suspended or disqualified as mentioned in subsection (4), it must give notice to the standards committee of the relevant authority concerned—
a
stating that the person has failed to comply with that code of conduct, and
b
specifying the details of that failure.
8
Where a F17Welsh case tribunal decides that a person has failed to comply with the code of conduct of the relevant authority concerned and should be suspended or partially suspended as mentioned in subsection (4)(a), it must give notice to the standards committee of the relevant authority concerned—
a
stating that the person has failed to comply with that code of conduct,
b
specifying the details of that failure, and
c
stating that the person F14is suspended or partially suspended for the period, and in the way, which the tribunal has decided.
F159
The effect of a notice given to the standards committee of a relevant authority under subsection (8) is to suspend or partially suspend the person concerned as mentioned in subsection (8)(c).
10
Where a F17Welsh case tribunal decides that a person has failed to comply with the code of conduct of the relevant authority concerned and should be disqualified as mentioned in subsection (4)(b), it must give notice to the standards committee of the relevant authority concerned—
a
stating that the person has failed to comply with that code of conduct,
b
specifying the details of that failure, and
c
stating that the person is disqualified for being, or becoming (whether by election or otherwise), a member of that or any other relevant authority for the period which the tribunal has decided.
11
The effect of a notice given to the standards committee of a relevant authority under subsection (10) is to disqualify the person concerned as mentioned in subsection (10)(c).
12
A copy of any notice under this section—
F12a
must be given to the Public Services Ombudsman for Wales,
b
must be given to any person who is the subject of the decision to which the notice relates, and
c
must be published in one or more newspapers circulating in the area of the relevant authority concerned.
13
Where the person concerned is no longer a member or co-opted member of the relevant authority concerned but is a member or co-opted member of another relevant authority in F13Wales —
a
a copy of any notice under subsection (2), (7) or (10) must also be given to the standards committee of that other relevant authority,
F16b
the reference in subsection (4)(a) to the relevant authority concerned is to be treated as a reference to that other relevant authority,
c
the duty to give notice to the standards committee of the relevant authority concerned under subsection (8) is to be treated as a duty—
i
to give that notice to the standards committee of that other relevant authority, and
ii
to give a copy of that notice to the standards committee of the relevant authority concerned,
d
the reference in subsection (12)(c) to the relevant authority concerned is to be treated as including a reference to that other relevant authority.
14
15
Where a F17Welsh case tribunal decides under this section that a person has failed to comply with the code of conduct of the relevant authority concerned, that person may appeal to the High Court against that decision, or any other decision under this section which relates to him.
F1116
An appeal may not be brought under subsection (15) except with the leave of the High Court.
I480 Recommendations by F21First-tier Tribunal or case tribunals.
1
F40Where the First-tier Tribunal or a case tribunal has adjudicated on any matter under this Act, it may make recommendations to a relevant authority about any matters relating to—
a
the exercise of the authority’s functions,
b
the authority’s code of conduct, or
c
the authority’s standards committee.
2
F41The tribunal concerned must send a copy of any recommendations it makes under subsection (1) to the relevant person.
3
A relevant authority to whom recommendations are made under subsection (1) must consider the recommendations and, within a period of three months beginning with the day on which the recommendations are received, prepare a report for the F45relevant personF45Public Services Ombudsman for Wales giving details of what action the authority have taken or are proposing to take as a result of the recommendations.
4
A relevant authority’s function of considering a report under subsection (3) may be discharged only by the authority or by the standards committee of that authority (and accordingly, in the case of a relevant authority to which section 101 of the M1Local Government Act 1972 applies, is not to be a function to which that section applies).
5
If the F46relevant personF46Public Services Ombudsman for Wales is not satisfied with the action the relevant authority have taken or propose to take in relation to the recommendations, the F46relevant personF46Public Services Ombudsman for Wales may require the authority to publish a statement giving details of the recommendations made by the tribunal and of the authority’s reasons for not fully implementing the recommendations.
6
F44In this section “the relevant person” means—
a
the Standards Board for England where the relevant authority concerned is in England,
b
F2the Public Services Ombudsman for Wales where the relevant authority concerned is in Wales.
Pt. III applied (22.7.2004) by The Chilterns Area of Outstanding Natural Beauty (Establishment of Conservation Board) Order 2004 (S.I. 2004/1778), arts. 1, 14(1)