Y&NY

CONSTITUTION

 

[January 2024]

 

 

 

Y&NYCA Constitution 2024 – Contents

 

                                                                                                                                    Page No.

 

PART 1 –INTRODUCTION AND ARTICLES                                                  

 

1.         Introduction                                                                                                    

2.         Functions of the Y&NYCA                                                             

3.         Members of the Y&NYCA                                                              

4.         Chairing the Y&NYCA                                                                                             

5.         Meetings and Procedure                                                                             

6.         Responsibility for Functions            

7.         Committees of the Y&NYCA                                                                                   

8.         Joint Arrangements                                                                                      

9.         Officers                                                                                              

10.       Decision Making                                                                               

11.       Finance, Contracts & Legal Matters                                                          

12.       Review and Revision of the Constitution                                                  

 

PART 2 – FUNCTIONS OF THE Y&NYCA 

                                                                                               

A.        Introduction                                                                                                  

B.        Transport      

C.        Economic Development, Regeneration and Housing.                           

D         Fire and Rescue                                                                                

E.           Police and Crime Commissioner (PCC) Functions

F.            Incidental Provisions Pursuant to the Y&NYCA Orders                                   

G.           Functions Conferred on a CA by Local Government Legislation          

I.          Miscellaneous Roles of the Y&NYCA                                                                    

 

PART 3 –RESPONSIBILITY FOR FUNCTIONS

                                                                                                                                   

A.        Functions Reserved to the Y&NYCA                                           

B.        Y&NYCA Functions Reserved to the Mayor                                             

C.        Committees                                                                                        

D.        Deputy Mayor for Policing and Crime (Fire and Rescue Functions)    

E.           Scheme of Delegation of Functions to Chief Officers and Schedule of ProperOfficers

                                                                                                 

 PART 4 – COMMITTEES AND PANELS

                                                                                   

A.           Audit and Governance Committee                                                                        

B.           Business Committee                                                                       

C.           Overview and Scrutiny Committee          

             

PART 5 – RULES OF PROCEDURE     

                                                                                                                                 

Section A. Y&NYCA Procedure Rules

1.         Interpretation, Suspension and Chair’s Ruling                                     

2.         Suspension and Revocation of Y&NYCA Procedure Rules           

3.         Membership of the Y&NYCA                                                                               

4.         Chair and Vice-Chairs                                        

5.         Portfolios                                                                                                              6.            Meetings                                                                               

7.         Admission of the Public                                                                 

8.         Notice of Meetings                                                                                      

9.         Cancelling Meetings                                                                                              

10.       Meeting Agendas                                                                                        

11.       Chair of Meeting                                                                

12.       Quorum                                                                                                         

13.       Order of Business                                                                                       

14.       Committees  

15.       Rules of Debate                                                 

16.       Voting                                                                                                                       

17.       Conduct of Members                                                                                             

18.       Disturbance by Members of the Public                                                   

19.       Notification and Declarations of Interest                                                

20.       Records                                                                                

 

Section B. Access to Information Procedure Rules

1.            Scope                                                                                                                       

2.            Definitions                                                                                                    

3.            Rights to Attend Meetings                                                                        

4.            Notices of Meetings                                                                                                

5.            Access to Agenda and Reports Before the Meeting                             

6.            Supply of Copies                                                                                         

7.            Access to Minutes after the Meeting                                          

8.            Background Papers                                                                                               

9.            Summary of Public’s Rights                                                                                 

10.         Exclusion of Access by the Public to Meetings                                    

11.         Exclusion of Access by the Public to Reports                                        

12.         Business Containing Exempt Information                                                          

13.         Public Rights of Appeal                                                                

14.         Key Decisions                                                                                                        

15.         Publicity and Procedure in Connection with Key Decisions

16.         General Exception

17.         Special Urgency      

18.         Reports to the Y&NYCA

19.         Recording of Mayoral Decisions Made by Individuals

20.         Recording of Non-Mayoral Decisions Made by Officers

21.         Overview and Scrutiny Access to Documents

22.         Additional Rights of Access for Members             

23.         Rights of Members ‘Need to Know’

 

Section C. Overview and Scrutiny Committee Procedure Rules

1.         Establishment                                                                                                          

2.         Membership                                                                                                

3.         Committee Chair                                                                                         

4.         Sub-Committees                                                                                         

5.         Meeting Frequency                                                                                    

6.         Quorum                                                                                           

7.         Voting                                                                                                            

8.         Overview and Scrutiny Committee Work Programme                          

9.         Procedure at Overview and Scrutiny Committee Meetings                 

10.       Reports and Recommendations of Overview and Scrutiny Committee   

11.       Rights of Overview and Scrutiny Members to Documents         

12.       Members and Officers Giving Account                                                   

13.       Attendance by Others                                                                   

14.       Call-in of Decisions                                                                                    

15.       Call-in Procedure                                                                                        

16.       Urgent Decisions: Call-in                                                                          

17.       Scrutiny Officer                                                                              

 

PART 6 – FINANCIAL PROCEDURES                                                             

 

Section A. Y&NYCA Financial Regulations

1.         General                                                          .

2.         Staffing                                                                                 

3.         Accounting Arrangements                                                                        

4.         Banking Arrangements and Cheques                                        

5.         Budgetary Control                                                                                       

6.         Capital and Revenue Budgets                                         

7.         Control of Expenditure                                                                   

8.         Virements                                                                                                     

9.         Maintenance of Balances/Reserves/Provisions                                    

10.       Borrowing and Investments                                                                                 

11.       Contracts                                                                                          

12.       Estates and Property   

13.       Assets for Disposal                 

14.       Income                                                                                                                      

15.       Insurance                                                                                        

16.       Risk Management   

17.       Internal Audit                                                                                              

18.       Requisitions and Purchase Orders for Work, Goods & Services           

19.       Payment of Accounts                                                       

20.       Petty Cash                                                                                                   

21.       Taxation                                                                                           

22.       Internal Control                                                                                                           

23.       Purchase Cards                                                                  

24.       Bids for External Funding                                                                          

 


 

Section B. Y&NYCA Contract Procurement Rules and Grant Rules

A Brief Guide to Contract Procurement Rules and Grant Rules                       

Scope of Contract Procurement Rules                                                                

Common Requirements                                                                                         

Conducting Purchases                                                                                           

Contract and Other Formalities                                                                            

Contract Management                                                                                            

Definitions                                                                                                                 

 

PART 7 – CODES AND GUIDANCE                                                                                       

 

Section A. Code of Conduct for Members          

Part 1 – General Provisions

1.         Introduction and Scope                                                                  

2.         General Principles                                                                                      

3.         General Obligations for Members                                                                        

 

Part 2 – Disclosable Pecuniary Interests

4.         Notification of Disclosable Pecuniary Interests                                      

5.         Non-Participation in Case of Disclosable Pecuniary Interest             

6.         Offences                                                               

 

Part 3 – Other Interests

7.         Notification of Personal Interests                                                           

8.         Non-Participation in Case of Prejudicial Interest                                              

9.         Interests Arising in Relation to Overview and Scrutiny Committee         

 

Part 4 – General Matters Relating to Parts 2 & 3

10.       Register of Interests

11.       Sensitive Interests    

12.       Dispensations

 

Section B. Gifts and Hospitality Guidance for Members          

1.         General Introduction                                                                                              

2.         Legal Position                                                                                                          

3.         Gifts and Hospitality                                                                                               

4.         Hospitality                                                                                                     

5.         Unacceptable Hospitality                                                                           

6.         Notifications                                                                                                

7.         The Register                                                                                                            

8.         Gifts Which Cannot be Retained                                                              

9.         Advice and Sanctions                                                        

 

Section C. Officer Code of Conduct                                                                                 1.      Introduction                                                                                                 

2.         Scope                                                                                                                        

3.         General Principles                                                                                      

4.         Equality                                                                                             

5.         Service Provision                                                                                        

6.         Political Neutrality and Working with Members                                      

7.         Dealing with the Press and Media                                                                       

8.         Disclosure of Information and Information Security            

9.         Propriety in Financial/Procurement Matters                               

10.       Declarations of Interest                                                                  

11.       Propriety in Employment Matters                                                            

12.       Indemnification of Employees                                           

13.       Breach of Code of Conduct          

 

Section D. Member/Officer Relations Guidance            

1.         Introduction and Principles                                                                                   

2.         General Points                                                                                            

3.         Officer Support to Members: General Points                                         

4.         Officer Advice to Party Groups                                                                 

5.         Attendance at Party Political Group Meetings                                       

6.         Members’ Access to Information and to Authority Documents

7.         Correspondence

            8.         Publicity and Press Releases

9.         Officer/Member Guidance Review and Interpretation

           

Section E. Code of Corporate Governance       

1.         Introduction

2.         What is Good Governance

3.         Behaving with Integrity, Demonstrating Strong Commitment to Ethical Values, and Respecting the Rule of Law

4.         Ensuring Openness and Comprehensive Stakeholder Engagement   

5.         Defining Outcomes in Terms of Sustainable Economic, Social, and Environmental Benefits 

6.         Determining the Interventions Necessary to Optimise the Achievement of the Intended Outcomes

7.         Developing the Entity’s Capacity, Including the Capability of its Leadership and the Individuals Within It 

8.         Managing Risks and Performance Through Robust Internal Control and Strong Public Financial Management

9.         Implementing Good Practices in Transparency, Reporting, and Audit to Deliver Effective Accountability                                                               

 

Section F. Anti-Fraud and Corruption Policy

1.         Introduction                                                                                                

 

Section G. Complaints and Whistleblowing

1.         Introduction    

2.         Whistleblowing 

3.         Complaints                                                                                                   

 

Section H. International Visits Protocol                                                           

1.         Introduction

2.         Determining an appropriate visit

3.         Seeking authorisation

4.         Travel and subsistence

5.         Following the visit

 

 

PART 8 – MEMBERS ALLOWANCES                                                         

 

A.        Members Allowance Scheme       

B.        Allowance Payable to Mayor 

C.        Allowances Payable to the Independent Members and Independent Person

D.        Scheme of Travel and Subsistence Allowance as Authorised Pursuant to the Order                                                                                                                        

 

PART 9 – POLICE & CRIME COMMISSIONER FUNCTIONS – GOVERNANCE

DOCUMENTS     

 

To Follow

                                                                           

 


 

 

 

 

PART 1

 

INTRODUCTION AND ARTICLES

 


1.      Introduction

 

In this Constitution:

 

1.1         ‘the 2009 Act’ means the Local Democracy, Economic Development and Construction Act 2009;

 

1.2         ‘the Combined Area’ means the area consisting of the areas of the Constituent Councils;

 

1.3         ‘the Constituent Councils’ means City of York Council and North Yorkshire Council;

 

1.4         ‘the Deputy Mayor’ means the member of the Y&NYCA appointed by the Mayor to be the Mayor’s deputy pursuant to section 107C (1) of the 2009 Act and Article 3.5 of Part 1 of this Constitution;

 

1.5         ‘the Deputy Mayor for Policing and Crime’ means the person appointed by the Mayor in respect of PCC functions, pursuant to Section 18 of the Police Reform and Social Responsibility Act 2011, as modified by the York and North Yorkshire Combined Authority Order 2023;

 

1.6         ‘the Y&NYCA means the York and North Yorkshire Combined Authority; 

 

1.7         ‘the Y&NYCA Order’, ‘the 2023 Order’ or ‘the Order’ means: -

 

(a)      the York and North Yorkshire Combined Authority Order 2023 as amended[1];

 

(b)      Such other orders made by the Secretary of State in relation to Y&NYCA pursuant to the 2009 Act;

 

1.8         ‘The Mayor’ means the person elected as mayor by the local government electors for the Combined Area;

 

1.9         ‘Mayoral functions’ means any function of the Y&NYCA which is exercisable only by the Mayor (or the Mayor’s delegatee) by virtue of the Y&NYCA Order or any other enactment (whenever passed or made).

 

1.10      ‘Mayoral general function’ means a mayoral function which is not a PCC function.

 

1.11    ‘Mayor exercising their PCC function’ or ’PCC function’ means a Police and Crime function which is exercisable by the Mayor pursuant to and subject to any modifications in the 2023 Order.

 

1.12    ‘Mayor exercising their Fire and Rescue functions’ a Fire and Rescue function which by virtue of the Order are exercisable by the Mayor.

 

1.13    ‘Deputy Mayor for Policing and Crime’ means a person appointed by the Mayor who may exercise Policing and Crime or Fire and Rescue functions of the Mayor where delegated.

 

1.14   the Scrutiny Order’ means the Combined Authorities (Overview and Scrutiny Committees, Access to Information and Audit Committees) Order 2017.

 

1.15    The Constitution sets out how the York and North Yorkshire   Combined Authority (hereafter referred to as ‘Y&NYCA’) operates, how decisions are made and the procedures that are followed to ensure that Y&NYCA operates efficiently, effectively and is both transparent and accountable.

 

 

2.           Functions of the Y&NYCA

 

2.1         The Y&NYCA was established pursuant to the Order on 20th December 2023 as the combined authority for the Combined Area.

 

2.2         The Y&NYCA is responsible for a range of functions across the Combined Area, including: -

 

               transport

               economic development, regeneration and housing

               strategic spatial planning

               education, skills and training

               police and crime

               fire and rescue

 

2.3         The functions of the Y&NYCA are those functions conferred or imposed on it by the Y&NYCA Order or any other enactment (whenever passed or made) or as may be delegated to it by or under the Y&NYCA Order or any other enactment (whenever passed or made).

 

2.4         The Y&NYCA will exercise all its powers and duties in accordance with the law and this Constitution.

 

2.5       This Constitution is the Constitution of the Y&NYCA.

 

2.6       The Y&NYCA will monitor and evaluate the operation of the Constitution as set out at Article 12 below.

 


 

3.           Members of the Y&NYCA

 

3.1         Each of the Constituent Councils shall appoint two of its elected members to be a Member of the Y&NYCA.

 

3.2         Each of the Constituent Councils must designate one of the members appointed at Article 3.1 above as the lead member.

 

3.3       In addition, each Constituent Council will appoint two named elected members for each member appointed at Article 3.1 above, one of whom is to act as a Member of the Y&NYCA in the absence of the member appointed under Article 3.1 (‘the Substitute Members’).

 

3.4       The Mayor will also appoint 8 Non-Elected Members to the Business Committee in accordance with the Business Committee Terms of Reference.

 

3.5       There shall be a Mayor for the area of the Y&NYCA elected by the local government electors of the area, and the Mayor by virtue of that office is a member of the Y&NYCA.

 

3.6       The Mayor must appoint one of the members of the Y&NYCA to be the Deputy Mayor.

 

3.7       Except to the extent that various functions are to be exercised only by the Mayor (or may be exercised by the Mayor’s delegatee) all Members will:

 

(a)          collectively be the ultimate policy makers of the Y&NYCA

(b)          bring views of their communities into the Y&NYCA’s decision-making process; and

(c)       maintain the highest standards of conduct and ethics.

 

3.8      Members will at all times observe the Code of Conduct for Members set out in Part 7 of this Constitution.

 

3.9      Members will be entitled to receive travel and subsistence allowances, and the Mayor will be entitled to receive the mayoral allowance in accordance with the Member’s Allowances Scheme set out in Part 8 of this Constitution.

 

3.10    The independent members of the Audit and Governance Committee, and the Non-Elected Members of the Business Committee will be entitled to receive allowances, including allowances for travel and subsistence, in accordance with the Member’s Allowances Scheme set out in Part 8 of this Constitution.

 

3.11    Each Member will be allocated a portfolio of responsibilities by the Mayor at the Annual Meeting of the Y&NYCA, and the various portfolios will be published on the Y&NYCA’s website.

 

4.           Chairing the Y&NYCA

 

4.1         The Mayor shall be Chair of the Y&NYCA.

 

4.2         The Y&NYCA may appoint at least two and no more than three of its Members as Vice-Chair(s).

 

4.3         The procedure for the appointment of the Vice-Chair(s) is set out in the Y&NYCA Procedure Rules in Part 5 of this Constitution.

 

5.           Meetings and Procedure

 

5.1         The Y&NYCA usually meets every month, but additional meetings may take place within the monthly period should the need arise.

 

5.2         There are three types of Y&NYCA meeting:

 

(a)      the annual meeting;

(b)      ordinary meetings; and

(c)       extraordinary meetings;

 

and they will be conducted in accordance with the Y&NYCA Rules of Procedure set out in Part 5 of this Constitution.

 

6.           Responsibility for functions

 

6.1         Only the Y&NYCA will exercise the functions set out in Part 3 Section A of this Constitution.

 

6.2         Only the Mayor will exercise the functions set out in Part 3, Section B I and those PCC functions reserved to the Mayor in Part 9 of this Constitution.

 

6.3         The Y&NYCA may delegate the discharge of the Y&NYCA’s functions which are not reserved to the Y&NYCA to committees, sub-committees, officers, joint committees or other local authorities, pursuant to section 101 of the Local Government Act 1972.  

 

6.4         The Mayor may delegate the discharge of mayoral general functions (which are not reserved under Article 6.2) to the Deputy Mayor or any member or officer of the Y&NYCA or, in the case of fire and rescue functions to the Deputy Mayor for Policing and Crime or a Fire Committee (such arrangements may not have effect concurrently), provided that:- 

 

(a)      the Mayor’s political adviser (as appointed under article 5 of the 2023 Order) is not to be treated as an officer for the purpose of this Article, and

 

(b)      the Mayor may only delegate to the Deputy Mayor for Policing and Crime the discharge of PCC functions and fire and rescue functions (and not the discharge of general functions other than fire and rescue)

 

6.5         The Y&NYCA has delegated the discharge of the Y&NYCA functions to committees and officers in accordance with the scheme of delegation contained in Part 3, sections C, D, E and F of this Constitution.

 

6.6         The Mayor has delegated the discharge of mayoral general functions in accordance with the scheme of delegation contained in Part 3, of this Constitution.

 

6.7         The Mayor has delegated the discharge of PCC functions in accordance with Part 9 of this Constitution.

 

6.8         The Y&NYCA and the Mayor will review their scheme of delegation annually.

 

7.        Committees of the Y&NYCA 

 

7.1       The Y&NYCA must establish an Audit and Governance Committee to discharge the roles and functions set out in Schedule 5A of the 2009 Act and Section A of Part 4, of this Constitution and to assist the Y&NYCA in its duty to promote and maintain high standards of conduct by Members of the Y&NYCA pursuant to section 27 of the Localism Act 2011.

 

7.2       The Y&NYCA must appoint an Overview and Scrutiny Committee to discharge the roles and functions set out in Schedule 5A of the 2009 Act, the Scrutiny Order and Section D of Part 4 of this Constitution.

 

7.3       The Y&NYCA will establish a Business Committee to discharge the functions set out in Section B of Part 4, of this Constitution.

 

7.4      The Y&NYCA may establish such other committees as it thinks fit to discharge its functions.

 

7.5      Committees established under Articles 8.1 to 8.5 may include as voting members any elected member of a Constituent Council even if such members are not members of Y&NYCA.

 

8.        Joint Arrangements

 

8.1      The Y&NYCA has power pursuant to Section 101(5) of the Local Government Act 1972 to make arrangements with other local authorities to discharge their functions jointly.

 

8.2      Such arrangements may involve the discharge of those functions by a joint committee of such authorities or by an officer of one of them.

 

8.3      The Mayor may enter into arrangements jointly with the Y&NYCA and with the Constituent Councils in accordance with Section 101(5) of the Local Government Act 1972 for the discharge of the (transport related) functions listed in Part 5 to the 2023 Order.

 

8.4      Where a joint transport committee is established in accordance with Article 8.3 the members of the joint committee must be appointed in accordance with the following requirements:

 

(a)      The members appointed by the Y&NYCA must be members or substitute members of the Y&NYCA or members of the Constituent Councils.

 

(b)      The members appointed by the Constituent Councils must be members of those councils.

 

(c)       The members appointed by the Mayor must be members of the Y&NYCA or of the Constituent Councils.

 

(d)      In appointing members to the joint transport committee—

(i)        the Mayor, the Y&NYCA and the Constituent Councils must ensure that: the number of members of the committee does not exceed twenty-three and members are appointed to act as substitute members of the joint transport committee in the absence of members of the committee; and

 

(ii)       the Y&NYCA and the Constituent Councils must ensure that the members of the committee appointed from among the members of the Y&NYCA and the Constituent Councils, and any substitute committee members acting in place of those members, taken as a whole reflect so far as reasonably practicable the balance of political parties for the time being prevailing among members of the Constituent Councils.

 

(e)      Questions relating to the apportionment of membership under Article 8.4 (d)(ii) require a unanimous vote in favour by all members, or substitute members acting in place of those members, of the Y&NYCA to be carried.

 

8.5      Where a joint transport committee is established in accordance with Article 8.3:

 

(a)      the Mayor must in each year appoint the chair of the joint transport committee from among the members of that committee; and

(b)      if a vacancy arises in the office of the chair, the Mayor must make an appointment to fill the vacancy at the next ordinary meeting of the joint transport committee, or, if that meeting is to be held within the period of 14 days beginning with the day on which the vacancy arose, at the meeting following that meeting.

 

9.        Officers

 

9.1       Statutory Officers

 

The Y&NYCA must appoint a Head of Paid Service, a Section 73 Officer and a Monitoring Officer, whose responsibilities and delegations are as set out in Part 3 of this Constitution.  The Director of Resources will undertake the role of the Section 73 Officer.

 

9.2       Chief Officers

             

Chief Officers for the purposes of Part 3 (Scheme of Delegation of Functions to Chief Officers) of this Constitution means the Head of Paid Service, the Section 73 Officer, the Monitoring Officer and the Chief Fire Officer.

 

 

9.3       Scrutiny Officer

 

The Y&NYCA must designate one of its officers as the Scrutiny Officer, whose responsibilities and functions are set out in Section D of Part 5 of this constitution.  They may not be an officer of a Constituent Council.

 

9.4       Data Protection Officer

 

The Y&NYCA must appoint a Data Protection Officer in accordance with the UK General Data Protection Regulation.

 

9.5       Head of Internal Audit

 

The Y&NYCA must appoint a Head of Internal Audit in otherder to comply with its internal audit obligations contained in the Accounts and Audit Regulations 2015.

 

9.6       General

 

The Y&NYCA may engage such staff (referred to as officers), as it considers necessary to carry out its functions.

 

9.7       Officers will comply with the Code of Conduct for Officers set out in Part 7 of this Constitution.

 

10.        DECISION MAKING

 

10.1      Responsibility for decision making

 

The Y&NYCA and the Mayor will issue and keep up to date a record of what part of the Y&NYCA or which individual has responsibility for particular types of decisions or decisions relating to particular functions.  This record is set out in Part 3 of this Constitution.

 

10.2      Principles of decision making

 

All decisions of the Y&NYCA should be made in accordance with the following principles:

 

(a)          Proportionality (meaning the action must be proportionate to the results to be achieved);

(b)          Due consultation (including the taking of relevant professional advice);

(c)          Respect for human rights;

(d)          Presumption in favour of openness;

(e)          Clarity of aims and desired outcomes;

(f)           Due consideration to be given to alternative options;

 

10.3      Types of decision

 

(a)            Decisions reserved to the Y&NYCA

 

Decisions relating to the functions listed in Part 3, section A of this Constitution will be made by the Y&NYCA and not delegated.  The Y&NYCA meeting will follow the Y&NYCA Rules of Procedure set out in Part 5 of this Constitution when considering any matter.

 

(b)            Decisions reserved to the Mayor

 

Decisions relating to the Mayor’s general functions listed in Part 3,

Section B I of this Constitution and decisions relating to the Mayor’s PCC functions specified as being reserved to the Mayor in Part 9 of this Constitution will be made by the Mayor and not delegated.

 

(c)            Decision making by Committees and Joint Committees established by the Y&NYCA

 

Committees and Joint Committees established by the Y&NYCA will follow those parts of the Y&NYCA Rules of Procedure set out in Part 5 of this Constitution as apply to them.

 

(d)            Decision making by Officers

 

Officers will exercise their delegated authority in accordance with the Scheme of Delegation to Officers set out in Part 3 of this Constitution and other provisions of this Constitution.

 

11.        FINANCE, CONTRACTS AND LEGAL MATTERS

 

11.1      Financial management

 

The management of the Y&NYCA’s financial affairs in relation to non-PCC functions will be conducted in accordance with the Financial Procedures set out in Part 6 of this Constitution and in relation to PCC functions in accordance with the Financial Procedures in Part 9 of this Constitution.

 

11.2      Legal proceedings

 

(a)          The Monitoring Officer is authorised to institute, defend or participate in any legal proceedings in any case where such action is necessary to give effect to decisions of the Y&NYCA or in any case where the Monitoring Officer considers that such action is necessary to protect the Y&NYCA’s interests.

 

 

(b)          Any notices to be served on the Y&NYCA are to be sent to the Monitoring Officer at County Hall, Northallerton, North Yorkshire DL7 8AD, which for the purposes of section 231 of the Local Government Act 1972 and any other enactment shall be regarded as the principal office of the Y&NYCA.

 

11.3      Authentication of documents

 

(a)          Where any document is necessary to any legal procedure or proceedings on behalf of the Y&NYCA, it will be signed by the Monitoring Officer or some other person duly authorised by the Y&NYCA or the Monitoring Officer, unless any enactment otherwise authorises or requires.

 

(b)          Any contract with a value exceeding £50,000 entered into by the Y&NYCA shall be made in writing.  Such contracts must be signed by a duly authorised officer of the Y&NYCA or made under the Common Seal of the Y&NYCA attested by an authorised officer.  Any contract which in the opinion of the Monitoring Officer should be sealed must be made under the Common Seal of the Y&NYCA attested by an authorised officer.

 

11.4      Common Seal of the Y&NYCA

 

The Common Seal of the Y&NYCA will be kept in a safe place in the custody of the Monitoring Officer.  A decision of the Y&NYCA, or any part of it, will be sufficient authority for sealing any document necessary to give effect to the decision.  The Common Seal will be affixed to those documents which in the opinion of the Monitoring Officer should be sealed.  The affixing of the Common Seal will be attested by the Monitoring Officer, or some other person authorised by the Monitoring Officer.

 

12.        REVIEW AND REVISION OF THE CONSTITUTION

 

12.1      The Monitoring Officer will monitor and review the operation of the Constitution.

 

12.2      Changes to the Constitution will only be approved by the full Y&NYCA after consideration of the proposal by the Monitoring Officer and in accordance with the Y&NYCA Rules of Procedure in Part 5 of this Constitution, provided that such delegations made by the Mayor as are included in Part 3, 4 and 9 of this Constitution appear for information only and may be revised by the Mayor following consultation with, and having given written notice to, the Monitoring Officer. 

 

 


 

 

PART 2

 

FUNCTIONS OF THE Y&NYCA

 

A        INTRODUCTION

 

1.            The functions of the Y&NYCA are those functions conferred or imposed on it by the Y&NYCA Order or by any other enactment or as may be delegated to it by or under the Y&NYCA Order or any other enactment.

 

2.            All functions are functions of the Y&NYCA, but some functions are only exercisable by the Mayor. Part 3 of this Constitution sets out the responsibility for functions.

 

3.            The functions of the Y&NYCA derive from a wide range of sources, in particular: -

 

              Functions transferred to the Y&NYCA by the Y&NYCA Order from the former York and North Yorkshire Local Enterprise Partnership which body was then abolished;

              Transport functions statutorily delegated (and effectively transferred) to the Y&NYCA from the Constituent Councils;

              Functions of the Constituent Councils which pursuant to the Y&NYCA Orde are exercisable by the Y&NYCA concurrently with the Constituent Councils;

              Functions of other public authorities (including the Secretary of State) which are exercisable in the Y&NYCA area which pursuant to the Y&NYCA Order are exercisable by the Y&NYCA concurrently with the public authority;

              Functions corresponding to those functions exercisable by other public authorities outside the Y&NYCA area (e.g. in London) which pursuant to the Y&NYCA Order are exercisable by the Y&NYCA in relation to the Y&NYCA area;

              Consequential and incidental provisions in the Y&NYCA Order conferring functions on the Y&NYCA;

              Functions conferred on combined authorities by general local authority legislation;

              Functions voluntarily delegated to the Y&NYCA by the Constituent Councils.

 

4.            All functions conferred on the Y&NYCA by any enactment are functions of the Y&NYCA, notwithstanding that an enactment may provide that certain functions may be exercised only by the Mayor (or the Mayor’s delegatee).

 

5.            The Y&NYCA’s responsibilities which can be grouped under the following broad headings:

 

              Transport

              Economic Development, Housing and Regeneration 

              Strategic spatial planning

              Education Skills and Training

              Police and Crime Commissioner Functions

              Fire and Rescue

 


 

B     TRANSPORT 

 

1.            Transport Functions of the Constituent Councils transferred to the Y&NYCA

 

1.1         In consequence: -

 

(a)          The Y&NYCA is the local transport authority (‘LTA’).

 

(b)          Without prejudice to the generality of the above, the Y&NYCA is responsible for the discharge of the functions of an LTA that are conferred or imposed by the Transport Act 1985 and 2000, the Local Government Act 1972, the Local Transport Act 2008, the Bus Services Act 2017, and the 2009 Act.

 

(c)          The Y&NYCA must develop policies for the promotion and encouragement of safe, integrated, efficient and economic transport to, from and within their area, and must prepare and publish a local transport plan containing its policies and proposals for their implementation. 

 

(d)          The Y&NYCA has the power in a transport context under sections 99 and 102A of the Local Transport Act 2008 to take any action to achieve the promotion or improvement of the economic, social and environmental well-being of its area, and persons resident and present in, or travelling in or through the area.

 

2.            Transport Functions of the Constituent Councils statutorily delegated to the Y&NYCA 

 

2.1         Pursuant to the 2023 Order, the following transport functions of the Constituent Councils are delegated to the Y&NYCA: -

 

(a)          The functions of the Constituent Councils specified in Parts 4 (local passenger transport services) and 5 (financial provisions of the Transport Act 1985.

 

(b)          Subject to Part 5 paragraph 13 (3) & (4) of the 2023 Order, the functions of the Constituent Councils as local transport authorities specified in Part 2 (local transport) of the Transport Act 2000.

 

 

2.2         In consequence of subparagraphs (a) and (b) of paragraph 2.1 above the Y&NYCA, in the discharge of the functions delegated to it by those provisions, is to be treated as a highway authority for the purposes of sections 62 and 278 of the Highways Act 1980.

  

 

 

2.3         The costs incurred by the Y&NYCA in discharging the functions in paragraph 2.1 above shall, except so far as the Constituent Councils agree otherwise, be defrayed by the Y&NYCA.

 

2.4         The costs so defrayed under paragraph 2.3 above shall, for the purposes of section 74(10) of the Local Government Finance Act 1988, fall to be treated as expenses attributable to the exercise of the Y&NYCA’s functions relating to transport.

 

2.5         Whilst the delegations given effect by paragraph 2.1 above remain in force, the functions delegated are not exercisable by the Constituent Councils either concurrently or instead of the Y&NYCA, except so far as the Y&NYCA sub-delegates any such function back to a Constituent Council.

 

2.6         In the application of section 101 of the Local Government Act 1972 (arrangements for the discharge of functions) to the Y&NYCA the functions delegated to the Y&NYCA by paragraph 2.1 above are to be treated as if they were functions of the Y&NYCA.

 

2.7         The Y&NYCA and the Constituent Councils will draw up and agree detailed Protocols in relation to the discharge of the transport functions set out at paragraphs 2.1 above, and paragraph 3.1 below.  

 

2.8         The Y&NYCA and the Constituent Councils will keep the Protocols referred to at paragraph 2.7 above under regular review and may revise them from time to time, such revisions to be agreed by the Head of Paid Service of the Y&NYCA and the Chief Executives of the Constituent Councils.

 

2.9         Protocols drawn up, agreed, or revised under paragraphs 2.7 and 2.8 above will not in themselves constitute arrangements for the discharge of functions made in accordance with Section 101 of the Local Government Act 1972 and the Local Authorities (Arrangements for the Discharge of Functions) (England) Regulations 2012.

 

3.            Transport Functions to be exercised by the Y&NYCA concurrently with the Constituent Councils or the Secretary of State pursuant to the 2023 Order.

 

3.1         The following transport functions are exercisable by the Y&NYCA concurrently with the Constituent Councils:

 

(a)          Powers under section 6 of the Highways Act 1980 to enter into agreements with the Secretary of State or Highways England relating to the exercise of functions with respect to trunk roads

(b)          Powers under section 8 of the Highways Act to enter into agreements with local highway authorities or Highways England for the doing of certain works

(c)          Functions under section 39(2) and (3) of the Road Traffic Act 1988 to prepare and carry out a programme of measures designed to promote road safety and carry out studies into accidents. 

(d)          Functions as enforcement authority specified in the following enactments:

(1)  Part 6 (civil enforcement of road traffic contraventions) of and paragraph 9 and 10 of Schedule 8 (civil enforcement areas and enforcement authorities outside Greater London) to the Traffic Management Act 2004.

(2)  The Civil Enforcement of Road Traffic Contraventions (Approved Devices, Charging Guidelines and General Provisions) (England) Regulations 2022 and

(3)  The Civil Enforcement of Road Traffic Contraventions (Representation and Appeals) Regulations 2022.

(e)       Subject to the provisions of Part 5 paragraphs 16 (2) to (4) of the 2023 Order the function of the Secretary of State set out in section 154(1) (grants to bus service operators) of the Transport Act 2000.

(f)        The functions as local traffic authority specified in sections 1 (traffic regulation orders outside Greater London), 2(4) (what a traffic regulation order may provide) and 9 (experimental traffic orders) of the Road Traffic Regulation Act 1984.

(g)       The functions as local traffic authority specified in sections 23 (pedestrian crossings) and section 65 (placing of signs) of the Road Traffic Regulation Act 1984.

(h)       The functions as highway authority specified in sections 83, 84 and 85 of the New Roads and Street Works Act 1991 and the Street Works (Sharing of Costs of Works) (England) Regulations 2000.

(i)         The functions as local highway authority specified in section 33 (preparation of permit schemes), section 33A (implementation of permit schemes of strategic highways companies and local highways authorities in England) and section 36 (variation and revocation of permit schemes) of the Traffic Management Act 2004.

(j)         The functions as and Approved Authority as defined and specified in the Street Works (Charges for Occupation of the Highway) (England) Regulations 2012.

(k)        The functions of a Minister of the Crown as specified in section 31 (power to pay grant) of the Local Government Act 2003.

 

3.2         The Y&NYCA has a function in relation to its area corresponding to the function of the Secretary of State under section 154 of the Transport Act 2000 to make grants to operators of eligible bus services operating within its area.  Such grants must be calculated in accordance with any regulations made or conditions determined, by the Secretary of State.

 


 

C.     ECONOMIC DEVELOPMENT, REGENERATION AND HOUSING

 

1.            Economic Development Housing and Regeneration Functions to be exercised by the Y&NYCA concurrently with the Constituent Councils pursuant to the Y&NYCA Orders.

 

1.1         The following economic development, housing and regeneration functions of the Constituent Councils are to be exercised by the Y&NYCA concurrently with the Constituent Councils: -

 

(a)          The power under section 144 of the Local Government Act 1972 (the power to encourage visitors and provide conference and other facilities);

(b)          The duty under section 8(1) of the Housing Act 1985 (duty of local housing authorities to consider housing conditions in their district and the needs of the district with respect to the provision of further housing accommodation);

(c)          The duties under section 82 of the Environment Act 1995 (duty to cause a review to be conducted of air quality for the time being, and likely future quality within the relevant period, of air within the authority’s area and associated duties);

(d)          The duty under section 83 of the Environment Act 1985 (duty to designate air quality management areas);

(e)          The duties under section 84 of the Environment Act 1985 (duties in relation to designated area);

(f)           The power under section 2 of the Local Government Act 2000 (promotion of well-being);

(g)          The duty under section 69 of the 2009 Act (duty to prepare an assessment of economic conditions).

(h)          The power under section 17 of the Housing Act 1985 to acquire land compulsorily or by agreement for housing purposes

(i)            The duties under section 18 of the Housing Act 1985 with respect of land acquired for housing purposes

(j)            The following functions under Part IX of the Town and Country Planning Act 1990 in relation to the acquisition of land for development and other planning purposes: -

 

(i)              section 226 (compulsory acquisition of land for development and other planning purposes)

(ii)             section 227 (acquisition of land by agreement)

(iii)            section 229 (appropriation of land forming part of a common)

(iv)            section 230 (i)(a) (acquisition of land for purposes of exchange)

(v)             section 232 (appropriation of land for planning purposes)

(vi)            section 233 (disposal of land held for planning purposes)

(vii)          section 235 (development of land held for planning purposes)

(viii)         section 236 (extinguishment of rights over compulsorily acquired land)

(ix)            sections 238, 239, and 241 (use and development of consecrated land, burial grounds and open space

 

 

2.            Housing and Regeneration Functions to be exercised concurrently with the Homes and Communities Agency (HCA) pursuant to the 2016 Order.

 

2.1         The following functions of the HCA under Part 1 of the Housing and Regeneration Act 2008 are exercisable by the Y&NYCA in its area concurrently with the HCA: -

 

(a)          Section 5 (powers to provide housing or other land)

(b)          Section 6 (powers for regeneration, development or effective use of land)

(c)          Section 7 (powers in relation to infrastructure)

(d)          Section 8 (powers to deal with land)

(e)          Section 9 (acquisition of land compulsorily or by agreement)

(f)           Section 10 (restrictions on disposal of land)

(g)          Section 11 (main powers in relation to acquired land)

(h)          Section 12 (powers in relation to statutory undertakers)

(i)            Section 19 (power to give financial assistance).

(j)            Paragraphs 19 and 20 of Schedule 3 (powers in relation to burial grounds and consecrated land etc) and

(k)          Paragraphs 1, 2, 3, 4, 6 (extinguishment or removal powers for the Homes and Communities Agency), 10 (counter-notices) and 20 (notification of proposal to make order) of Schedule 4.

 

2.2         The functions in paragraph 2.1 must be exercised for the purposes of or for purposes incidental to the following objects: -

 

(a)          To improve the supply and quality of housing in the area

(b)          To secure the regeneration and development of land or infrastructure in the area

(c)          To support in other ways the creation, regeneration or development of communities or their continued well being

(d)          To contribute to the achievement of sustainable development and good design.

   

3.            Functions corresponding to the Functions of the Mayor of London

 

                 Mayoral Development Corporations

 

3.1         The Y&NYCA has in relation to its area functions corresponding to the functions of the Mayor of London under Part 8 of the Localism Act 2011 in relation to the designation of mayoral development areas and in relation to mayoral development corporations consequently established by order of the Secretary of State.

 

3.2       The provisions in the Localism Act 2011 referred to in paragraph 3.1 above are:

            (a) section 197 (designation of Mayoral development areas);

            (b) section 199 (exclusion of land from Mayoral development areas);

            (c) section 200 (transfers of property etc to a Mayoral development corporation.

            (d) section 202 (functions in relation to town and country planning);

            (e) section 204 (removal or restriction of planning function);

            (f) section 214 (powers in relation to discretionary relief from non-domestic rates);

            (g) section 215 (reviews);

            (h) section 216 (transfers of property, rights and liabilities);

            (i) section 217 (dissolution: final steps);

            (j) section 219 (guidance by the Mayor);

            (k) section 220 (directions by the Mayor);

            (l) section 221 (consents);

            (m) paragraph 1 of Schedule 21 (membership);

            (n) paragraph 2 of Schedule 21 (terms of appointment of members);

            (o) paragraph 3 of Schedule 21 (staff)

            (p) paragraph 4 of Schedule 21 (remuneration etc: members and staff);

            (q) paragraph 6 of Schedule 21 (committees) and

            (r) paragraph 8 of Schedule 21 (proceedings and meetings).

 

 

 

               

    

   

D.     FIRE AND RESCUE 

 

1.            Fire and Rescue Functions of the former Police, Fire and Crime Commissioner (‘PFCC’) for North Yorkshire are transferred to the Y&NYCA with effect from 6 May 2024.

 

1.1         Pursuant to the 2023 Order, the former PFCCFRA for North Yorkshire will be abolished on 6 May 2024 and the functions transferred to the Y&NYCA as Mayoral Functions.

 

1.2         In consequence the Y&NYCA will be the Fire and Rescue Authority for the purposes of the Fire and Rescue Services Act 2004 (‘the FRA 2004’) with effect from 6 May 2024 and will be responsible for the discharge of all the functions of a fire and rescue authority conferred or imposed by the FRA 2004 and any other enactment.

 

1.3         Part 3B of this constitution sets out the Fire and Rescue functions which are reserved to the Mayor.

   

E.     POLICE AND CRIME COMMISSIONER (PCC) FUNCTIONS

 

1.1         Police and Crime Commissioner Functions of the former PCC transfer to the Y&NYCA to be exercisable by the Mayor pursuant to the 2023 Order.

 

1.2         The Mayor is to be treated with effect from 6 May 2024, in relation to PCC functions, as a Police and Crime Commissioner for the purposes of all PCC enactments (whenever passed or made) subject to the modifications in Schedule 1 of the PCC Order.

 

1.3         ‘PCC enactments’ means any functions conferred on Police and Crime Commissioners by or under Part 1 of the Police and Social Responsibility Act 2011, or any other Act (whenever passed).

 

1.4         Part 9 of this constitution sets out the Police and Crime functions which are reserved to the Mayor.

             

F.       INCIDENTAL PROVISIONS PURSUANT TO THE Y&NYCA ORDER

 

1.            The following provisions have effect as if the Y&NYCA were a local authority for the purposes of these provisions: -

 

(a)          Section 113 of the Local Government Act 1972 (the power to place staff at the disposal of other local authorities);

(b)          Section 142(2) of the Local Government Act 1972 (the power to arrange for publication of information etc. relating to the functions of the authority);

(c)          Section 144 of the Local Government Act 1972 (the power to encourage visitors and provide conference and other facilities);

(d)          Section 145 of the Local Government Act (the power to provide and support cultural activities and entertainments);

(e)          Section 222 of the Local Government Act 1972 (the power to instigate and defend legal proceedings);

 

1.1         The Y&NYCA shall have the power to exercise any of the functions described in subsection 1(a) and (b) of section 88 of the Local Government Act 1985 (research and collection of information) whether or not a scheme is made under that section.

 

1.2         Section 13 of the Local Government and Housing Act 1989 shall have effect as if in subsection (4) after paragraph () there were inserted: – 

 

’(i) subject to subsection (4A), a committee appointed by the York and North Yorkshire Combined Authority.’

 

And after subsection (4) there were inserted: 

 

‘(4A) A person who is a member of a committee falling within paragraph (i) of subsection (4) or a sub-committee appointed by such a committee shall for all purposes be treated as a non-voting member of that committee or sub-committee unless that person is a member of one of the constituent councils.’

 

1.3         The Y&NYCA is to be treated as a local authority, relevant authority or local enforcing authority (as appropriate) and have similar powers and duties as the Constituent Councils for the purposes of data sharing and the disclosure of information under the following provisions: -

 

(a)      Section 17A (sharing of information) and section 115 (disclosure of information) of the Crime and Disorder Act 1998

 

(b)      Section 113 of the Environment Act 1995 (disclosure of information)

 

(c)       Section 122 of the Apprenticeships, Skills, Children and Learning Act 2009 (sharing of information for education and training purposes)

 

(d)      The following sections of the Education and Skills Act 2008: -

 

(i)              Section 14 (educational institutions – duty to provide information)

(ii)             Section 16 (supplying of information by public bodies)

(iii)            Section 17 (sharing and use of information held for purposes of support services)

(iv)            Section 77 (supply of information by public bodies)

 

1.4         The Y&NYCA has the function of making grants to the Constituent Councils under section 31 of the Local Government Act 2003.  Such function is a mayoral function exercisable concurrently with the Secretary of State.


 

G.       FUNCTIONS CONFERRED ON A COMBINED AUTHORITY            BY LOCAL GOVERNMENT LEGISLATION

 

1.1         The Y&NYCA shall have such other powers and duties as are conferred on a combined authority by any enactment.

 

1.2         Without prejudice to the generality of the above, such powers and duties include:

 

(a)          The duty to appoint a Head of Paid Service, a Monitoring Officer, an officer with responsibility for the administration of Y&NYCA ’s financial affairs, a Scrutiny Officer and a Data Protection Officer;

 

(b)          The power to borrow money for a purpose relevant to its functions;

 

(c)          The power to appoint staff and to enter into agreements with other local authorities for the secondment of staff;

 

(d)          The power to acquire land by agreement or compulsorily for the purpose of any of its functions and to dispose of such land;

 

(e)          The power to pay subscriptions to the funds of local authority associations;

 

(f)           The duty (without prejudice to any other obligation) to exercise its functions with due regard to the need to prevent crime and disorder, the misuse of drugs and alcohol or re-offending in its area;

 

(g)          The power under Section 99 of the Local Transport Act 2008 to promote the economic, social and environmental well-being of its area;

 

(h)          The power under section 113A of the Local Democracy, Economic Development and Construction Act 2009 to do anything it considers appropriate for the purpose of carrying out any of its functions. 

 

1.3         The Y&NYCA is a local authority for the purpose of Section 101 of the Local Government Act 1972 (arrangements for the discharge of functions by local authorities).

 

1.4         The Y&NYCA is a best value authority for the purpose of Section 1 of the Local Government Act 1999.

 

1.5         The Y&NYCA is a public body for the purpose of the Freedom of Information Act 2000.

 

1.6         The Y&NYCA is a public authority for the purposes of the Equality Act 2010.

 

1.7         The Y&NYCA is a local authority for the purpose of the power of a Minister of the Crown to pay grants.


 

 

 

`

H.       MISCELLANEOUS ROLES OF THE Y&NYCA

 

1.         Transport for the North

 

1.1    The Y&NYCA is a member of Transport for the North (TfN) which is a statutory body established under the Sub-national Transport Body (Transport for the North) Regulations 2018.

 

1.2    The Regulations give TfN various general functions:

 

           To prepare a transport strategy for its area

           To provide advice to the Secretary of State (‘SoS’) about the exercise of transport functions in relation to its area (whether exercisable by the SoS or others)

           To co-ordinate the carrying out of transport functions that are exercisable by different constituent authorities, with a view to improving efficiency and effectiveness

           To make proposals to the SoS about the role and functions of TfN, including proposals to transfer further functions to TfN

 

1.3       The Regulations confer on TfN various local transport functions which can be exercised concurrently with local authorities or, where relevant, TfN.  These include: -

 

(a)          the power to make capital grants to fund facilities for public passenger transport under section 56 (2) of the Transport Act 1968

 

(b)          the power to make ticketing schemes under sections 134C and 135 of the Transport Act 2000

 

(c)          the right to be consulted on rail franchises affecting its area and the power to enter into agreements with the SoS in connection with rail services within its area under section 13 of the Railways Act 2005

 

(d)          various powers under the Highways Act 1980, namely: -

 

           Section 8 (power to enter agreements with local highways authorities and Highways England for doing certain works)

           Section 24(2) (power to construct new highways)

           Sections 25 and 26 (powers to enter into agreements for creation of footpaths)

           Various functions relating to the acquisition of land for highways purposes

 

1.4       The Regulations also provide that TfN will be able to exercise certain highways functions jointly with the SoS and / or Highways England, namely: -

 

           Entering into agreements for works relating to trunk roads

           Functions relating to environmental impact assessments

           Functions relating to acquisition of land for trunk roads

 

1.5       The Y&NYCA must appoint one of its elected members to be a voting member of TfN, being either the Mayor or the elected member with responsibility for transport.

 

1.6       In addition, the Y&NYCA must appoint another of its elected members to be a voting member of TfN in the absence of the member appointed under Article 6.3 (‘Substitute Member’).

 

1.7       The Y&NYCA is entitled to appoint one member of the authority to be a member of TfN’s scrutiny committee.

 

1.8       The Y&NYCA is also entitled to appoint one member of the authority to be a member of the scrutiny committee in the absence of the person appointed under Article 6.5 (‘Substitute Member’).


 

PART 3

 

 

RESPONSIBILITY FOR FUNCTIONS

   

1.     INTRODUCTION

 

Responsibility for the discharge of Mayoral functions and the delegation of such responsibility rests with the Mayor. References to delegations of Mayoral General functions below are set out for reference only.  The Mayor’s delegations in relation to his Police and Crime Commissioner functions (the Mayor’s PCC functions) are set out in Part 9 of the Constitution. 

 

A       FUNCTIONS RESERVED TO THE Y&NYCA

  

Only the Y&NYCA will exercise the following functions:  

  

1.            Adopting and changing the Y&NYCA Constitution;  

 

2.            The preparation of a local economic assessment under section 69 of the Local Democracy, Economic Development and Construction Act 2009;  

  

3.            The approval of the Non-Mayoral Y&NYCA budget; 

 

4.            In relation to the Mayor’s General Budget:

 

(a)          the approval of the draft budget (or revised draft budget), or

 

(b)          the decision to veto the draft budget (or revised draft budget) and approve the Mayor’s draft budget incorporating the Y&NYCA’s recommendations as to the relevant amounts and calculations;

5.            The issuing of the Mayoral combined authority precept stating separately the Police and Crime Commissioner component and the general component.

 

6.            The approval of borrowing limits of the Y&NYCA; 

  

7.            Insofar as the Y&NYCA’s functions in respect of transport are concerned, this includes determining the borrowing limits of the Y&NYCA in relation to transport matters pursuant to section 3 of the Local Government Act 2003

  

8.            Approval of the treasury management strategy and the investment strategy of the Y&NYCA.

 

9.         Subject to the Financial Regulations in Part 6 of this Constitution, approving the capital programme of the Y&NYCA and approving new transport schemes.

   

10.       The approval of capital schemes within the agreed capital programme and the agreed budget (including schemes for the purpose of the provision, improvement or development of facilities for public passenger transport, pursuant to Section 56(2) of the Transport Act 1968);  

  

11.       The acceptance of arrangements to delegate the functions of any person to the Y&NYCA;  

  

12.       Questions relating to road user charging;  

  

13.       Making decisions in relation to the establishment and remuneration of posts whose remuneration is, or is proposed to be, £100,000 and above (or pro rata thereto);

14.       Making decisions in relation to severance packages of £95,000 and over;

  

15.      The determination of collective terms and conditions of staff.  


 

 

 

B.  Y&NYCA FUNCTIONS RESERVED TO THE MAYOR

 

Section B I

 

1.            Budget

 

1.1         The following functions are exercisable only by the Mayor:

 

(a)       functions in relation to the setting of the Y&NYCA budget for the Mayor’s general functions, as provided for in the Combined Authorities (Finance) Order 2017 and budget related functions reserved to the Mayor in relation to the Mayor’s PCC functions are set out in Part 9 below.

 

2.            Transport  

 

2.1         The following functions are exercisable only by the Mayor: 

 

(a)          developing policies for the promotion and encouragement of safe, integrated, efficient and economic transport to, from and within York and North Yorkshire under s108 (1) (a) of the Transport Act 2000 (the 2000 Act);

 

(b)          The adoption, approval, amendment, modification, revision, variation, withdrawal or revocation of a local transport plan (LTP) under section 108(3) of the Transport Act 2000;

 

(c)          The duty to keep the local transport plan under review and alter it if considered appropriate to do so including replacing the plan under section 109 (1) or (2) of the Transport Act 2000;

 

(d)          the following provisions of the 2000 Act, to the extent that they apply in relation to functions exercisable by the Mayor— 

(i)              section 108(1) (b); 

(ii)             section 108(2ZA) and (2ZB); 

(iii)            section 108(3B);  

(iv)            section 112 (plans and strategies: supplementary).  

 

2.2         PROVIDED THAT:  

 

(a)          Any exercise by the Mayor of the functions under section 108(1) (a), 108(3) and section 109(1) or (2) of the 2000 Act requires a vote in favour by at least 3 members of the Y&NYCA or substitute members acting in place of those members, present and voting on that question at a meeting of the Y&NYCA, in accordance with the voting arrangements set out at Part 5 of this Constitution.

  

(b)       Amendment of the following plans require a vote in favour by at least 3 members or substitute members acting in place of those members, appointed by the constituent councils present and voting on that question at a meeting of the Y&NYCA: -

 

(i)              a draft policy or a draft local transport plan prepared by the Mayor under sections 108(1) (a) or (3) (local transport plans) of the 2000 Act; or

 

(ii)             a draft alteration or replacement of the local transport plan prepared under sections 109(1) and (2)  

  

3.            Compulsory Purchase Powers

 

3.1         The following functions are exercisable only by the Mayor: 

 

(a)          Compulsory acquisition of land under section 9(2) of the Housing and Regeneration Act 2008 

(b)          Compulsory acquisition of land for development and other planning purposes under section 226 of the Town and Country Planning Act 1990  

(c)          Compulsory acquisition of land for housing purposes under section 17 of the Housing Act 1985. 

 

3.2         PROVIDED THAT: 

 

Exercise of the functions specified at 3.1 above requires the consent of all members of the Y&NYCA appointed by the Constituent Councils whose area contains any part of the land subject to the proposed compulsory acquisition or substitute members acting in place of those members (such consent to be provided at a meeting of the Y&NYCA.) 

 

 

4.         Mayoral Development Areas  

 

4.1       The following functions corresponding to functions contained in the provisions in the Localism Act 2011 (the 2011 Act), that the Mayor of London has in relation to Greater London are exercisable only by the Mayor —

 

(a)          Section 197 (designation of Mayoral development areas (‘MDAs’);

 

(b)          section 199 (exclusion of land from Mayoral development areas);

 

(c)          section 200 (transfers of property etc. to a Mayoral development corporation (‘MDC’));

 

(d)          section 202 (functions in relation to Town and Country Planning);

 

(e)          section 204 (removal or restriction of planning functions);

 

(f)           section 214 (powers in relation to discretionary relief from non-domestic rates);

 

(g)          section 215 (reviews);

 

(h)          section 216 (transfers of property, rights and liabilities);

 

(i)            section 217 (dissolution: final steps);

 

(j)            section 219 (guidance by the Mayor);

 

(k)          section 220 (directions by the Mayor); 

 

(l)            section 221 (consents);

 

(m)        paragraphs 1-4, 6 and 8 of Schedule 21 

   

PROVIDED THAT: 

 

The exercise by the Mayor of the functions corresponding to the functions contained in section 202(2) to (4) of the 2011 Act in respect of any MDA requires the consent of: -

(a)          The North York Moors National Park Authority if the proposal relates to the area of the North York Moors National Park Authority

(b)          The Yorkshire Dales National Park Authority if the proposal relates to the area of the Yorkshire Dales National Park Authority

(c)          Each member of the Y&NYCA appointed by a constituent council, or a substitute member acting in place of that member, whose Council’s area contains the whole or any part of the area in respect of which is proposed to exercise the functions, such consent to be given at Y&NYCA Meeting. 

 

4.2       A proposal by the Mayor to: 

 

(a)          Designate any area of land as an MDA;

(b)          Alter the boundaries of an MDA to exclude an area of land; 

(c)          Decide that a Mayoral Development Corporation (MDC) should be the local planning authority (LPA) for the purposes set out in section 202 (2) to (4) of the Localism Act 2011,

 

requires the consent of all members of the Y&NYCA (or substitute members acting in their place) whose local government area contains any part of the area to be designated or excluded or in respect of which the Mayor wishes to decide that the MDC should be the LPA such consent to be provided at a meeting of the Y&NYCA. 

 

4.3       A proposal of the Mayor under paragraph 4.2 above may be rejected by the Y&NYCA in accordance with the provisions of section 197 of the Localism Act 2011 as modified by the 2023 Order, but only if a motion to reject has been considered at a meeting of the Y&NYCA and agreed to by two-–thirds of the Y&NYCA members (or substitute members acting in their place) present and voting on that motion. 

  

5.         Bus Franchising

 

5.1       The following functions in relation to bus franchising may                    only be exercised by the Mayor individually: 

 

(1)               the function of deciding whether to make a proposed franchising scheme (including in a case where the decision is to make a scheme jointly with one or more other franchising authorities). 

 

(2)               the function of deciding whether to make a proposed variation to a franchising scheme (including in a case where the decision is to act jointly to vary a scheme). 

 

(3)               the function of deciding whether to make a proposed revocation of a franchising scheme (including in a case where the decision is to act jointly to revoke a scheme). 

 

6.         Fire and Rescue 

  

6.1       The Mayor has all the responsibilities provided to them by the 2004 Act, the 2011 Act and the Order and by any other enactment.

 

6.2       The Mayor must put in place arrangements to deliver an efficient and effective fire and rescue service and perform the following key functions:

 

·         Promote fire safety (section 6 of the Fire and Rescue Services Act 2004).

·         Provision for the purpose of extinguishing fires and protecting life and property in the event of fires (section 7 of the Fire and Rescue Services Act 2004).

·         Rescue people and protect people from serious harm in the event of road traffic accidents (section 8 of the Fire and Rescue Services Act 2004).

·         Dealing with other types of emergencies, as specified by the Secretary of State, in Statutory Instruments (Orders)[2].

·         Duty to assess, plan and advise on civil emergencies (section 2 of the Civil Contingencies Act 2004).

·         Enforce the Regulatory Reform (Fire Safety) Order 2005.

 

6.3      The Mayor is the legal contracting body who owns all the assets and liabilities and has responsibility for the financial administration of their office and the Fire and Rescue fund, including all borrowing.

 

6.4      The Mayor will receive all funding, including the government grants and other sources of income, related to the Fire and Rescue Service element of the Y&NYCA.

 

6.5       The Mayor will notify the Police, Fire and Crime Panel of the proposed allocation of the draft budget for fire and rescue functions, including the proposed allocation of the element of the general precept attributable to fire and rescue functions in relation to the following financial year, such notification to be given before the date on which the CA determines whether to approve the Mayor’s annual budget in relation to the following financial year with sufficient time for the Panel to review the proposed allocation of budget before the CA makes its determination.

 

6.6       The Mayor will set the Fire and Rescue precept after consultation with the public of North Yorkshire, the Police, Fire and Crime Panel and the Chief Fire Officer.  The policing precept is set separately.

 

6.7       The Mayor is responsible for setting the strategic vision and holding the Chief Fire Officer to account for delivering that vision, in particular the Fire and Rescue Plan.

 

6.8       The Mayor will be responsible for handling complaints and conduct matters in relation to the Chief Fire Officer and for receiving, monitoring and responding to complaints against the Fire and Rescue Service element of the Y&NYCA.

 

6.9       The Police, Fire and Crime Panel has a vital role in challenging, scrutinising and supporting the Mayor by scrutinising the Mayor’s policing and crime precepts and the Police, Fire and Crime plans, conducting confirmation hearings and dealing with complaints against the Mayor.

 

 

6.10    The following functions are assigned as the responsibility of the Mayor       and cannot be delegated:

  

(a)          The function of calculating a council tax requirement (see section 42A of the Local Government Finance Act 1992);

 

(b)          the power to enter into a reinforcement scheme with fire and rescue authorities under section 13 of the Fire and Rescue Services Act 2004 (FRSA);

 

(c)          the power to enter into arrangements under section 15 FRSA with a person who employs fire-fighters for securing the provision by that person of assistance for the purpose of the discharge of a function under section 7, 8 or 9 of the FRSA;   

 

(d)          The power to enter into arrangements under section 16 of the FRSA for the discharge of a function under section 7, 8, 9 or 11 of the FRSA; 

 

(e)          The function of approving a pay policy statement prepared for the purposes of section 38 of the Localism Act 2011 (pay policy statements);

 

(f)           appointing, suspending or dismissing, the Chief Fire Officer;

 

(g)          approving the terms of appointment of the Chief Fire Officer;

 

(h)          holding the Chief Fire Officer to account for functions which are delegated to them or functions of persons under the direction and control of the Chief Fire Officer in respect of the fire and rescue service;

 

(i)            approving: -

 

(i)              the community risk management plan,

(ii)             the fire and rescue plan, and

(iii)            the annual statement of assurance (within the meaning of Paragraph 5(2), Schedule A2 of the 2004 Act);

 

(h)               approving plans, modifications to plans and additions to plans for the purpose of ensuring that: -

 

(i)                      so far as is reasonably practicable, the Y&NYCA is able to continue to perform fire and rescue functions if an emergency occurs, and

 

(ii)  the Y&NYCA is able to perform its functions so far as necessary or desirable for the purpose of preventing an emergency, or reducing, controlling or mitigating the effects of an emergency, or taking other action in connection with it; and

 

(i)        approving any arrangements for the co-operation of the Y&NYCA in relation to its fire and rescue functions and other Category 1 responders and Category 2 responders in respect of the performance of the Y&NYCA’s duty as a fire and rescue authority under section 2 of the Civil Contingencies Act 2004 and any duties under regulations made in exercise of powers under that Act.  

 

Section B II

 

8.            Power to Pay Grants  

 

Functions under section 31 of the Local Government Act 2003 (grants to constituent councils) are exercisable only by the Mayor or his delegate.

  

9.            Grants to Bus Operators

 

The following functions in relation to buses are exercisable only by the Mayor or his delegate: 

 

9.1         Functions under section 154 (1) of the Transport Act 2000 (grants to bus operators).

 

 

 

C.         COMMITTEES

  

The terms of reference and the delegations to Y&NYCA Committees are set out in Part 4 of this Constitution.  

   

 

 

D.     DEPUTY MAYOR FOR POLICING AND CRIME    (Fire and Rescue Functions)

 

1.            The Mayor delegates all fire and rescue functions to the Deputy Mayor for Policing and Crime to exercise on the Mayor’s behalf in accordance with the Y&NYCA ’s Constitution, with the exception of:

 

1.               those functions that cannot be delegated by virtue of article 45 of the 2023 Order (set out at Part 3 Section B1 paragraph 7 of the constitution), and

 

2.               the functions delegated to Chief Officers under the Scheme of Delegation to Chief Officers and the Schedule of Proper Officers, contained in Part 3 Section F of the Constitution (prepared in accordance with section 101 of the Local Government Act 1972, and section 107D (3) of the Local Democracy, Economic Development and Construction Act 2009).

 

2.            The Mayor will exercise any fire and rescue functions delegated to the Deputy Mayor for Policing and Crime in the absence of the Deputy Mayor for Policing and Crime or where Deputy Mayor for Policing and Crime has a conflict of interest.

 

3.            Specific delegations which the Mayor can only delegate to the Deputy Mayor for Policing and Crime include:

 

a). The function of determining the Mayor’s priorities and objectives for the purposes of the Fire and Rescue Plan and the Fire and Rescue Statement.

 

b). The function of attendance at a meeting of the Police, Fire and Crime Panel in compliance with a requirement by the Panel to do so (see section 29 of the Police Reform and Social Responsibility Act 2011 as applied with modifications by paragraph 9 of Schedule A2 of the Fire and Rescue Services Act 2004).

 

c). The function of appointing a local auditor under section 7 of the Local Audit and Accountability Act 2014 (appointment of local auditor).

 

d). The function of deciding whether to enter into a liability limitation agreement under section 14 of the Local Audit and Accountability Act 2014 (limitation of local auditor’s liability).

 


 

E.        SCHEME OF DELEGATION OF FUNCTIONS TO CHIEF OFFICERS, OTHER OFFICERS AND SCHEDULE OF PROPER OFFICERS

 

1.            Introduction

 

1.1         This Scheme of Delegation to Chief Officers and Schedule of Proper Officers for various functions has been prepared in accordance with section 101 of the Local Government Act 1972 (the 1972 Act), which enables the Y&NYCA to delegate functions to officers and section 107D (3) of the Local Democracy, Economic Development and Construction Act 2009 which enables the Mayor to delegate Mayoral general functions. The Mayor’s Delegations in relation to his PCC functions are set out in Part 9 below. The Y&NYCA is also required by section 100G of the 1972 Act to maintain a list for public inspection specifying those powers of the Y&NYCA which, for the time being, are exercisable from time to time by officers of the Y&NYCA and stating the title of the officer in question by whom the powers are exercisable.

 

1.2         Chief Officers in the context of this Part means the Head of Paid Service, the Section 73 Officer, the Monitoring Officer and the Chief Fire Officer. 

 

1.3         The delegated powers of Chief Officers set out in this Scheme may be exercised by other officers authorised by the Chief Officer with the delegated power to act on their behalf and in their name, provided that administrative procedures are in place to record the authorisation and monitor decisions taken.

 

1.4         The exercise of delegated powers by officers is required to be in accordance with:  

 

a.            Statute or other legal requirements, including the principles of public law, the Human Rights Act 1998, statutory guidance and statutory codes of practice;

b.            The Constitution, the Y&NYCA’s Rules of Procedure including Access to Information Rules in Part 5 and the Financial Regulations set out Part 6 currently in force;

c.            The revenue and capital budgets of the Y&NYCA, subject to any variation thereof which is permitted by the Y&NYCA’s Financial Regulations; and

d.            Any policy or direction of the Y&NYCA, or any Committee acting in exercise of powers delegated to that Committee by the Y&NYC.  

 

1.5         Officers may not exercise delegated powers where –

 

a.            The matter is reserved to the Y&NYCA or the Mayor by law or by the Y&NYCA’s Constitution;

 

b.            The matter is a function which cannot by law be discharged by an officer;

 

c.            The Y&NYCA, a Committee, Sub-Committee or Joint Committee to which Y&NYCA is a party, or (in the case of a mayoral function) the Mayor has determined that the matter should be discharged otherwise than by an officer; 

 

1.6         Before exercising delegated powers, particularly on matters involving the reputation of the Y&NYCA, officers should consider the advisability of consulting the Head of Paid Service and/or the Chair of the Y&NYCA.

 

1.7         Any reference in this Scheme of Delegation to any enactment shall include a reference to any amendment or re-enactment of the same.

 

1.8         Where, in relation to an item before the Y&NYCA or a Committee, a Chief Officer is given specific authority to determine a particular matter, the officer should ensure that there is an appropriate audit trail to evidence such determination.

 

1.9         When carrying out any Fire and Rescue functions, the Mayor or any officer must have regard to the following:

 

·         The views of the people in the area;

·         Any report or recommendation made by the Police, Fire and Crime Panel on:

o   the Community Risk Management Plan;

o   The Medium-Term Financial Plan in relation to Fire and Rescue functions;

o   The Fire and Rescue Plan and any connected guidance issued by the Secretary of State.

 

1.10      In addition, the Mayor is ultimately accountable for the Fire and Rescue Fund.  Before any financial or legal liability affecting the fund that the Mayor might reasonably regard as novel, contentious, repercussive or politically sensitive is incurred, prior approval must be obtained from the Mayor.

 

 

 

 

2.            General Delegations to all Chief Officers

 

These functions may be Mayoral or non-Mayoral depending on the circumstances.

 

2.1         The day to day routine management, supervision and control of services provided for the Y&NYCA or the Mayor by staff under their control in accordance with the Rules of Procedure and Financial Regulations of the Y&NYCA set out in Part 6 of this Constitution in relation to Y&NYCA and the Mayor’s non PCC functions and in accordance with the Financial Regulations applicable in relation to the Mayor’s PCC functions contained in Part 9 below.

 

2.2         Subject to Financial Regulations, to accept tender(s) or bid(s) for the carrying out of works for the Y&NYCA, the purchase, leasing or hiring of goods, materials and equipment by the Y&NYCA, or the supply of services to the Y&NYCA, where the estimated contract value does not exceed £250,000 or where it does exceed £250,000 with the agreement of the Section 73 Officer provided in all cases that budget provision is available.

 

2.3         Subject to Financial Regulations, to enter into contract documentation following tender/bid acceptance. To negotiate and agree price increases where a contract provides for price increases to be negotiated and agreed by the parties, subject to the agreement of the Section 73 Officer.

 

2.4         Where a contract contains provision for the extension to the contract period, the exercise of such extensions, subject to the agreement of the Section 73 Officer.

 

2.5         Agreeing the assignment or novation of a contract.

 

2.6         Subject to Financial Regulations, to bid and tender for and enter into contract documentation for the supply of works, goods or services to other bodies where provided for in the relevant Business Plan.

 

2.7         Virement between heads of revenue and capital expenditure in accordance with Financial Regulations.

 

2.8         Subject to the agreement of the Section 73 Officer: - 

 

a.            the writing off of debts which are irrecoverable or losses due to burglaries, etc.; and 

b.            the writing off or making adjustments in respect of deficiencies or surpluses of stock, equipment, etc.

 

2.9         To exercise the responsibilities assigned to Chief Officers in Part 6 of this Constitution (Financial Regulations and Contract Procurement Rules)

 

2.10      In relation to staff and staffing matters within their direct or indirect line management responsibility:

 

a.            Day to day management of staff.

b.            Determination of the payment of removal expenses, lodging allowances or travelling allowances. 

c.            Discipline, suspension and/or dismissal of employees.

d.            Determination of staff grievances.  

e.            The filling of vacant posts within approved establishments

f.             The determination of applications for paid and unpaid leave:

 

(i)              for trade union training 

(ii)             for health and safety training

(iii)            for paid leave for an employee to discharge her/his duties of the office of President of a Trade Union

(iv)            for an employee to attend meetings etc. with pay as a member of a local authority or similar public body on condition that the employee only receives the difference between pay and any amount receivable under the Local Government Regulations etc. This does not include an employee attending such a body in their official capacity which would be as part of their official duties

(v)             for personal or domestic reasons

(vi)            for maternity and paternity pay

 

g.         Determination of requests for the reimbursement of post-entry training and examination fees

h.         Determination of proposals to attend training courses

 

3.            Delegations to the Head of Paid Service   

 

These functions may be Mayoral functions or non-Mayoral functions depending on the circumstances.   

  

3.1         To discharge the functions of the Head of Paid Service in relation to the Y&NYCA as set out in Section 4 of the Local Government and Housing Act 1989. The duties of the Head of Paid Service are to report to the Y&NYCA where appropriate setting out proposals with respect to the coordination of the Mayor’s or Y&NYCA’s functions, the number and grades of staff required and the organisation, appointment and proper management of the Y&NYCA’s staff.

 

3.2         To discharge any function of the Y&NYCA or the Mayor which is neither the statutory responsibility of nor been specifically delegated to another officer, Committee or reserved to the Y&NYCA or the Mayor under this Constitution or by law and may direct any officer not to exercise a delegated function in special circumstances unless they are required to do so by law.

 

3.3         Take any action which is required as a matter of urgency in the interests of the Y&NYCA, in consultation (where practicable) with the Chair of the Y&NYCA.

 

3.4         Take preliminary steps to protect the rights and interests of the Y&NYCA subject to consultation with the Chair of the Y&NYCA in relation to any Bill or Statutory Instrument or Order in Parliament.

 

3.5         To conduct before either House of Parliament any proceedings (including the retention of Parliamentary Agents and Counsel) connected with the passage of any Private Bill which the Y&NYCA has resolved to promote or oppose, including the negotiation and agreement of amendments to any such Bill, and the negotiation and approval of any terms, agreement or undertaking offered in consideration of the Y&NYCA not opposing any Private Bill.

 

3.6         Nominate, appoint and remove, in consultation with the Chair and Vice-Chairs of the Y&NYCA, Y&NYCA representatives on the board of companies, trusts and other bodies, of which the Y&NYCA is a member, and to agree constitutional arrangements for such companies, trusts and other bodies and give any necessary consent required within relevant constitutions.

 

3.7         To provide a comprehensive policy advice service to the Mayor and the Y&NYCA and to advise on the Mayor’s or the Y&NYCA’s plans and strategies, including the sustainable community strategy and the local transport plan.

 

3.8         Control and co-ordinate press and media relations, the organisation of press conferences, publicity and public relations within prescribed policy including approval of the issue of all official Y&NYCA publicity and official publications.

 

3.9         To approve the provision of reasonable hospitality to representatives of joint authorities, local authorities, organisations etc.

 

3.10      To authorise the attendance of officers at conferences or seminars which are appropriate to the work of the Y&NYCA and within any policy framework from time to time laid down by the Y&NYCA.  

 

3.11      To be the authorised representative of the Y&NYCA (in the absence of any other officer being appointed) in respect of any company or organisation of which Y&NYCA is a member, including attending and voting at general meetings of the company or organisation or nominating a member or officer of Y&NYCA to do so.

 

3.12      To be the authorised representative of the Y&NYCA on the board of Transport for the North. 

 

3.13      To manage investments made by the Y&NYCA, which fall outside of the approved Treasury Management strategy, in consultation with the Portfolio Holder for Finance and Investments and the Section 73 Officer and subject to subsequent reporting to the Y&NYCA.

 

3.14      Except where delegated to the Chief Fire Officer:

 

a.            Establishment of new and additional posts, subject to funding being available.

b.            In consultation with the Section 73 Officer determination of requests or recommendations for acting up/honoraria/additional payments, subject to funding being available.  

c.            Determination of extensions of sickness allowance in consultation with the Section 73 Officer.

d.            Responsibility for the maintenance of an industrial relations framework.  

e.            In consultation with the Section 73 Officer, the agreement of severance packages up to the value of £50,000. 

   

Estate Management

 

3.15      Except where delegated to the Chief Fire Officer:

 

a.            To acquire by agreement, land and property (including freehold chief rents) SUBJECT always to the purchase price, or the purchase price when added to other transactions in respect of the same project, being within the estimate of costs included in the Y&NYCA’s capital programme. 

 

b.            To accept any offer or tender and agree and arrange for, the disposal of land or property and other interests in land or property provided the offer or tender does not exceed £500,000 and is the best consideration that can reasonably be obtained. 

 

c.            In consultation with the relevant Portfolio Holder, to dispose of any interest in land at less than best consideration where the disposal will help the Y&NYCA to secure the promotion or improvement of the economic, social or environmental well-being of the Y&NYCA’s area.

 

d.            Management of land, property, accommodation and facilities owned by the Y&NYCA.

 

Investment Funds

 

3.16      In consultation with the Chair of the Y&NYCA the variation of loans approved by the Y&NYCA by up to 10% of the loan amount and to vary other loan conditions provided that the loan is to the same borrower on substantially the same terms.

 

Mayoral Development Corporations - Acquisition of Land

 

3.17      To discharge the function corresponding to the function contained in Section 207 Acquisition of land) subsection 3 of the Localism Act 2011 in respect of Mayoral Development Corporations, in consultation with the Mayor and with the member(s) (or substitute member(s) acting in place of that member(s)) of the Y&NYCA appointed by the Constituent Council(s) whose area(s) contain(s) any part of the land subject to the proposed compulsory acquisition.

 

In the absence of the Head of Paid Service, the above delegations may be exercised by the Section 73 Officer.   

   

4.            DELEGATIONS TO THE SECTION 73 OFFICER   

  

These functions may be Mayoral functions or non-Mayoral functions depending on the circumstances.  

   

4.1         To effect the proper administration of the Y&NYCA’s financial affairs particularly in relation to financial advice, procedures, records and accounting systems, internal audit and financial control generally.

 

4.2         The taking of all action required on borrowing, investment and financing subject to the submission to the Audit Committee and the Y&NYCA of an annual report of the Section 73 Officer on treasury management activities and at six-monthly intervals in accordance with CIPFA’s Code of Practice for Treasury Management & Prudential Codes.

 

4.3         To effect all insurance cover required in connection with the business of the Y&NYCA and to settle all claims under such insurances arranged for the Y&NYCA’s benefit.

 

4.4         The preparation of manuals of financial and accounting procedures to be followed by Officers of the Constituent Councils working on Y&NYCA matters.

 

4.5         To accept grant offers on behalf of the Y&NYCA, subject to all the terms and conditions set out by the grant awarding body.

 

4.6         The submission of all claims for grant to the UK Government or the European Community (EC).

 

4.7         To make grants to outside bodies and organisations in accordance with grant procedures in place at the time of making the grant.

 

4.8         To make all necessary banking arrangements on behalf of the Y&NYCA, to sign all cheques drawn on behalf of the Y&NYCA or make arrangements for cheques to be signed by other officers or to arrange for such cheques to bear the facsimile signature of the Section 73 Officer. 

 

4.9         To monitor capital spending and submit a report to the Y&NYCA at not more than quarterly intervals. This report will separately identify the capital expenditure relating to schemes promoted by the Y&NYCA and those via Transport for the North.

 

4.10      In relation to revenue expenditure under the control of officers, to consider reports of officers on any likely overspending, and to approve transfers between expenditure heads up to a maximum of £25,000, provided that, where it is not possible to finance an overspending by such a transfer, the matter shall be referred to the Y&NYCA for consideration of a supplemental estimate.

 

4.11      The approval of contracts and agreements proposed to be entered into by Transport for the North provided that, subject to any other requirement of this Constitution, the Section 73 Officer may give a general consent to Transport for the North to enter into contracts or agreements the value of which does not exceed £5,000,000.

 

4.12      The collection of all money due to the Y&NYCA and the writing-off of bad debts.

 

4.13      To supervise procedures for the invitation, receipt and acceptance of tenders.

 

4.14    To administer the scheme of Members’ allowances.

 

4.15      To make all necessary arrangements to ensure the payment of staff employed by the Y&NYCA.

 

4.16      To exercise the functions of the authority in relation to pensions and (without prejudice to the generality of this):

 

a.            to be the person specified to determine disputes in the first instance arising from the decisions of the Authority as scheme employer under the Local Government Pension Regulations, and

b.            to determine the treatment of pensions for employees of contractors engaged to provide waste services to Y&NYCA in situations where admission to the North Yorkshire Pension Fund is appropriate and to agree guarantees for Admission Agreements under the Local Government Pension scheme regulations.

 

4.17      To discharge the functions of the ‘responsible financial officer’ under the Accounts and Audit Regulations 2015 including the requirement under Regulation 9 to sign and date the statement of accounts and certify that it presents a true and fair view of the financial position of the Y&NYCA at the end of the year to which it relates and of the Y&NYCA’s income and expenditure for that year.

 

4.18      To discharge the functions of the Y&NYCA under the Accounts and Audit Regulations 2015 (except for those functions required to be exercised under these Regulations by the Y&NYCA).

 

4.19      To sign certificates under the Local Government (Contracts) Act 1997.

 

4.20      To be the officer nominated, or to nominate in writing another officer, as the person to receive disclosures of suspicious transactions for the purposes of the Proceeds of Crime Act 2002 and any regulations made thereunder.

 

4.21      To determine an amount (not exceeding the sterling equivalent of 5,000 euros) being the maximum sum which the Y&NYCA will receive in cash without the express written consent of the Section 73 Officer.

 

4.22      To exercise the responsibilities assigned to the Section 73 Officer in the Financial Regulations and the Contract Procurement Rules.  

 

4.23      In respect of the North Yorkshire Pension Fund

 

a.            To exercise Local Government Pension Scheme Pensions discretions in line with agreed Y&NYCA Pensions Discretion Statement.

b.            To authorise the adoption and implementation of pay awards made nationally or locally under procedures recognised by the Y&NYCA.

c.            To Implement the Y&NYCA’s Flexible and Early Retirement Policy.

 

4.24    To act as the Y&NYCA’s Senior Information Risk Owner and to arrange for the determination of requests under the Freedom of Information Act 2000, the Environmental Information Regulations 2004 and data protection legislation, including dealing with internal reviews, complaints and data sharing or data processing.  

4.25    The Section 73 Officer is designated as the Y&NYCA’s Chief Finance Officer for the purposes of Section 73 of the Local Government Act 1985. The functions of the Chief Finance Officer include:

(i)        responsibility for the administration of financial affairs under section 73 of the Local Government Act 1985

(ii)        exercise of the duties of the Chief Finance Officer under Section 114, 115 & 116 of the Local Government Finance Act 1988 and Section 25 of the Local Government Act 2003, namely ensuring lawfulness and financial prudence of decision-making.

 

   

5.            DELEGATIONS TO THE MONITORING OFFICER 

 

These functions may be Mayoral functions or non-Mayoral functions depending on the circumstances  

 

The functions of the Monitoring Officer shall be as follows:

 

5.1         Should at any time it appears to the Monitoring Officer that any proposal, decision or omission by the Y&NYCA has given rise to or is likely to give rise to unlawfulness or maladministration, he/she will prepare a report to the Y&NYCA with respect to that proposal, decision or omission.

 

5.2         Contribute to the promotion and maintenance of high standards of conduct through provision of support to the Audit and Governance Committee. The Y&NYCA has delegated to the Monitoring Officer the following powers to deal with matters of conduct and ethical standards in accordance with the requirements of the Localism Act 2011:

 

(i)                  To act as the Y&NYCA’s Proper Officer to receive complaints that Y&NYCA Members have failed to comply with the Y&NYCA’s Code of Conduct for Members;

 

(ii)                To determine, after consultation with the Independent Person and in accordance with the Y&NYCA’s Arrangements for dealing with Complaints that Y&NYCA Members have failed to comply with the Y&NYCA’s Code of Conduct for Members (“the Y&NYCA’s Arrangements”) whether to reject, informally resolve or investigate a complaint;

 

(iii)              To seek informal resolution of complaints that Y&NYCA Members have failed to comply with the Y&NYCA’s Code of Conduct for Members wherever practicable;

 

(iv)              To refer decisions dealing with a complaint against a Y&NYCA Member to the Y&NYCA’s Audit and Governance Committee in exceptional circumstances;

 

(v)                To arrange for the appointment of an Investigating Officer to investigate a complaint where the Monitoring Officer (in consultation with the Independent Person) determines that a complaint merits formal investigation;

 

(vi)              To issue guidance to be followed by an Investigating Officer on the investigation of complaints;

 

(vii)            To confirm, after consultation with the Independent Person and in accordance with the Y&NYCA’s Arrangements, an Investigating Officer’s finding of no failure to comply with the Y&NYCA’s Code of Conduct for Members;

 

(viii)          Where an Investigating Officer’s report finds that the Subject Member has failed to comply with the Y&NYCA’s Code of Conduct for Members, to determine, after consultation with the Independent Person and in accordance with the Y&NYCA’s Arrangements, either to seek a local resolution or to send a matter for local hearing.

 

Y&NYCA’s Register of Member’s Interests  

 

5.3         In conjunction with the Head of Paid Service to prepare and maintain the Y&NYCA Register of Member’s Interests to comply with the requirements of the Localism Act 2011 and the Y&NYCA’s Code of Conduct for Members and ensure that it is available for inspection and published on the Y&NYCA’s website as required by the Act.

 

Dispensations

 

5.4         To grant dispensations from section 31(4) of the Localism Act 2011 in consultation with the Independent Person if, having had regard to all relevant circumstances, the Monitoring Officer: -

 

i)             considers that without the dispensation the number of persons prohibited by section 31(4) of the Localism Act 2011 from participating in any business would be so great a proportion of the body transacting the business as to impede the transaction of the business; or

 

ii)            considers that without the dispensation the representation of different political groups on the body transacting any business would be so upset as to alter the likely outcome of any vote relating to the business; or

 

iii)           considers that granting the dispensation is in the interests of persons living in the Y&NYCA area; or

 

iv)           considers that it is otherwise appropriate to grant a dispensation.

 

5.5         Provide advice on the scope of powers and authority to take decisions, maladministration, financial impropriety, probity, budget and policy framework issues to all members of the Y&NYCA.

 

5.6         To act as the Solicitor to the Y&NYCA.

 

5.7         To institute, conduct, prosecute and defend any legal proceedings on behalf of the Y&NYCA, as may be necessary to protect and promote the Y&NYCA’s interests in accordance with any general policy laid down by the Y&NYCA, subject to consultation with the Chair in any case where the matter is of significance to the Y&NYCA’s reputation or where the Y&NYCA is to appeal to the Court of Appeal or the Supreme Court.

 

5.8         To settle, if appropriate, and in the interests of the Y&NYCA, any actual or threatened legal proceedings.

 

5.9         To instruct Counsel and professional advisers, where appropriate.

 

5.10      To give undertakings on behalf of Y&NYCA.

 

5.11      To supervise the preparation and sealing or signature of legal documents.

 

5.12      To authorise other officers to seal documents in accordance with Article 11.4 of the Y&NYCA Constitution, or to sign documents which are not required to be under seal.

 

5.13      To complete all property transactions and contractual arrangements where terms have been agreed by the Y&NYCA or Committees or Chief Officers acting under the Scheme of Delegation.

 

5.14      To determine exemptions under Section 36 of the Freedom of Information Act 2000.

 

5.15      To accept on behalf of the Y&NYCA the service of notices, orders and legal procedures.

 

5.16      Under Section 223 of the Local Government Act 1972 to authorise officers who are not admitted solicitors to appear in Magistrates’ Court on behalf of the Y&NYCA. 

 

5.17      To be responsible for determinations in relation to and maintenance of the list of politically restricted posts. 

 

5.18      Be the Proper Officer for ensuring the maintenance of public access to information in relation to Y&NYCA documents, reports and background papers.

 

 

 

 

6.            MAYOR’S DELEGATIONS TO THE CHIEF FIRE OFFICER 

 

6.1         The Mayor has all of the responsibilities provided to them by the 2004 Act, the 2011 Act and the Order and by any other enactment.  The Mayor must put in place arrangements to deliver an efficient and effective fire and rescue service.

 

6.2         The Mayor delegates responsibility for the arrangements to deliver an efficient and effective fire and rescue service to the Chief Fire Officer, which includes the performance of the following key functions:

 

·         Promote fire safety (section 6 of the Fire and Rescue Services Act 2004).

·         Provision for the purpose of extinguishing fires and protecting life and property in the event of fires (section 7 of the fire and Rescue Services Act 2004).

·         Rescue people and protect people from serious harm in the event of road traffic accidents (section 8 of the Fire and Rescue Services Act 2004).

·         Dealing with other types of emergencies, as specified by the Secretary of State in Statutory Instruments (Orders).

 

6.3         The Chief Fire Officer must, in exercising functions which are delegated to them, have regard to the Fire and Rescue Plan.

 

6.4         The Mayor grants the following delegations to the Chief Fire Officer:

 

6.5         To prepare the Community Risk Management Plan for submission to the Mayor in accordance with the requirements of the Fire and Rescue National Framework.

 

6.6         To prepare the Fire and Rescue Statement for submission to the Mayor.

 

6.7         To lead and direct the strategic management of the Fire and rescue Service function.

 

6.8         Respond to requests made to the Fire and Rescue Service function from the Home Office in relation to the developing or hosting new capabilities under national resilience.

 

6.9         Responsibility for all matters associated with the day-to-day operation of the Fire and Rescue Service (‘the Service’). 

 

6.10      The authorisation of employees to exercise statutory powers under section 44 of the Fire and Rescue Services Act 2004 (powers of fire-fighters etc. in an emergency etc.). 

 

6.11      The appointment of authorised officers to exercise statutory powers under sections 45 and 46 of the Fire and Rescue Services Act 2004 (obtaining of information and investigating fires). 

 

6.12      The powers of the Mayor in relation to fire safety and health and safety at work and any other legislation for which the Mayor has responsibility for enforcement. 

 

6.13      The signature and service of any document or notice, and the issue, amendment, transfer, cancellation and revocation of licences for fireworks and the grant or non-grant of storage certificates for petroleum. 

 

6.14      The appointment of authorised officers and inspectors under legislation relating to fire safety and health and safety at work and any other legislation for which the Mayor has responsibility for enforcement, identifying the powers each authorised officer or inspector is empowered to exercise (including, but not limited to, the signature and service of documents and notices, powers of entry, inspection, procuring of samples, testing, requests for information and records). 

 

6.15      To designate persons as inspectors under Article 26 and to authorise members of staff to exercise statutory powers under Article 27 of the Fire Safety Order.

 

6.16      The appointment of authorised officers to inspect premises for Fire Service purposes at the request of Constituent Councils in connection with applications received by them for licences or approvals under all relevant statutory provisions including those for which Constituent Councils are responsible and in connection with which requests for assistance are received. 

 

6.17      To submit comments on any town and country planning matters, building regulations, safety of sports grounds and other applications or licences.

 

6.18      The authorisation of appropriate persons to accompany inspectors on inspections carried out under the Health & Safety at Work etc. Act 1974. 

 

6.19      The authorisation of appropriate persons to sign and serve any document or notice, and to issue, grant, not grant, amend, transfer, cancel and revoke licences, storage certificates and consents for fireworks, explosives, petroleum and flammable stacks. 

 

6.20      In consultation with the Section 73 officer, to enter into any primary authority arrangements with businesses in relation to fire safety regulations.

  

6.21      The issuing of formal cautions under fire safety and Health and safety at Work for which the Mayor has responsibility for enforcement. 

 

6.22      To prepare agreements with neighbouring fire and rescue services under Sections 13, 16 and 17 of the 2004 Act for submission to the Mayor.

 

6.23      In consultation with the Monitoring Officer the institution of legal proceedings in relation to fire safety and health and safety at work and any other legislation for which the Mayor has responsibility for enforcement.

 

6.24      To exercise functions of the Mayor under the Regulatory Reform (Fire Safety) Order 2005, together with any future enactment conferring power upon the fire and rescue service to commence criminal proceedings in any Court of competent jurisdiction, to issue, amend and withdraw prohibition notices on behalf of the Mayor under that legislation.

 

6.25      Settlement of employment tribunal cases and grievances of staff employed by the fire and rescue service function up to a value of £10,000 with the exception of those cases felt to be exceptional because:

 

·         They involve a high-profile claimant;

·         There is a particular public interest case;

·         There is a real risk that the Mayor will be exposed to serious public criticism or serious weaknesses in the organisation or policies and procedures will be revealed.

 

6.26      Any claim in excess of £10,000 will require the authorisation of the Section73 Officer before any settlement.

 

6.27      In relation to the use of vehicles in accordance with any policy which may be laid down by the Mayor - 

a. the approval of the use of official cars by flexible-duty officers for social purposes and restricted journeys whilst away from duty but ‘on call’; and 

 

b. the approval of the use of official transport for attendance within the UK at events promoting learning and improvement.

 

6.28   The financial management responsibilities of the Chief Fire Officer are set out in the Financial Regulations and the Financial Management Code of Practice 2018.

 

6.29   To ensure effective arrangements for the management of procurement in accordance with the Financial Regulations and the Contract Regulations.

 

6.30   To manage the budget of the fire and rescue service function with the Section 73 Officer.

 

6.31      The raising of charges: 

 

6.31.1 for any item of equipment lost or damaged through negligence or carelessness on the part of Fire Service personnel;

 

6.31.2 for any item of personal uniformed equipment held after replacement, the amount of charge (if any) to be determined, considering the age and condition of the article at the time of loss, damage or replacement.

 

6.32After consultation with the Section 73 Officer, the determination within the policy adopted by the Mayor of charges for special services carried out by the Service and the waiving or modification of any such charges. 

 

6.33In accordance with the policy adopted by the Mayor determination of the occasions and the conditions under which fire appliances, personnel and equipment may be used to participate in processions, displays. 

 

6.34In consultation with the Section 73 Officer, variations in the charges which may be prescribed in the annual review of charges to be made to other fire and rescue authorities and outside organisations for the training of personnel. 

 

6.35In accordance with the Firefighters’ Pension Schemes, the determination of questions relating to the retirement of members of the Service on grounds of ill health and the payment of ordinary, ill health and the special pensions as appropriate, the counting of past service and the extension of service by not more than six months. 

 

6.36Within policy adopted by the Mayor, the determination of applications from uniformed members of the Service to take up employment outside their normal duties.  

 

6.37The nature/type of uniform and the application of scales of uniform issue. 

 

6.38The amendment of the scale of issue of uniform to all roles when necessary.

 

6.39The attendance of uniformed Service personnel on training courses at the Fire Service College for periods not exceeding 26 consecutive weeks.

 

6.40The fire and rescue service function will ensure sufficient arrangements are in place to secure the provision of effective training for al fire staff.

 

6.41The approval of secondments of officers as instructors at the Fire Service College, provided the conditions of secondment are in accordance with recommendations of the relevant government department and the policy of the Mayor.

 

6.42The making of reimbursements, in accordance with Part E NJC Scheme of Conditions of Service for Local Authority Fire and Rescue Services, to any driver who, following an investigation of an accident, is adjudged by the Chief Fire Officer to be blameless or where there are strong extenuating circumstances, provided that where, in the Chief Fire Officer’s opinion, there exists an element of doubt about the extenuating circumstances surrounding any claim for reimbursement, a report be presented to the Mayor for a decision thereon. 

 

6.43After consultation with the Section 73 Officer, the approval of increases in the scale of allowances for fire officers undress uniform to take account of inflation.

 

6.44In relation to Fire and Rescue Service Staff within the Chief Fire Officer’s direct or indirect line management responsibility:

 

(a)         To appoint and dismiss staff employed by the Authority or engage within the fire and rescue function in consultation with the Mayor if required.

 

(b)         To make recommendations to the Mayor with regard to the fire and rescue function staff terms and conditions of service, in consultation with the Section 73 officer and other appropriate officers.

 

(c)          To undertake the management of fire and rescue function staff, including disciplinary matters in line with agreed policies and procedures.

 

(d)         To authorities in line with staff conditions of service, the suspension of any member of fire and rescue service function staff.

 

(e)         To prepare a pay policy statement for the purposes of section 38 of the Localism Act 2011, for submission to the Mayor (in consultation with the Section 73 Officer).

 

(f)           To bring national agreements on salaries, wages and conditions for fire and rescue staff into effect, providing that any issues which are sensitive or have major financial implications will be referred to the Mayor for a decision.

 

(g)         Establishment of new and additional posts at grades up to Grade 11 or equivalent, subject to funding being available and in line with service policy for fire and rescue function staff.

 

(h)         in consultation with the Section 73 Officer and in line with service policy for fire and rescue service function staff, the determination of requests or recommendations for acting up/honoraria/additional payments, subject to funding being available.

 

(i)             In exceptional circumstances and in line with service policy for fire and rescue function staff, granting acceleration of increments for any staff within their substantive grade for merit and ability.

 

(j)           In line with service policy for fire and rescue function staff, determination of extensions of sickness allowance (in consultation with the Section 73 Officer).

 

(k)          Responsibility for the maintenance of an industrial relations framework

 

(l)           To take responsibility for the health, safety and welfare of staff engaged within the fire and rescue service function and to discharge any other relevant statutory duties and functions necessary for the efficient and effective operation of the fire and rescue service function.

 

(m)        To negotiate with and reach agreements with, recognised representative bodies on any matters that can be decided locally.  All agreements reached must be reported to the Mayor, along with any attempts of any representative bodies to register a dispute.

 

(n)         To grant essential or casual user allowances for fire and rescue function staff.

 

(o)         To approve visits abroad by officers on official business and the expenses thereof, in consultation with the Mayor.

 

(p)         To approve the retirement of fire and rescue service function staff on the grounds of ill-health and the payment of ordinary and ill-health pensions and other payments, as appropriate, following advice from a medical practitioner.  All ill-health retirements must be reported to the Mayor before implementation.

 

(q)         In consultation with the Monitoring Officer, to issue exemption certificates to staff whose posts would otherwise be politically restricted under the Local Government and Housing Act 1989.

 

(r)           In consultation with the Monitoring Officer, to make arrangements for a Data Protection Officer and a Senior Information Risk Owner (SIRO) for the fire and rescue function.

 

NOTE – by established convention, the Deputy Chief Fire Officer undertakes the role of SIRO for the fire and rescue function.

 

6.45      The Chief Fire Officer is responsible for ensuring that fire and rescue function staff are aware of the corporate governance framework and provisions and obligations of the scheme of delegation and consents.  The Chief Fire Officer will provide regular reports to the Mayor in order to demonstrate compliance and good governance.

 

6.46      To ensure effective arrangements for management of physical assets, including buildings subject to the provisions of the Financial Regulations.  This includes the management of land, property, accommodation and facilities owned by the Y&NYCA in connection with fire and rescue functions 

 

6.47      The Mayor nonetheless expects that in respect of non-delegable functions (and all operational fire and rescue matters) that the Chief Fire Officer will establish and maintain a sound system of internal operational governance, including but not limited to policies procedures and guidance, as well as terms of reference for all meetings whether decision-making or consultative.

 

 

  In the absence of the Chief Fire Officer, the above delegations may be exercised by the Deputy Chief Fire Officer. 

 

6       SCHEDULES OF PROPER OFFICERS   

 

7.1       Section 112(1) of the Local Government Act 1972 provides that the Y&NYCA shall appoint such officers as it thinks necessary for the appropriate discharge by the Y&NYCA of such of its functions as fall to be discharged by them.  

  

7.2       There are a number of specific references in enactments affecting the Y&NYCA, which call for functions to be undertaken by what is termed the ‘Proper Officer’. The following Schedules list such references and identify the Chief Officers responsible for their discharge:  

  

                 HEAD OF PAID SERVICE  

 

The Head of Paid Service is appointed the Proper Officer for the purpose of any enactment (including the York and North Yorkshire Combined Authority Order 2023), other than an enactment in respect of which the Y&NYCA or this Constitution has designated another officer as Proper Officer.

 

SECTION 73 OFFICER  

 

The Section 73 Officer to the Y&NYCA is appointed the Proper Officer in relation to the following:  

  

Local Government Act 1972  

  

Section 115 (2)  

Receipt of money due from Officers  

  

Local Government Act 1985  

 

Section 73  

Administration of the financial affairs of the Y&NYCA  

 

MONITORING OFFICER   

 

The Monitoring Officer to the Y&NYCA is appointed the Proper Officer in relation to the following: 

 

Local Government Act 1972  

  

Section

100B (2)  

 

Determination of those reports which should be available for public inspection prior to a meeting of the Y&NYCA and any Committee of the Y&NYCA and those which are likely to be heard in private and consequently which should not be released to the public.

 

Section

100B (7)  

 

Provision of documents to the press, additional to Committee reports.

Section

100C (2)

Preparing written summaries of proceedings.

 

Section

100D (1)  

 

Making arrangements for list of, and background papers to reports, to be made available for public inspection.

 

Section 100F (2)  

 

Determination of documents disclosing exempt information which may not be inspected by Members.

 

Section 146 (1) (a) and (b) 

Declaration and Certificates with regard to securities.

Section 225 (1)  

Deposit of Documents  

Section 229 (5)  

Certifications of photographic copies of documents.

Section 234 (1) & (2)

Issuing and signing of formal notices.

Section 236 (9) & (10)

Serving copies of Byelaws. 

Section 238  

Certification of Byelaws.

 

  

Schedule 12

para 4 (2) (b) 

Signature of Summonses to the Y&NYCA  

Schedule 12 para 4 (3)  

Receipt of notices regarding address to which

Summons to meetings of the Y&NYCA is to be sent  

  

GENERAL   

  

All Officers in whose name reports are submitted to the Y&NYCA via the Monitoring Officer and the Section 73 Officer are appointed the proper officers in relation to the following: -  

  

Local Government Act 1972  

  

Section 100 

D (1) (a) 

Compilation and retention of lists of background papers and copies of the relevant documents and reports; and  

Section 100 

D (5)  

Identifying and determining what are background papers  

 

 

 

 

PART 4

 

COMMITTEES

   

PART 4

 

COMMITTEES

  

Introduction 

 

1.            To facilitate the discharge of certain of its functions the Y&NYCA has established the following committees under Section 102 of the Local Government Act 1972:

 

Ÿ     BUSINESS COMMITTEE

 

2.            To meet the requirements of Schedule 5A of the Local Democracy, Economic Development and Construction Act 2009 and the Combined Authorities (Overview and Scrutiny Committees, Access to Information and Audit Committees) Order 2017 the Y&NYCA has established the following committees:

 

Ÿ     AUDIT AND GOVERNANCE COMMITTEE

 

Ÿ     Y&NYCA OVERVIEW AND SCRUTINY COMMITTEE

 

o A.   AUDIT & GOVERNANCE COMMITTEE

 

            The Y&NYCA Audit and Governance Committees oversees all aspects of Y&NYCA including Mayoral functions.  The Mayor has also established an Audit Panel which oversees the control environment of the Chief Constable.

    

1.            Statement of Purpose  

 

1.1         The Audit and Governance Committee is a key component of corporate governance providing an independent, high-level focus on the audit, assurance and reporting framework underpinning financial management and governance arrangements.  Its purpose is to provide independent review and assurance to Members on governance, risk management and control frameworks. It has delegated power to approve the annual accounts and it oversees year-end financial reporting, the Annual Governance Statement process and internal and external audit, to ensure efficient and effective assurance arrangements are in place.   

 

1.2         The Constitution makes the Y&NYCA’s Section 73 Officer responsible for discharging the functions of the ‘responsible financial officer’ under the Accounts and Audit Regulations 2015, including ensuring risk is appropriately managed.   

 

1.3         The Audit and Governance Committee is to deal with matters relating to member conduct and ethical standards. 

 

2.            Composition and Procedure

 

2.1       Membership

 

The Audit and Governance Committee shall be appointed by the Y&NYCA and shall have a total of nine members, comprising:

 

·                     Four co-opted elected members from each of the Constituent Councils of the Y&NYCA (who are not also Members or Substitute Members of the Y&NYCA or Assistant Portfolio Holders);

 

·                     The Y&NYCA will also appoint two substitute co-opted elected members who may be invited to attend as full members of the Audit and Governance Committee when apologies have been received. Substitute members will be appointed from the nominations received from constituent councils following their annual meetings and will be politically inclusive.

 

·                     Four co-opted members, who are Independent Persons.

·                     One co-opted Independent Standards Person to attend the Committee to deal with matters relating to member conduct and ethical standards.

 

All members of the Committee save the Independent Standards Member will have voting rights.

 

2.2       Independent Person

 

For the purposes of paragraph 2.1 above an individual is an Independent Person if that person:

 

(i)        is not a member, substitute member, co-opted member or officer of the Y&NYCA or the Constituent Councils;

(ii)        is not a relative, or close friend, of a person within (i) above; and

(iii)       was not at any time during the 5 years ending with their appointment to the Audit and Governance Committee a member, substitute member, co-opted member or officer of the Y&NYCA.

 

[For the purposes of paragraph 2.2(ii) above ‘relative’ has the meaning contained in Article 2(2) of the Combined Authorities (Overview and Scrutiny Committees, Access to Information and Audit Committees) Order 2017.]

 

2.3       Political Balance

 

In appointing co-opted elected members to the Audit & Governance Committee the Y&NYCA must ensure that the members of the committee taken as a whole reflect so far as reasonably practicable the balance of political parties for the time being prevailing among members of the Constituent Councils when taken together, in accordance with Rule 15.3 of the Y&NYCA Procedure Rules set out in Section A of Part 5 of this Constitution.

 

2.4       Chairing the Committee

  

The Y&NYCA will appoint the Chair of the Committee.  In the absence of the appointed Chair, the Committee will be chaired as determined by the Committee. 

 

2.5       Quorum 

 

At least two-thirds of the total number of members of the Audit & Governance Committee (i.e.,  9 members) must be present at a meeting of the Committee before any business may be transacted, except in relation to the matters referred to in paragraphs 10.1(f) to (i) below where at least one member must be the Co-opted Independent Standards Person (provided that the Co-opted Independent Member is not prevented or restricted from participating by virtue of the Y&NYCA’s Code of Conduct). 

 

2.6       Voting

 

Each member to have one vote, no member is to have a casting vote. The co-opted Independent Standards member has no vote.

   

3.            Role and Function  

 

The overarching roles the Y&NYCA’s Audit & Governance Committee are: 

 

3.1       Reviewing and scrutinising the Y&NYCA’s accounting                         framework.

 

 3.2      Reviewing and assessing the Y&NYCA’s risk management, internal control and corporate governance arrangements.

 

3.3       Reviewing and assessing the economy, efficiency and            effectiveness with which resources have been used in         discharging the Y&NYCA’s functions.

 

3.4       Making reports and recommendations to the Y&NYCA in        relation to reviews conducted under paragraphs 3.1 to          3.3 above.

 

3.5       To require Members, including the Mayor or Officers the Y&NYCA to attend before the Committee to answer questions on relevant items.

 

The functions of the Y&NYCA’s Audit & Governance Committee are:

 

4.         Approval of Accounts  

 

4.1       Approve under delegated powers the annual statement of accounts for Y&NYCA and Chief Constable of North Yorkshire Police.

 

5.         Governance, Risk and Control 

 

5.1       Review corporate governance arrangements against the        Code of Corporate Governance and the good governance framework. 

 

5.2       Review the Annual Governance Statement (AGS) prior to approval to ensure it properly reflects the risk environment and supporting assurances. 

 

5.3       Review the effectiveness of arrangements to secure    value for money. 

  

5.4       Ensure the assurance framework adequately addresses         risks and priorities including governance arrangements in significant partnerships.  

 

5.5       Monitor the Y&NYCA’s risk and performance management arrangements including review of the risk register, progress with mitigating action and the assurance map. 

 

5.6       Consider reports on the effectiveness of internal controls. 

 

5.7       Monitor the anti-fraud strategy, risk-assessment and any        actions. 

 

5.8       Receive the annual report of the Chair of the Joint Independent Audit Panel – Police and Crime and the minutes of meetings of the Panel as, amongst other things, a means of providing assurance with regard to North Yorkshire Police’s internal control environment and risk management framework for the management of operational risk.

 

6.         Internal audit 

 

6.1       Approve the Internal Audit Charter. 

 

6.2       Oversee Internal Audit’s effectiveness including strategy, planning and process and ensure conformance with Public Sector Internal Audit Standards (PSIAS). 

 

6.3       Approve (but not direct) the risk-based internal audit plan including resources, the reliability of other sources of assurance and any significant in-year changes.

 

6.4       Consider reports and assurances from the Head of Audit and Assurance in relation to: - 

 

               Internal Audit performance including key findings and actions from audit assignments, significant non-conformance with PSIAS and the Quality Assurance and Improvement Programme.

 

               Annual Assurance Opinion on the adequacy and effectiveness of the framework of governance, risk management and control.

 

               Risk management and assurance mapping arrangements.

 

               Progress to implement recommendations including concerns or where managers have accepted risks.  

 

               Provision of assurances over the effectiveness of internal audit functions assuring the internal control environments of the Chief Constable for North Yorkshire Police. 

 

6.5       Consider and comment on the Section 73 Officer’ Annual Review of the Effectiveness of the System of Internal Audit.  

 

6.6       Develop effective communication with the Head of Audit and Assurance and senior audit staff. 

 

7.            External audit 

 

7.1         Consider reports including the Annual Audit Letter, assess the implications and monitor managers’ response to concerns.  

 

7.2         Comment on the nature and scope of work to ensure it gives value for money. 

 

7.3         Advise on the effectiveness of relationships between external and internal audit and other inspection agencies or relevant bodies. 

 

8.            Financial reporting 

 

8.1         Consider whether accounting policies were appropriately followed and any need to report concerns to the Y&NYCA. 

 

8.2         Consider the Section 73 Officer’ arrangements for the maintenance of the Police Fund and the Mayoral General Fund.  

 

8.3         Consider any issues arising from external auditor’s audit of the accounts. 

 

8.4       Ensure there is effective scrutiny of the treasury management           strategy and policies in accordance with CIPFA’s Code of Practice. 

 

8.5       Make recommendations to the Section 73 Officer and Monitoring Officer in respect of Part 6 of the Y&NYCA’s Constitution (Financial Procedures). 

 

9.            Accountability arrangements 

 

9.1         Report the Committee’s findings, conclusions and recommendations to the Y&NYCA and the Mayor, as appropriate, on the effectiveness of governance, risk management and internal controls, financial reporting and internal and external audit functions.

 

10.      Member Conduct and Ethical Standards.

 

10.1    The Y&NYCA has delegated to the Audit & Governance Committee the following powers to deal with matters of conduct and ethical Standards, and the Committee has the following role and functions: 

 

(a)                to promote and maintain high standards of conduct by Y&NYCA Members and co-opted members of the Y&NYCA’s committees; 

 

(b)               to assist Y&NYCA Members and co-opted members of the Y&NYCA’s committees to observe the Y&NYCA’s Code of Conduct for Members;  

 

(c)                to advise the Y&NYCA on the adoption, revision or replacement of the Y&NYCA’s Code of Conduct for Members and the Y&NYCA’s Arrangements for Dealing with Complaints that Y&NYCA Members or voting co-opted members have failed to comply with the Y&NYCA’s Code of Conduct for Members (‘the Y&NYCA’s Arrangements’); 

 

(d)               to monitor the operation of the Y&NYCA’s Code of Conduct for Members and the Y&NYCA’s Arrangements; 

  

(e)               to advise, train or arrange to train Y&NYCA Members and co-opted members on matters relating to the Y&NYCA’s Code of Conduct for Members and other issues relating to standards and conduct; 

 

(f)                 to determine in accordance with the Y&NYCA’s Arrangements whether a Y&NYCA Member or voting co-opted member has failed to comply with the Y&NYCA’s Code of Conduct for Members and, if so, to determine what action (if any) to take;

 

(g)                to take decisions in respect of a Y&NYCA Member or voting co-opted member who is found on a hearing held in accordance with the Y&NYC ’s Arrangements to have failed to comply with the Y&NYCA’s Code of Conduct for Members (“the Subject Member”), such actions to include – 

 

               consideration of publication of findings in respect of the Subject Member’s conduct;

 

               reporting such findings to the Y&NYCA for information;

 

               recommending to the Y&NYCA that the Subject Member should be censured;

 

               instructing the Y&NYCA’s Monitoring Officer to arrange training for the Subject Member;

 

               recommending to the Y&NYCA that the Subject Member should be removed from all appointments to which the Subject Member has been appointed or nominated by the Y&NYCA;

 

               placing such restrictions on the Subject Member’s access to staff, buildings or parts of buildings provided by, or for the use of, the Y&NYCA as may be reasonable in the circumstances;  

 

(h)               to determine appeals against the Y&NYCA Monitoring Officer’s decision on the grant of dispensations;

 

(i)                  to deal with reports of the Monitoring Officer regarding breaches of the protocols/guidance to Members accompanying the Y&NYCA’s Code of Conduct for Members which do not in themselves constitute a breach of that Code;

 

(j)                 to report from to time to time to the Y&NYCA on ethical governance within the Y&NYCA.

 

(k)                to overview the Y&NYCA’s whistle blowing policy;

 

(l)                  to consider the Y&NYCA’s Code of Corporate Governance.

 

11.         Delegation  

  

11.1      The Audit & Governance Committee may appoint one or more sub-committees for the purpose of discharging any of the Committee’s functions.  Any such sub-committee shall be chaired as determined by the Committee and shall have a quorum of three, except in relation to the matters referred to in paragraphs 10.1 (f) to (i) above. In respect of those specified matters the quorum will be four, of whom at least one member must be the Co-opted Independent Standards Member (provided that the Co-opted Independent Standards Member is not prevented or restricted from participating by virtue of the Y&NYCA’s Code of Conduct).

 

 

 

 


 

B.      BUSINESS COMMITTEE

 

The Business Committee of the Y&NYCA integrates the former Board of the York and North Yorkshire Local Enterprise Partnership (LEP) into the Y&NYCA in accordance with the terms of the 2023 Order.  The LEP was formerly a private sector led voluntary partnership between local authorities and businesses instigated by the Department of Business Innovation and Skills to help determine local economic priorities and lead economic growth and job creation within York and North Yorkshire.

 

1.       Purpose.

 

The purpose of the Business Committee is

 

1.1      to advise on strategy and policy that will unlock the region’s   economic potential and stimulate growth and prosperity.

 

1.2       to assist the Y&NYCA in bidding for public funding made        available by government in support of economic growth.

 

1.3       to ensure policy and decisions of the Y&NYCA receive the     input and views of key business leaders and take account of                  the views of the wider business community.

 

1.4       to engage with local, national and international businesses to understand the needs of different sectors and markets.

 

1.5       to engage business, opinion former and policy makers at a    national and international level in promoting economic growth in     the region.

 

In pursuit of this role the Business Committee will:

 

1.6       capture and communicate requirements for changes to, and              development of, economic policy.

 

1.7       work collaboratively with all partners, including local authorities         and other public and third sector bodies to address barriers to     growth and to drive efficiency.

 

1.8       bring together intelligence and expertise to identify priorities               and develop solutions to maximise private sector investment in        the region and secure sustainable growth.

 

1.9       work to create an environment for business growth ensuring              appropriate mechanisms exist through which, as a co-                                  ordinated voice the private sector can inform and influence the        shape and future direction of local and national government                        policy.

 

1.10    advocate on behalf of the business sector at regional, national          and international levels.

 

To ensure the Business Committee is effective in this role it has the authority to:

 

1.11    engage in dialogue with Government and advise the Mayor on responses to policy, proposals and opportunities to bid for funding in support of economic growth.

 

1.12    engage with investors, businesses and advisors to investigate growth opportunities.

 

1.13    to advise and consult on regional economic policy, programmes and interventions designed to maximise growth in the region.

 

1.14    to provide advice to the Mayor and the Y&NYCA on leadership in key          themes and priorities to promote growth including policy development. 

 

1.15    to review policy performance and assist the Mayor in ensuring that the work of the Y&NYCA is providing maximum support to businesses.

 

2.         Legal Status

 

2.1       The Business Committee is an advisory committee of the Y&NYCA.  Unless specifically delegated by the Y&NYCA it does not have the authority to take any decisions on behalf of the Y&NYCA and does not have legal status to enter into contracts.

 

3.         Role of Members/Accountability

 

3.1      It is the duty of the Business Committee members to act in the best interests of the region and in accordance with the policy of the Y&NYCA.

 

3.2      All private sector members of the Business Committee act in their individual capacity and not as representatives of their respective organisations.

 

3.3      All Business Committee members are expected to discharge their duties in line with the Nolan Principles for Standards of Public Life.  All members must sign and comply with the Y&NYCA Members’ Code of Conduct.

 

4.         Membership

 

4.1       The Business Committee will comprise of four public sector members and eight private sector members.  Private Sector Members will form the majority of the Board.  In addition, the Chair can co-opt up to five additional private sector members with specialist knowledge for specific purposes.  Co-opted members will not be counted in the private sector majority.

 

4.2       The Mayor will appoint a Chair from the private sector members who will provide strategic leadership on business growth for the region.  The Chair will assist the Mayor in building the reputation and influence of the region at national and international levels.

 

4.3       The Chair will be a non-voting member of the Cabinet of the Y&NYCA.  The Vice Chair will be appointed to act as substitute who will act in the absence of the Chair.

 

4.4       The Mayor will appoint one Vice Chair from the private sector who will provide day to day support to the Chair and Business Committee Members. The Vice Chair will assist the Mayor and the Chair on leading on business relations within the region, including engaging with the SME business community and will deputise for the Chair.

 

4.5       Private Sector representation on the Business Committee will be made up of business leaders who are either currently or recently in leading positions within business or who have specific sectoral or other experience relevant to the work of the Y&NYCA.

 

4.6       All private sector members of the Business Committee act in their individual capacity and substitute Members will not be allowed to attend meetings should any Committee Member be unavailable.

 

4.7       Private Sector Committee Members will be appointed based on their experience, leadership skills and commitment to the achievement of the aims and objectives of the Y&NYCA.

 

4.8       All members of the Business Committee will be required to complete a Register of Interests and complete all relevant documentation in respect of registering gifts and hospitality as required by the Y&NYCA’s Code of Conduct.

 

4.9       Diversity

 

4.10    The Y&NYCA is committed to diversity will have regard to ensuring the Business Committee has diverse representation, which is reflective of the local business community, including gender, ethnicity, geographical spread, business size, protected characteristics and sector experience.  The Y&NYCA’s commitment to diversity is articulated through its Diversity Policy.

 

5.         Co-opting

 

5.1       Where specific skills or abilities are required which are not available among existing members or which the Business Committee requires to be supplemented co-optees may be appointed to the Business Committee.  The appointment will be made by the Y&NYCA in consultation with the Mayor.  Co-opted members will not have voting rights and will not count towards the quorum of the private sector majority.

 

6.         Recruitment, Appointment & Termination of Private Sector Membership

 

Recruitment.

 

6.1       Recruitment will be undertaken in line with the Y&NYCA Diversity Policy and made through and open, transparent, competitive and non-discriminatory process.

 

6.2       An Appointments Committee will be convened by the Y&NYCA, and a formal interview panel formed, comprising one member from each Constituent Authority and the Mayor.

 

6.3       Interview panels will be advised by the Chief Executive.

 

6.4       Remuneration will be as set out in the Members’ Allowances Scheme.

 

Appointment

 

6.5       On appointment Business Committee members are required to sign a         declaration affirming their understanding and commitment to the Y&NYCA’s Members’ Code of Conduct.

 

 

 

 

Termination

 

6.6       Where a Business Committee Member is no longer able to meet the conditions of Business Committee membership as defined by these terms of reference and any associated guidance issued by Government, the Mayor of      the Y&NYCA following consultation with the Chair and the Chief Executive, may terminate a member’s appointment to the Business Committee before the expiry of his/her period of appointment, with immediate effect.

 

6.7       Business Committee members who miss three or more of the scheduled Committee meetings in a 12-month period will be reviewed by the Chair and their membership may be terminated by the Mayor in consultation with the Chair.

 

6.8       Failure to declare interests at meetings and to complete a register of interests will also be grounds for an appointment to the Business Committee to be terminated.

 

6.9       A Business Committee member may resign at any time by giving notice to the Mayor in writing, having immediate effect.

 

7.         Term of Appointment

 

7.1       The term of office for a Private Sector Business Member will be 3 years.  This may be extended by the Mayor by up to a further term of three years. In exceptional circumstances, with a clear rationale, Members may be appointed by the Mayor for a further term not exceeding three years.

 

7.2       The Chair, once appointed, will remain in role for a term of three years or until they choose to step down from the position within that term or if removed from the position of Chair by a majority of the Business Committee with the consent of the Mayor.  In exceptional circumstances, an extension of a further term may be agreed by the Mayor.

 

8.         Public Sector Appointments

 

8.1       The term of office for any Constituent Authority representative appointed by a Constituent Authority (or their substitute) is at the discretion of their appointing authority; Constituent Authorities may terminate their appointment or appoint a representative at any time, by notification in writing to the Y&NYCA’s Monitoring Officer.

 

 

9.         Performance

 

9.1       Private Sector Business Committee Members are expected to attend all Business Committee meetings and any relevant meetings including any working groups to which they are appointed.

 

9.2       All Business Committee members will also be governed by the Constitution           and Codes of Conduct of the Y&NYCA and associated legal and government policy requirements.

 

10.       Frequency of Meetings

 

10.1    The Business Committee will meet quarterly.

 

11.       Attendance

 

11.1    Private Sector Business Committee members who miss three or more of the scheduled Committee meetings in a 12-month period will be reviewed by the Mayor and their membership may be terminated.

 

12.       Quorum

 

12.1    Meetings of the Business Committee will be quorate when at least one quarter of the Private Sector Members and at least one quarter of the constituent Public Sector members are present.

 

12.2    A Member who is obliged to withdraw under the Code of Conduct for Members shall not be counted towards the quorum.

 

12.3    For the purposes of determining whether a quorum is present, a Business Committee Member may be counted in the quorum if they are able to participate in the proceedings of the meeting by remote means e.g. telephone or video line (or equivalent) and remain so available throughout the discussion and decision for each item for which they are counted as part of the quorum.

 

13.       Voting

 

13.1    The Business Committee shall operate on a consensus model, wherever possible.  Where a consensus is not achieved, a matter shall be carried by a majority of votes of the members of the Business Committee present and voting.

 

 

 

14.       Conflicts of Interests

 

Register of Interests

 

14.1    It is the responsibility of Committee members to ensure an up-to-date Register of Interests is maintained.  A member must, within 28 days of becoming aware of any change in their interests, provide written notification of this.  These will be published on the website and is a condition of appointment. 

 

Declaration of Interests at a meeting

 

14.2    It is a responsibility of Committee members to declare any personal, prejudicial or pecuniary interest on any item of business being conducted at a Committee or other Y&NYCA meeting.  Where a “pecuniary interest” is declared, Members will leave the meeting, where a “non-pecuniary” interest is declared, Members may remain at the meeting but not participate in business.

 

15.       Urgency Procedure

 

15.1    In order to ensure that the Y&NYCA can progress its business in an efficient manner, comments on urgent matters may be sought by the Chief Executive or other Statutory Officer outside the meeting cycle.

 

15.2    Members will receive email notification which identifies:

 

·                     Details of the matter requiring comment and/or advice and the reason for urgency (including an explanation as to why an emergency meeting is not proposed to be held to conduct the business)

·                     The date by which responses are required

·                     The name of the person or persons making or putting forward the proposal.

 

15.3    Actions taken and advice provided will be retrospectively reported to the next meeting of the Business Committee.

 

16.  Working Groups

 

16.1    With the approval of the Mayor and the Chair, the Business Committee may establish a working group to assist it to meet its remit.

 

16.2    Any such subordinate body set up by the Business Committee shall include one or more Business Committee Members, as nominated by the Committee.  With the consent of the Chair and the Mayor, any such group may also co-opt onto it any person with the relevant expertise on the issues within the remit of these groups.

 

16.3    The remit and terms of reference for any such subordinate body shall be approved by the Mayor and the Business Committee.

 

17. Transparency

 

Agendas and Reports

 

17.1    Agendas and reports for the Business Committee will be available on the website at least five clear working days before the meeting to which they relate.

 

Access to Information

 

17.2    Reports will be released with the agenda, except in those cases where the information contained in the reports is exempt from disclosure under The Local Authorities (Executive Arrangements) (Meetings and Access to Information) (England) Regulations 2012 or under Schedule 12A of the                                    Local Government Act 1972.

 

18. Amendments to Terms of Reference

 

18.1    These terms of reference will be reviewed annually in line with the review of the Assurance Framework and the Annual Governance Review.  Any changes will be approved by the Y&NYCA

 


 

 

 

D.       OVERVIEW AND SCRUTINY COMMITTEE

 

1.            Purpose  

 

1.1         The Y&NYCA must establish one or more overview and scrutiny committees.

 

1.2         The Y&NYCA has determined to establish one overview and scrutiny committee with the remit set out in paragraph 4 below.

 

1.3         The scrutiny procedure rules set out in section 5C give details on how this committee operates.

 

2.            Composition  

 

2.1         Membership 

 

The overview and scrutiny committee will be composed of 12 members appointed by the Y&NYCA from the elected members of the Constituent Councils. Each Constituent Councill will appoint 6 members to the Committee.  A Member of the Y&NYCA (including a Substitute Member) or an Assistant Portfolio Holder may not be a member of the overview and scrutiny committee.

 

The overview and scrutiny committee will have a least one member from each Constituent Council.

 

In making appointments to the overview and scrutiny committee the Y&NYCA will have regard to any nominations made by Constituent Councils.

 

The Y&NYCA will also appoint up to 12 substitute members who may be invited to attend as full members of the overview and committee when apologies have been received. Substitute members will be appointed from the nominations received from constituent councils following their annual meetings and will be politically inclusive.

 

2.2      Political Balance

 

In appointing the members of the overview and scrutiny committee the Y&NYCA must ensure that the members of the committee taken as a whole reflect so far as reasonably practicable the balance of political parties for the time being prevailing among members of the Constituent Councils when taken together. 

 

2.3      Chairing the Committee

 

The overview and scrutiny committee will appoint its own chair, subject to meeting the requirement that the Chair is a member of the committee who is an ‘appropriate person’ that is a member of one of the Constituent Councils.

 

2.4      Appropriate person

 

An ‘appropriate person’ means:

 

              a person who is not a member of a registered political party of which the Mayor is a member;

 

              or, where the Mayor is not a member of a registered political party, a person who is not a member of a registered political party which has the most representatives among the members of the Constituent Councils on the Y&NYCA or, where two or more parties have the same number of representatives, a member of any of those parties.

 

2.5         Quorum

 

At least two-thirds of the total number of members of an overview and scrutiny committee (8 members) must be present at a meeting of the overview and scrutiny committee before any business may be transacted.

 

2.6         Voting

 

Each member to have one vote, no member is to have a casting vote

 

3.            Role and Function 

 

The scrutiny procedure rules in section 5C of this constitution set out these roles and functions in more detail.

  

3.1         The overview and scrutiny committee shall, within the scope of its remit, exercise the overview and scrutiny functions set out in Schedule 5A of the Local Democracy, Economic Development and Construction Act 2009 and the Combined Authorities (Overview and Scrutiny Committees, Access to Information and Audit Committees) Order 2017 (“the Scrutiny Order”) and in particular shall have the following powers and responsibilities (to be exercised in accordance with the Overview and Scrutiny Procedure Rules set out in Section C of Part 5 of this Constitution): 

 

(a)                to review or scrutinise decisions made, or other action taken, in connection with the discharge of any functions which are the responsibility of the Y&NYCA; 

 

(b)               to make reports or recommendations to the Y&NYCA with respect to the discharge of any functions that are the responsibility of the Y&NYCA; 

 

(c)                to make reports or recommendations to the Y&NYCA on matters that affect the Y&NYCA's area or the inhabitants of the area;

 

(d)               to review or scrutinise decisions made, or other action taken, in connection with the discharge by the Mayor of any general (but not Police and Crime Commissioner nor fire and rescue) functions;

 

(e)               to make reports or recommendations to the Mayor with respect to the discharge of any general (but not Police and Crime Commissioner nor fire and rescue) functions;

 

(f)                 to make reports or recommendations to the Mayor on matters that affect the Y&NYCA's area or the inhabitants of the area;

 

(g)                when exercising the power under (a) or (d) above, to have the power to:

 

                 direct that a decision is not to be implemented while it is under review or scrutiny by the overview and scrutiny committee; and

 

                 recommend that the decision be reconsidered;

 

(h)               to publish details of how it proposes to exercise its powers under (g) above and its arrangements in connection with the exercise of those powers, having obtained the consent of the Y&NYCA to the proposals and arrangements;

 

(i)                  to consider matters referred to the committee by one of its members, by a Member of the Y&NYCA or a member of a Constituent Council, in accordance with Article 6 of the Scrutiny Order;

 

(j)                 to consider matters referred to the committee by the Y&NYCA or the Mayor;

 

(k)                to require the Members (including the Mayor and the Deputy Mayor) or officers of the Y&NYCA to attend before the overview and scrutiny committee to answer questions;

 

(l)                  to invite other persons to attend meetings of the overview and scrutiny committee; and

 

(m)             to appoint one or more overview and scrutiny sub-committees and arrange for the discharge of any of the overview and scrutiny committee’s functions by any such sub-committee.

 

4.            Overview and Scrutiny Committee Remit

 

4.1         Y&NYCA Overview and Scrutiny Committee

 

The remit of the overview and scrutiny committee includes: - 

 

              To review and evaluate the performance of the Mayor and Y&NYCA and the way it works with its partners to deliver for local people;

              To contribute to policy development in respect of high profile, complex issues affecting the whole of York and North Yorkshire;

              To investigate complex cross-cutting issues with a particular focus on the delivery of the Combined Authority Strategy.

 

 


 

PART 5

 

RULES OF PROCEDURE

             

SECTION A - Y&NYCA PROCEDURE RULES

 

1.            Interpretation, Suspension and Chair’s Ruling

 

1.1         These Rules apply to meetings of the Y&NYCA and, where appropriate, to meetings of Committees and Sub Committees of the Y&NYCA.

 

1.2         References in these Rules to the ‘Chair’ mean the Member of the Y&NYCA for the time being presiding at the meeting of the Y&NYCA and, where appropriate, to the member presiding at a meeting of a Committee or Sub Committee of the Y&NYCA.

 

1.3         These Rules should be read in conjunction with other parts of the Y&NYCA’s Constitution. 

 

1.4         ***These Rules are subject to any statute or other enactment whether passed before or after these Rules came into effect.

 

1.5         The ruling of the Chair on the interpretation of these Rules in relation to all questions of order and matters arising in debate shall be final.

 

2.            Suspension and Revocation of Y&NYCA Procedure Rules 

 

2.1         ***Except for the Rules marked by the asterisk (***) any Rule may be suspended at a meeting of the Y&NYCA either by a motion included on the agenda or by a motion put to the meeting without notice and passed by a majority of those present and voting.  A motion to suspend any Rules will not be moved without notice unless at least 3 Members of the Y&NYCA are present.

 

2.2         Rules may be changed by the Y&NYCA either at the Annual Meeting or by a motion on notice made at a meeting of the Y&NYCA.

 

3.            Membership of the Y&NYCA

 

3.1         ***Each Constituent Council shall appoint two of its elected members to be a Member of the Y&NYCA.

 

3.2         ***Each Constituent Council shall appoint two named elected members for each Member to act as a Member of the Y&NYCA in the absence of the Member appointed under Rule 3.1 above (‘the Substitute Member’).

 

3.3         ***A person shall cease to be a Member or a Substitute Member of the Y&NYCA if they cease to be a member of the Constituent Council that appointed them.

 

3.4         ***A person may resign as a Member or Substitute Member of the Y&NYCA by written notice served on the proper officer of the Constituent Council that appointed them (who for the purposes of this Rule 3.4 shall be the Monitoring Officer of the Constituent Council that appointed them) and the resignation shall take effect on receipt of the notice by the proper officer.

 

3.5         ***Where a Member or Substitute Member of the Y&NYCA’s appointment ceases by virtue of Rule 3.3 or 3.4, the Constituent Council that made the appointment must, as soon as practicable, give written notice of that fact to the Secretary and appoint another of its elected Members in that person’s place.

 

3.6         ***A Constituent Council may at any time terminate the appointment of a Member or Substitute Member appointed by it to the Y&NYCA and appoint another of its elected members in that person’s place.

 

3.7         ***Where a Constituent Council exercises its power under Rule 3.6, it must give written notice of the new appointment and the termination of the previous appointment to the Secretary and the new appointment shall take effect and the previous appointment terminate at the end of one week from the date on which the notice is given (or such longer period as is specified in the notice).

 

3.8         ***For the purposes of this Rule 3, an elected Mayor of a Constituent Council shall be treated as a Member of the Constituent Council.

 

4.            Chair and Vice-Chairs

 

4.1         *** The Mayor shall be the Chair of Y&NYCA.

 

4.2         ***At least 2 and no more than 3 Vice-Chairs will be appointed annually by the Y&NYCA from among its Members.

 

4.3         The Vice-Chairs will be appointed in accordance with the following principles:

 

a.            the Deputy Mayor will be appointed as one of the Vice-Chairs

b.            if more than one political group is represented on the Y&NYCA, no one political group may hold all the vice-chair positions;

c.            if less than 3 political groups are represented, the Y&NYCA may decide only to appoint two vice-chairs;

d.            if at least 3 political groups are represented, the Y&NYCA must appoint 3 vice-chairs and the three largest political groups will be entitled to one vice-chair;

e.            for the purposes of (c) above, where two or more political groups have an equal number of seats on the Y&NYCA, the group which also hold(s) the larger number of Council seats in York and North Yorkshire will be regarded as being the larger political group;

 

4.4         ***The appointment of the Vice-Chairs shall be the first business transacted at the Annual Meeting of the Y&NYCA.

 

4.5         ***On a vacancy arising in the office of Vice-Chair(s) for whatever reason, the Y&NYCA shall make an appointment to fill the vacancy at the next ordinary meeting of the Y&NYCA held after the date on which the vacancy occurs, or, if that meeting is held within 14 days after that date, then not later than the next following meeting.  The Member appointed shall hold such office for the remainder of the year in which such vacancy occurred.

 

4.6         ***Subject to these Rules, anything authorised or required to be done by, or in relation to, the Chair, may be done by, or in relation to, the Vice-Chairs.

 

5.            Portfolios

 

5.1         Each Member of the Y&NYCA will be allocated a portfolio of responsibilities by the Mayor at the annual meeting of the Y&NYCA.

 

5.2         Details of the portfolios and the Y&NYCA members to whom they have been allocated will be published on the Y&NYCA’s website.

 

6.            Meetings

 

6.1         ***The Annual Meeting of Y&NYCA shall be held in June on a date and at a time determined by the Y&NYCA. This will usually be the last Friday in June.

 

6.2         ***Ordinary meetings of the Y&NYCA for the transaction of general business shall be held on such dates and at such times as the Y&NYCA shall determine. This will usually be the first Friday of the month but may be varied to accommodate bank holidays and to ensure the effective transaction of Y&NYCA business. 

 

6.3         ***An Extraordinary Meeting of the Y&NYCA may be called at any time by the Chair.

 

7.            Admission of the Public

 

7.1         ***All meetings of the Y&NYCA, its Committees and Sub-Committees shall be open to the public (including the press) except to the extent that they are excluded whether during the whole or part of the proceedings either:

 

a.            In accordance with Section 100A (2) of the Local Government Act 1972; or

b.            By resolution passed to exclude the public on the grounds that it is likely, in view of the nature of the proceedings, that if members of the public were present there would be disclosure to them of exempt information as defined in Section 100I of the Local Government Act 1972.  Any such Resolution shall identify the proceedings or the part of the proceedings to which it applies and state the description, in terms of Schedule 12A to the Local Government Act 1972 of the exempt information giving rise to the exclusion of the public.

 

8.            Notice of Meetings

 

8.1            At least five clear working days before a meeting of the Y&NYCA:

 

a.            notice of the time and place of the intended meeting shall be published and posted at County Hall, Northallerton, North Yorkshire DL7 8AD.

b.            a summons to attend the meeting, specifying an agenda for the meeting, shall be sent by electronic mail to the usual email address of each Member, or any other email address notified to the Secretary by a Member

 

8.2         ***Lack of service on a Member of the Y&NYCA of the summons shall not affect the validity of a meeting of the Y&NYCA.

 

8.3         The following persons who are not members of the Y&NYCA will have a standing invitation to attend meetings of the Y&NYCA, including parts of the meeting where exempt matters are discussed: -

 

a.            the Substitute Members of the Y&NYCA

b.            the Deputy Mayor for Policing and Crime 

c.            the Chair of the Audit and Governance Committee

d.            the Chair(s) of the Overview and Scrutiny Committee(s)

e.            the Chair of the Police Fire and Crime Panel

 

8.4         Except where otherwise entitled under this Constitution, (for example, see Rules 3.2, 6.1), such persons are not entitled to vote and may only speak at the discretion of the Chair.

 

9.            Cancelling Meetings

 

9.1         The Monitoring Officer may cancel or postpone any meeting, in consultation with the meeting Chair, prior to the issue of the agenda or subsequently in the event of an emergency or if there is no business to be transacted.

 

10.         Meeting Agendas

 

10.1      The Monitoring Officer in consultation with the Chair of the Y&NYCA will decide upon the agenda for the meetings of the Y&NYCA.  The Chair may put on the agenda of any meeting any matter which the Chair wishes.

 

10.2      ***Any Member of the Y&NYCA may require the Monitoring Officer to make sure that an item is placed on the agenda of the next available meeting of the Y&NYCA for consideration. 

 

10.3      Any item proposed to be included on the agenda for any meeting of the Y&NYCA in accordance with Rules 11.1 and 11.2 above, which is not submitted before 5 days of the meeting shall not be included on the agenda for that meeting unless it is agreed by the Chair in consultation with the Secretary.  In this case the amended agenda for the meeting will state the reason for the late acceptance of any such item.

 

10.4      The Monitoring Officer shall set out in the agenda for each meeting of the Y&NYCA the items of business requested by Members (if any) unless the Member concerned has given prior written notice to the Monitoring Officer prior to the issue of the agenda for the meeting, for it to be withdrawn.  If the Member concerned is not present at the meeting when an item of which they have given notice comes up for discussion, this item shall, unless the Y&NYCA decides otherwise, be treated as withdrawn.

 

Previous Decisions and Motions (Six Months Rule)  

 

10.5      Decisions of the Y&NYCA made within the last six months may not be changed, unless this Rule is suspended. (see Rule 2.1).

 

10.6      A motion or amendment in similar terms to one that has been rejected at a meeting of the Y&NYCA in the past six months cannot be moved, unless this Rule is suspended.

 

10.7      ***Except in the case of business required by these Rules to be transacted at a meeting of the Y&NYCA, and other business brought before the meeting as a matter of urgency, (and of which the Monitoring Officer shall have prior notice and which the Chair considers should be discussed at the meeting), no business shall be transacted at a meeting of the Y&NYCA other than that specified in the agenda for the meeting.

 

11.      Chair of Meeting

 

11.1 ***At each meeting of the Y&NYCA the Mayor, if present, shall preside.

 

11.2***If the Mayor is absent from a meeting of the Y&NYCA, the Deputy Mayor, if present, shall preside.

 

11.3  If both the Mayor and Deputy Mayor are absent from a meeting of the Y&NYCA, one of the other Vice-Chairs, if present, shall preside.

 

11.4      ***If all of Mayor, Deputy Mayor and Vice-Chairs of the Y&NYCA are absent from a meeting of the Y&NYCA, the Secretary shall invite the Members present to elect a Member to preside for the duration of the meeting or until such time as the Mayor, Deputy Mayor or a Vice-Chair joins the meeting.

 

11.5      Any power or function of the Chair in relation to the conduct of a meeting shall be exercised by the person presiding at the meeting.

 

12.      Quorum

 

12.1      No business shall be transacted at any meeting of the Y&NYCA unless at least 3 of the Members are present to include a representative from each of the constituent authorities. 

 

12.2      If at the time for which a meeting is called, and for 15 minutes thereafter, a quorum is not present, then no meeting shall take place.

 

12.3      If during any meeting of the Y&NYCA the Chair, after counting the number of Members present, declares that there is not a quorum present, the meeting shall stand adjourned to a time fixed by the Chair.  If there is no quorum and the Chair does not fix a time for the reconvened meeting, the meeting shall stand adjourned to the next ordinary meeting of the Y&NYCA.

 

13.         Order of Business

 

13.1      At every meeting of the Y&NYCA the order of business shall be to select a person to preside if the Mayor, Deputy Mayor or Vice-Chair(s) are absent and thereafter shall be in accordance with the order specified in the agenda for the meeting, except that such order may be varied -

 

a.               by the Chair at his/her discretion, or

b.               on a request agreed to by the Y&NYCA.

 

13.2      The Chair may bring before the Y&NYCA at their discretion any matter that they consider appropriate to bring before the Y&NYCA as a matter of urgency.

 

14.         Committees

 

14.1      *** The Y&NYCA must appoint an Audit and Governance Committee and one or more Overview and Scrutiny Committee(s) in accordance with the Scrutiny Order and Part 4 of this Constitution.

 

14.2      The Y&NYCA will appoint a Business Committee in accordance with Part 4 of this Constitution.

 

 

15.         Proceedings of any Committee or Sub-Committee of Y&NYCA   

 

15.1      Except where a Committee or any Committee or Sub-Committee of the Y&NYCA, is acting under delegated authority, the Minutes of any Committee or Sub-Committee of the Y&NYCA, shall be submitted to the Y&NYCA for confirmation.  Confirmation by the Y&NYCA of those Minutes shall constitute approval of any Committee or Sub-Committee of the Y&NYCA.

 

15.2      The Chair of any Committee or Sub-Committee of the Y&NYCA, (or any Committee or Sub-Committee of the Y&NYCA acting in their place), shall deal with matters arising during any debate by the Y&NYCA on the proceedings of any Committee or Sub-Committee of the Y&NYCA.

 

15.3      The Chair of the Committee or any Committee or Sub-Committee of the Y&NYCA, (or any Committee or Sub-Committee of the Y&NYCA acting in their place), may, with the consent of the Y&NYCA, withdraw any item on the Minutes of any Committee or Subcommittee of the Y&NYCA, or correct any factual inaccuracy, which might otherwise result in the Y&NYCA being misinformed on any item in the Minutes of any Committee or Sub-Committee of the Y&NYCA.

 

15.4      Where any Committee or Sub-Committee of the Y&NYCA is acting under delegated authority, the Minutes of the proceedings of any Committee or Sub-Committee of the Y&NYCA shall be submitted to the Y&NYCA for information.

 

 

 

16  Rules of Debate

 

16.1    Motion or amendment shall not be discussed unless it has been proposed and seconded.  

 

16.2      A Member shall address the Chair and direct any speech to the question under discussion.  If two or more Members indicate they wish to speak, the Chair shall call on one to speak first.

 

16.3      An amendment shall be relevant to the Motion and shall be either: -

 

a.            to leave out words from the Motion;

b.            to leave out words from, and insert or add others to, the Motion;

c.            to insert words in, or add words to, the Motion;

 

but such omission, insertion or addition of words shall not have the effect of introducing a new proposal into or negating the original Motion before the Y&NYCA. 

 

16.4 A Member shall not speak for longer than five minutes on any matter without the consent of the Chair.

 

16.5 A Member may claim to speak on a point of order or in personal explanation and shall be entitled to be heard.  A point of order must relate only to an alleged breach of a specified statutory provision or the Y&NYCA Constitution or these Rules of Procedure and the way in which the Member raising it considers that it has been broken.  A personal explanation shall be confined to some material part of a former speech by the Member in the current debate which may appear to have been misunderstood.  The ruling of the Chair on a point of order, or on the admissibility of a personal explanation, shall not be open to discussion.

 

16.6 If an amendment is rejected, other amendments may be moved on the original Motion.  If an amendment is carried, the Motion as amended shall take the place of the original Motion and shall become the substantive Motion upon which any further amendment may be moved.

 

16.7 A further amendment shall not be moved until the Y&NYCA has disposed of every amendment previously moved, provided that the Chair shall have discretion to allow debate to take place on two or more amendments.

 

16.8 A Member at the conclusion of a speech of another Member may move without comment: 

 

16.8.1 that the question be now put;

16.8.2 that the debate be adjourned;

16.8.3 that the Y&NYCA proceed to the next business;

16.8.4 that this meeting of the Y&NYCA be adjourned.

 

16.9 If such a Motion is seconded, the Chair shall, subject to the mover’s right to reply, put the Motion to the vote, and if it is carried –

 

i.              in case (a) the Motion then before the Y&NYCA shall, subject to the right to reply, be put to the vote; or

ii.            in case (b) the debate on the Motion then before the Y&NYCA shall stand adjourned until the next ordinary meeting of the Y&NYCA; or

iii.           in case (c) the Motion then before the Y&NYCA shall be regarded as lost and the Y&NYCA shall proceed to the next item on the agenda, if any; or

iv.           in case (d) the meeting shall stand adjourned. 

 

16.10              If the Chair is of the opinion that the matter before the Y&NYCA has been sufficiently discussed the Chair may put the Motion that the question now be put.

 

16.11              The Chair shall decide all questions of order and any ruling by the Chair upon such questions and the interpretation of these Rules of Procedure and upon matters rising in debate shall be final and shall not be open to discussion.

 

16.12              A Motion to exclude the press and public in accordance with Section 100A of the Local Government Act, 1972 may be moved, without notice, at any meeting of the Y&NYCA during an item of business whenever it is likely that if members of the public were present during that item there would be disclosure to them of confidential or exempt information as defined in Section 100A of the 1972 Act.

 

18.         Voting

 

18.1      ***Subject to Rules 18.5 to 18.11, any questions that are to be decided by the Y&NYCA are to be decided by a majority of the Members or Substitute Members, acting in place of Members, present and voting on that question at a meeting of the Y&NYCA.

 

18.2      ***Each Member of the Y&NYCA, or Substitute Member acting in that Member’s place, is to have one vote and no Member of the Y&NYCA or Substitute Member is to have a casting vote.

 

18.3      Whenever a vote is taken at meetings of the Y&NYCA it shall be by a show of hands.  On the requisition of any member of the Y&NYCA, supported by two other Members who signify their support by rising in their places, and before the vote is taken, the voting on any question shall be recorded to show whether each Member present gave their vote for or against that question or abstained from voting.

 

18.4      ***A Member of the Y&NYCA, or Substitute Member acting in that Member’s place may demand that his/her vote be recorded in the Minutes of the meeting.

 

18.5      ***Questions that are to be decided by the Y&NYCA relating to the following matters require that at least 3 Members of the Y&NYCA, or Substitute Member(s) acting in place of Member(s), vote in favour for any vote to be carried: -

 

a.         the adoption, approval, amendment, modification, revision, variation, withdrawal or revocation of a plan or strategy of the following descriptions: 

i. a sustainable community strategy;

ii. approving the capital programme of the Y&NYCA and approving new transport schemes;

iii. such other plans and strategies as may be determined by the Y&NYCA from time to time.

 b.        The preparation of a local economic assessment under section 69 of the Local Democracy, Economic Development and Construction Act 2009 (LDEDCA);

c.            the approval of the budget of the Y&NYCA;

d.            the approval of borrowing limits, the treasury management strategy and the investment strategy;

e.            the setting of a transport levy;

f.             the acceptance of arrangements to delegate the functions or budgets of any person to the Y&NYCA; 

g.            the amendment of these Rules of Procedure of the Y&NYCA;

h.            the approval of a transport policy developed by the Mayor under section 108 (1) (a) of the Transport Act 2000

i.              the approval of a local transport plan prepared by the Mayor under section 108 (3) of the Transport Act 2000

j.              the approval of the alteration or replacement of a local transport plan as proposed by the Mayor under section 109 (1) or (2) of the Transport Act 2000

 

18.6      ***Questions that are to be decided by the Y&NYCA relating to road user charging require that all 5 Members of the Y&NYCA, or Substitute Members(s) acting in place of Member(s), vote unanimously in favour for any vote to be carried.

 

18.7      ***The following plans may be amended by a vote in favour by at least 3 members (excluding the Mayor), or substitute members acting in their place, present and voting on that question at a meeting of the Y&NYCA: -

i.              draft policy or draft local transport plan prepared by the Mayor under section 108 (1) (a) or (3) of the Transport Act 2000, or

ii.            a draft alteration or replacement of the local transport plan under sections 109 (1) and (2) of the Transport Act 2000

 

18.8***In order to be carried questions relating to functions exercised pursuant to section 93(1) of the Transport Act 1985 (travel concession schemes) require a vote in favour:

 

a.            by at least 3 members, or substitute members acting in place of those members, present and voting on that question at a meeting of the Y&NYCA; and

b.            by the Mayor (or the Deputy Mayor acting in place of the Mayor).

 

18.9***Where the costs of expenditure reasonably incurred by the Mayor in, or in connection with, the exercise of the functions specified in Schedule 1 of the 2023 Order are to be required to be met by the Constituent Councils (because the Mayor has decided not to fully meet those costs from other resources available to the Mayor) and it is proposed that, rather than apportioning such costs between the Constituent Councils in accordance with the proportion to the total resident population of the Y&NYCA which resides in the area of each Constituent Council at the relevant date as estimated by the Statistics Board, some alternative apportionment of costs between the Constituent Councils is to instead be applied, then the members of the Y&NYC , or substitute members acting in place of those members, must unanimously agree to such an alternative apportionment.

 

18.10  ***Any decision to veto the Mayor’s draft general budget (or revised general budget) and approve the Mayor’s draft budget incorporating the Y&NYCA ’s recommendations must be decided by a two-thirds majority of the members of the Y&NYCA (excluding the Mayor), or substitute members acting in their place, present and voting on the question at a meeting of the Y&NYCA.

 

18.11  ***A proposal by the Mayor to acquire land compulsorily pursuant to: -

 

a.            Section 17 of the Housing Act 1985

b.            Section 226 of the Town and County Planning Act 1990, or

c.            Section 9 (2) of the Housing and Regeneration Act 2008

requires the consent of all members of the Y&NYCA (or substitute members acting in their place) whose area contains any part of the land subject to the CPO, such consent to be provided at a meeting of the Y&NYCA.

 

18.12  *** A proposal by the Mayor to: -

 

a.            Designate any area of land as a mayoral development area (MDA)

b.            Alter the boundaries of an MDA to exclude an area of land, or

c.            Decide that a mayoral development corporation (MDC) should be the local planning authority for the purposes set out in section 20 (2) to (4) of the Localism Act 2011

 

requires the consent of all members of the Y&NYCA (or substitute members acting in their place) whose local government area contains any part of the area to be designated or excluded or in respect of which the Mayor wishes to decide that the MDC should be the local planning authority, such consent to be provided at a meeting of the Y&NYCA.

 

18.13  *** A proposal of the Mayor under Rule 18.12 (a) may be rejected by the    Y&NYCA in accordance with the provisions of section 197 of the Localism                       Act 2011 as modified by the 2023 Order, but only if a motion to reject has             been considered at a meeting of the Y&NYCA and agreed to by two-thirds        of the Y&NYCA members (or substitute members acting in their place)      present and voting on that motion.

 

18.14  ***The proceedings of Y&NYCA are not invalidated by any vacancy among           its Members or Substitute Members or by any defect in the appointment or qualifications of any Member or Substitute Member

 

19.         Conduct of Members

 

19.1      If the Chair is of the opinion that at a meeting any Member of the Y&NYCA, or Substitute Member acting in that Member’s place, has misconducted, or is misconducting him or herself by persistently disregarding the ruling of the Chair, or by behaving irregularly, improperly or offensively, or by wilfully obstructing the business of the Y&NYCA, the Chair may notify the meeting of that opinion and may take any of the following actions either separately or in sequence:

 

a.            the Chair may direct the Member to refrain from speaking during all or part of the remainder of the meeting of the Y&NYCA;

b.            the Chair may direct the Member to withdraw from all or part of the remainder of the meeting of the Y&NYCA;

c.            the Chair may order the Member to be removed from the meeting of the Y&NYCA; and

d.            the Chair may adjourn the meeting of the Y&NYCA for such period as they consider expedient.

 

19.2      In the event of general disturbance, which in the opinion of the Chair, renders the orderly dispatch of business impossible the Chair, in addition to any other power vested in the Chair may, without question put, adjourn the meeting of the Y&NYCA for such period as the Chair considers expedient.

 

20.         Disturbance by Members of the Public

 

20.1      If a member of the public interrupts the proceedings at any meeting of the Y&NYCA the Chair shall warn the individual(s).  If they continue the interruption the Chair shall order their removal from the room.  In the case of general disturbance in any part of the room open to the public the Chair shall order that part to be cleared.

 

21.         Notification and Declaration of Interests

 

21.1      In this Rule: - 

 

‘the Code’ means the Conduct of Conduct for Members adopted by the Y&NYCA under Section 28 of the Localism Act 2011;

‘disclosable pecuniary interest’ means an interest specified in the Relevant Authorities (Disclosable Pecuniary Interests) Regulations 2012 and set out in paragraph 4 of the Code;

‘Member of the Y&NYCA’ includes a Substitute Member when acting as a Member of the Y&NYCA, and a voting co-opted member of a committee or sub-committee of the Y&NYCA.

‘other registrable interest’ for the purpose of Rule 21.2 means an interest described in paragraph 5 to Appendix B of the Code, 

‘Non registrable interest’ means an interest described in paragraphs 6, 7 or 8 to Appendix B of the Code;

 

21.2    Members of the Y&NYCA must within 28 days of their election or appointment to office notify the Y&NYCA Monitoring Officer in writing of the details of their disclosable pecuniary interests (including, where required, interests of their partner) and their other registrable interests.

 

21.3    Where a member of the Y&NYCA is present at a meeting and has a disclosable pecuniary interest or, an interest described in paragraphs 5, 6, 7 or 8 to Appendix B of the Code in any matter to be considered at the meeting, they must disclose the interest to the meeting.

 

21.4    Where a member of the Y&NYCA has a disclosable pecuniary interest or, an interest described in paragraphs 5, 6, or 8 to Appendix B of the Code in any matter being considered at a meeting, they must not participate or vote on the matter and must withdraw from the room of the meeting while the matter is being considered.

 

22.         Records

 

22.1      The Monitoring Officer shall ensure that the names of the Members of the Y&NYCA present at any meeting of the Y&NYCA, and any Substitute Member acting in a Member’s place, shall be recorded in the Minutes of the meeting concerned.

 

22.2      The Minutes of the proceedings of a meeting of the Y&NYCA are to be kept in such form as the Y&NYCA may from time to time determine.

 

22.3      The Minutes of the proceedings of a meeting of the Y&NYCA shall be signed at the next suitable meeting of the Y&NYCA by the person presiding at the meeting of the Y&NYCA to which the Minutes relate.

 

22.4      Any minute purporting to be signed as mentioned in Rule 22.3 shall be received in evidence for the purposes of any legal proceedings without further proof.

 

22.5      Until the contrary is proved, a meeting of the Y&NYCA, a Minute of whose proceedings has been signed in accordance with this Rule is deemed to have been duly convened and held, and all the Members of the Y&NYCA present at the meeting, and any Substitute Member acting in a Member’s place, are deemed to have been duly qualified.

 

22.6      For the purposes of this Rule the next suitable meeting of the Y&NYCA is the next meeting of the Y&NYCA.

 

           

 

SECTION B – ACCESS TO INFORMATION PROCEDURE RULES

 

1.               Scope

 

1.1         Except as otherwise indicated, Rules 3 to 13 of these Procedure Rules apply to all meetings of the Y&NYCA or its committees, including any committees established by the Mayor to discharge Mayoral general functions (together called “meetings”). Rules 14 to 18 apply in respect of any decision by a decision-maker (as defined in Rule 2.1(b)) that is a key decision. Rules 19 and 20 apply exclusively to decisions made by individual decision-makers. Rules 21 to 23 set out the specific rights of access to information applying to members of overview and scrutiny committees and the general rights of access to information applying to Members of the Y&NYCA.

 

1.2         These Rules do not affect any more specific rights to information contained elsewhere in this Constitution or the law.

 

2.            Definitions

 

2.1         In these Rules: 

 

(a)          “committee” includes a committee established by the Mayor to discharge general functions;

 

(b)          “decision-maker” means the decision-making body by which, or the individual by whom, a decision is taken;

 

(c)          “individual” in Rule 2.1(b) includes the Mayor and, when exercising delegated functions, other Members of the Y&NYCA and officers of the Y&NYCA (including Transport for the North acting as an officer of the Y&NYCA);

 

(d)          “mayoral decision” means a decision made or to be made by a decision-maker in connection with the discharge of a mayoral function (as defined in paragraph 1.10 of Part 1 of this Constitution);

(e)          “non-mayoral decision” means a decision made or to be made by a decision maker in connection with the discharge of a function of the Y&NYCA that is not a mayoral function;

 

(f)           “key decision” has the meaning given in Rule 14;

 

(g)          “political adviser” means a person appointed pursuant to Article 5 of the 2023 Order;

 

(h)          “private meeting” means a meeting, or part of a meeting, during which the public are excluded under Rule 10;

 

(i)            “public meeting” means a meeting which is open to the public in accordance with Rule 3.

 

3.            Rights to Attend Meetings

 

3.1         Members of the public may attend all meetings subject only to the exceptions in Rule 10.

 

3.2         While a meeting is open to the public any member of the public attending may report on that meeting by:

 

(a)          filming, photographing or making an audio recording of proceedings at a meeting;

 

(b)          using any other means for enabling persons not present to see or hear proceedings at a meeting as it takes place or later; or

 

(c)          reporting or providing commentary, in writing, on proceedings at a meeting so that the report or commentary is available as the meeting takes place or later to persons not present (oral reporting or commentary is not permitted during a meeting but may be provided outside or after the meeting).

 

4.            Notices of Meetings

 

4.1            The Y&NYCA will give at least five clear days’ notice of any meeting by posting details of the meeting at the offices of the Y&NYCA and on the Y&NYCA's website.

 

4.2            Where the meeting is convened at shorter notice, notice of the meeting will be posted at the time the meeting is convened.

 

5.            Access to Agenda and Reports Before the Meeting

 

5.1         Subject to Rule 11 a copy of the agenda and any report for a meeting will be available for public inspection at the offices of the Y&NYCA and on the Y&NYCA's website.

 

5.2         Any document which is required by Rule 5.1 to be available for public inspection must be available for at least 5 clear days before the meeting except that -

 

(a)         where the meeting is convened at shorter notice, a copy of the agenda and associated reports must be available for inspection when the meeting is convened, and

 

(b)         where an item which would be available for public inspection is added to the agenda, copies of the revised agenda and any report relating to the item must be available for inspection when the item is added to the agenda;

 

but nothing in this Rule 5.2 requires copies of any agenda, item or report to be open to inspection by the public until copies are available to members of the Y&NYCA.

 

6.            Supply of Copies

 

6.1         The Y&NYCA will supply copies of:

 

(a)         any agenda and reports which are open to public inspection;

 

(b)         any further statements or particulars, if any, as are necessary to indicate the nature of the items in the agenda; and

 

(c)          if the Secretary thinks fit, copies of any other documents supplied to Members in connection with an item;

 

to any person (including any newspaper) on payment of a charge for postage, copying and any other costs.

 

6.2         A reasonable number of copies of the agenda and reports for the public part of the meeting will be available for the use of members of the public present at the meeting.

 

6.3         The Y&NYCA will also supply copies of documents available for public inspection under Rule 7 and Rule 8.2 to any person (including any newspaper) on payment of a charge for postage, copying or any other costs.

 

7.            Access to Minutes etc After the Meeting

 

7.1         The Y&NYCA will make available at the Y&NYCA's offices and on the Y&NYCA's website as soon as reasonably practicable after a meeting copies of the following:

 

(a)          the minutes of the meeting, excluding any part of the minutes of proceedings when the meeting was not open to the public or which disclose exempt or confidential information;

 

(b)          a summary of any proceedings not open to the public where the minutes open to inspection would not provide a reasonably fair and coherent record;

 

(c)          the agenda for the meeting; and

 

(d)          reports relating to items when the meeting was open to the public.

 

7.2         The above documents will be retained by the Y&NYCA and be open to inspection for six years after the meeting.

 

8.            Background Papers

 

8.1         List of background papers

 

The relevant Chief Officer will set out in every report and with every written statement made under Rule 20.1 a list of those documents (called background papers) relating to the subject matter of the report which in his/her opinion:

 

(a)         disclose any facts or matters on which the report or an important part of the report is based; and

 

(b)         which have been relied on to a material extent in preparing the report but does not include published works or those which disclose exempt or confidential information (as defined in Rule 10).

 

8.2         Public inspection of background papers

 

The Y&NYCA will make available for public inspection at the Y&NYCA's offices, and in the case of delegated decisions falling within Rule 20.1 on the Y&NYCA's website, one copy of each of the documents on the list of background papers. Such papers will be available from the time the report or written statement (to which they are background papers) is available until four years after the date of the meeting or the date of the individual decision.

 

9.         Summary of Public's Rights

 

9.1.     A written summary of the public's rights to attend meetings and to inspect and copy documents must be kept at and be available to the public at the Y&NYCA’s offices.

 

10.         Exclusion of Access by the Public to Meetings

 

10.1      Confidential information - requirement to exclude public 

 

The public must be excluded from meetings whenever it is likely in view of the nature of the business to be transacted or the nature of the proceedings that confidential information would be disclosed.

 

10.2      Meaning of confidential information

 

Confidential information means information given to the Y&NYCA by a Government Department on terms which forbid its public disclosure or information which cannot be publicly disclosed by reason of a Court Order or any enactment.

 

10.3      Exempt information - discretion to exclude public

 

The public may be excluded from meetings by a resolution passed by the meeting whenever it is likely in view of the nature of the business to be transacted or the nature of the proceedings that exempt information would be disclosed.

 

10.4      Meaning of exempt information

 

(a)         Exempt information means information falling within the following 7 descriptions (subject to any qualifications).

 

 

Description 

Qualification

1.

Information relating to any individual

Information within paragraph 1 is exempt information if and so long, as in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.

2.

Information which is likely to reveal the identity of an individual.

Information within paragraph 2 is exempt information if and so long, as in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.

3.

Information relating to the financial or business affairs of any person (including the authority holding that information).

 Information within paragraph 3 is not exempt information if it is required to be registered under- 

(a)          the Companies Acts (as defined in section 2 of the Companies Act 2006);

(b)        the Friendly Societies Act 1974;

(c)        the Friendly Societies Act 1992;

(d)          the Co-operative and Community   Benefit Societies Act 2014;

(e)          the Building Societies Act 1986; or (f) the Charities Act 2011.

 

 

 

Subject to the above, Information within paragraph 3 is exempt information if and so long, as in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.

4.

Information relating to any consultations or negotiations, or contemplated consultations or negotiations, in connection with any labour relations matter arising between the authority or a Minister of the Crown and employees of, or office holders under, the authority.

Information within paragraph 4 is exempt information if and so long, as in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.

5.

Information in respect of which a claim to legal professional privilege could be maintained in legal proceedings.

Information within paragraph 5 is exempt information if and so long, as in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.

6.

Information which reveals that the authority proposes –

(a) to give under any enactment a notice under or by virtue of which requirements are imposed on a person; or 

(b) to make an order or direction under any enactment.

Information within paragraph 6 is exempt information if and so long, as in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.

7.

Information relating to any action taken or to be taken in connection with the prevention, investigation or prosecution of crime.

Information within paragraph 7 is exempt information if and so long, as in all the circumstances of the case, the public interest in maintaining the exemption outweighs the public interest in disclosing the information.

 

(b)          Information is not exempt information if it relates to proposed development for which the local planning authority may grant itself planning permission pursuant to regulation 3 of the Town and Country Planning General Regulations 1992.

 

10.5      A member or members of the public may be excluded from a public meeting by use of a lawful power to maintain orderly conduct or prevent misbehaviour at a meeting.

 

 

 

11.         Exclusion of Access by the Public to Reports

 

11.1      If the Secretary thinks fit, the Y&NYCA may exclude access by the public to the whole or part of any reports which in his or her opinion relate to items during which, in accordance with Rule 10, the meeting is likely not to be open to the public.

 

11.2      Where the whole or any part of a report is not available for public inspection by virtue of Rule 11.1:

 

(a)         every copy of the whole report or part of the report must be marked "Not for Publication" and 

(b)         there must be stated on every copy of the report: 

(i)              that it contains confidential information; or

(ii)             by reference to Schedule 12A of the Local Government Act 1972, the description of the exempt information by virtue of which the public are likely to be excluded during consideration of the item.

 

12.         Business Containing Exempt Information

 

12.1      A member of the public may request the Chief Officer who wrote a report to be considered at any meeting of the Y&NYCA, its Committees or Sub-Committees to:

 

(a)         recommend that an item of business containing exempt information should be taken in public; and/or, 

(b)         allow him/her to inspect the report or any background document to a report.

 

12.2      Such a request must be made at least 48 hours before the meeting.

 

12.3      If such a request is refused, the Chief Officer must give a reason for the decision together with details of the appeals procedure under Rule 13.1

 

12.4      A decision by a Chief Officer under Rule 12.3 will remain valid unless altered on appeal to the meeting which is to consider the item concerned.

 

13.         Public Rights of Appeal

 

13.1      The procedure for appealing against a Chief Officer's decision in accordance with Rule 12.3 is as follows:

 

(a)          The appellant must write to the Head of Paid Service giving details of the item concerned together with the reason(s) for his / her request at least 24 hours before the meeting in question. The time of receipt of the appeal must be recorded as any received after this time will be invalid.

 

(b)          The appeal will be dealt with in private as the first item on the agenda.

 

(c)          Initially, only the Chief Officer (or representative) who refused the original request, the Head of Paid Service's representative and the members concerned may be present.

 

(d)          The Chief Officer will report the matter to the meeting giving his/her reasons for the decision and members will be allowed to ask questions.

 

(e)          The appellant will then be called into the meeting and the chair will    summarise the reasons given for the refusal.

 

(f)           The appellant will give his / her reason(s) for the request and members will be allowed to ask questions of the appellant and the Chief Officer but having regard to the confidentiality of the item.

 

(g)          Both parties will withdraw, and the meeting will then consider and determine the appeal.

 

13.2      Where an appeal relates to the inspection of an exempt document and is not dealt with under Rule 13.1 (being made either after the meeting in question or less than 24 hours before), the following procedural timetable will apply:

 

(a)          The appellant must submit the appeal in writing to the Head of Paid Service within 10 working days of the refusal by the Chief Officer;

 

(b)          The relevant body will determine the appeal within 8 weeks of its receipt.

 

14.         Key Decisions

 

14.1      A “key decision” means a decision of a decision-maker which is likely:

 

(a)         to result in the Y&NYCA or the Mayor incurring significant expenditure, or the making of significant savings, having regard to the Y&NYCA’s budget for the service or function to which the decision relates; or

 

(b)         to be significant in terms of its effects on persons living or working in an area comprising two or more wards in the Y&NYCA.

 

14.2      For the purposes of 14.1(a) above the meaning of “significant expenditure” or “significant savings” is to be construed in accordance with any definition that has been agreed by the Y&NYCA’s overview and scrutiny committee(s) and reported by the committee(s) to the Y&NYCA. A financial threshold for key decisions under paragraph (a) of expenditure or savings by the Y&NYCA of more than £500,000 has been set.

 

14.3      The following categories of delegated decisions by officers do not constitute key decisions as in each case they concern the implementation of a previous key decision agreed by the Y&NYCA and/ or the Mayor, which scrutiny has had the opportunity to review:

 

(i)           any decision to borrow money to meet the short-term borrowing requirements of the Y&NYCA, to fund the approved capital programme, to refinance maturing debt or to restructure the long-term borrowing of the Y&NYCA in line with the provisions of the Treasury Management Strategy;

(ii)          any decision to invest funds in accordance with the Treasury Management Strategy approved by the Y&NYCA;

(iii)         the acceptance of tenders for contracts wholly or mainly involving capital expenditure where the Y&NYCA’s approval to the detailed capital scheme has previously been issued. 

 

The Y&NYCA’s financial threshold of £500,000 for key decisions excludes decisions in the following categories:

 

(i)           the settlement of any actual or threatened legal proceedings in the interests of the Y&NYCA, subject to the Overview and Scrutiny Committee receiving a report at its next suitable meeting in the event of such a settlement;

(ii)          the payment of ‘passported’ grants from central government whose grant conditions include express instructions on how and where monies are spent, so that the Y&NYCA or the Mayor are unable to vary any aspect of the payment of that grant.  

 

Note: Currently the Bus Service Operators Grants fall within this category. 

 

14.4      For the purposes of these Rules no decision that involves the discharge of a PCC function is to be treated as a key decision.

 

15.         Publicity and Procedure in Connection with Key Decisions

 

15.1      Subject to Rule 16 (General Exception) and Rule 17 (Special Urgency), where a decision-maker intends to make a key decision, that decision must not be made unless at least 28 clear days before it is made:

 

(a)         a document is published containing the information set out in Rule 15.2, and

 

(b)         that document is made available at the offices of the Y&NYCA and published on the Y&NYCA's website.

 

15.2      The document published under rule 15.1 must state -

 

(a)         that a key decision is to be made in relation to the discharge of functions which are the responsibility of the Y&NYCA;

 

(b)         the matter in respect of which the decision is to be made;

 

(c)          the decision-maker's name, and title if any;

 

(d)         the date on which, or the period within which, the decision is to be made;

 

(e)         a list of the documents submitted to the decision-maker for consideration in relation to the matter in respect of which the key decision is to be made;

 

(f)           the address from which, subject to any prohibition or restriction on their disclosure, copies of, or extracts from, any document listed is available;

 

(g)         that other documents relevant to those matters may be submitted to the decision-maker; and

 

(h)         the procedure for requesting details of those documents (if any) as they become available.

 

15.3      The document referred to above must not contain any confidential or exempt information or particulars of the advice of a political adviser but should contain particulars of the matter to be decided.

 

16.         General Exception

 

16.1      Subject to Rule 17 (Special Urgency), where the publication of the intention to make a key decision under Rule 15 is impracticable, the decision may still be made but only if:

 

(a)          the Monitoring Officer has informed the chair of the Overview and Scrutiny Committee or if there is no such person, each member of that committee by notice in writing, of the matter about which the decision is to be made;

 

(b)          the Monitoring Officer has made a copy of that notice available to the public at the offices of the Y&NYCA, and published it on the Y&NYCA’s website; and 

 

(c)          at least 5 clear days have elapsed since the Monitoring Officer complied with (a) and (b).

 

16.2      As soon as reasonably practicable after the Monitoring Officer has complied with Rules 16.1 (a) and (b), he or she must make available at the Y&NYCA's offices a notice setting out the reasons why compliance with Rule 15 is impracticable and publish that notice on the Y&NYCA's website.

 

17.         Special Urgency

 

17.1      Where the date by which a key decision must be made, makes compliance with Rule 16 impracticable, the decision may only be made where the decision-maker has obtained agreement from: 

 

(a)          the Chair of the Overview and Scrutiny Committee; or

 

(b)          if there is no such person, or if the chair of the Overview and Scrutiny Committee is unable to act, the Chair of the Y&NYCA; or

 

(c)          where there is no chair of either the Overview and Scrutiny Committee or of the Y&NYCA, one of the vice-chairs of the Y&NYCA,

 

that the making of the decision is urgent and cannot reasonably be deferred.

 

17.2      As soon as reasonably practicable after the decision-maker has obtained such agreement under Rule 17.1, the decision-maker must make available at the offices of the Y&NYCA a notice setting out the reasons that the making of this decision is urgent and cannot reasonably be deferred and publish that notice on the Y&NYCA's website.

 

18.         Reports to the Y&NYCA

 

18.1      When an Overview and Scrutiny Committee can require a report

 

Where a decision has been made and:

 

(a)          was not treated as a key decision; and 

 

(b)          the Overview and Scrutiny Committee are of the opinion that the decision should have been treated as a key decision,

 

the Overview and Scrutiny Committee may require the decision-maker to submit a report to Y&NYCA within such reasonable period as the committee may specify (which shall normally be the next scheduled meeting of the Y&NYCA).

 

18.2      Decision-maker's report to the Y&NYCA

 

A report under Rule 18.1 must include details of:

 

(a)          the decision and the reasons for the decision;

 

(b)          the decision-maker by whom which the decision was made; and

 

(c)          if the decision-maker is of the opinion that the decision was not a key decision, the reasons for that opinion.

 

18.3      Reports on special urgency decisions

 

The Monitoring Officer will submit reports to the Y&NYCA on the decisions taken in the circumstances set out in Rule 17 (special urgency) in the preceding cycle. The report will include the particulars of decisions so taken and a summary of the matters in respect of which those decisions were taken.

 

19.         Recording of Mayoral Decisions Made by Individuals

 

19.1      As soon as reasonably practicable after the Mayor or another Member of the Y&NYCA has made a mayoral decision, that Member must produce or instruct the Secretary to produce a written statement of that mayoral decision which includes the information specified in Rule 19.3.

 

19.2      As soon as reasonably practicable after an officer has made a decision which is a mayoral decision, the officer must produce a written statement including the information specified in Rule 19.3.

 

19.3      The statement referred to in Rules 19.1 and 19.2 should include –

 

(a)         a record of the decision including the date it was made;

 

(b)         a record of the reasons for the decision;

 

(c)          details of any alternative options considered and rejected when making the decision;

 

(d)         a record of any conflict of interest declared by any member who is consulted by the member or officer which relates to the decision; and

 

(e)         in respect of any declared conflict of interest, a note of dispensation granted by the Head of Paid Service.

 

19.4      Any written statement produced in accordance with this Rule, and any report considered by the individual Member or officer relevant to a decision will be available for public inspection at the Y&NYCA's offices and on the Y&NYCA's website.

 

19.5      Decisions made by the Mayor will also be reported to the Y&NYCA at its next meeting (except where the decision concerned was taken openly by the Mayor while sitting within a formal meeting of the Y&NYCA).

 

19.6      Nothing in this Rule shall require the disclosure of confidential information or exempt information as defined in these Rules.

 

20.         Recording of non-Mayoral Decisions made by Officers

 

20.1      As soon as reasonably practicable after an officer has made a non-mayoral decision of the type referred to in Rule 20.2, the officer must produce a written statement including the information specified in Rule 20.3.

 

20.2      The non-mayoral decisions referred to in Rule 20.1 are those taken:

             

(a)         under a specific express authorisation; or

 

(b)         under a general authorisation and the effect of the decision is to:

 

(i)              grant a permission or licence;

(ii)             affect the rights of an individual; or

(iii)            award a contract or incur expenditure which materially affects the Y&NYCA’s financial position.

 

20.3      The statement referred to in Rule 20.1 should include:

 

(a)         a record of the decision including the date it was made;

 

(b)         a record of the reasons for the decision;

 

(c)          details of any alternative options considered and rejected when making the decision;

 

(d)         where the decision is taken under a specific express authorisation, the name of any member of the Y&NYCA who has declared a conflict of interest in relation to the decision.

 

20.4      Any written statement produced in accordance with this Rule will be available for public inspection at the Y&NYCA's offices and on the Y&NYCA's website.

 

20.5      Nothing in this Rule shall require the disclosure of confidential information or exempt information as defined in these Rules.

 

21.         Overview and Scrutiny Committee(s) Access to Documents

 

21.1      Rights to copies

 

Subject to Rule 21.3 below, a member of an overview and scrutiny committee or a sub-committee of such a committee is entitled to a copy of any document which is in the possession or under the control of the Y&NYCA or the Mayor and which contains material relating to: -

 

(a)          any business that has been transacted at a meeting of a decision-making body of the Y&NYCA; or

(b)          any decision that has been made by an individual member of the Y&NYCA; or

(c)       any decision made by an officer under delegated powers.

 

21.2      Where a member of an Overview and Scrutiny Committee or a sub-committee of such a committee requests a document under Rule 21.1, the Y&NYCA or the Mayor must provide that document as soon as reasonably practicable and, in any case, no later than 10 clear working days after the Y&NYCA or the Mayor receives the request.

 

21.3      Limit on rights

 

A member of an Overview and Scrutiny Committee or of a sub-committee of such a committee will not be entitled to: -

 

(a)          any document or part of a document that is in draft form;

 

(b)          any document or part of a document that contains exempt or confidential information, unless that information is relevant to an action or decision they are reviewing or scrutinising or any review contained in any programme of work of such a committee or sub-committee of such a committee; or

 

(c)          any document containing the advice of a political adviser.

 

21.4      Where the Y&NYCA or the Mayor determines that a member of an Overview and Scrutiny Committee is not entitled to a copy of a document or part of any such document the Y&NYCA, or the Mayor must provide the Overview and Scrutiny Committee with a written statement setting out the reasons for that decision.

 

22.         Additional Rights of Access for Members

 

22.1      Subject to Rule 22.2, any document which:

 

(a)         is in the possession or under the control of the Y&NYCA, and

 

(b)         contains material relating to any business to be transacted at a meeting of the Y&NYCA or a committee or sub-committee of the Y&NYCA;

 

shall, subject to Rule 22.2 below, be available for inspection by any Member of the Y&NYCA.

 

22.2      Rule 22.1 does not require a document to be available for inspection if:

 

(a)         it contains confidential information (see Rule 10.2);

 

(b)         it appears to the Monitoring Officer to disclose exempt information under paragraph 1, 2, 4, 5 or 7 of Schedule 12A to the Local Government Act 1972 (see Rule 10.4); or

 

(c)          it appears to the Monitoring Officer to disclose exempt information under paragraph 3 of Schedule 12A, but only to the extent that the information relates to any terms proposed or to be proposed by or to the Y&NYCA during negotiations for a contract.

 

[NB: documents containing exempt information by virtue of paragraph 3 where 22.2 (c) does not apply or by virtue of paragraph 6 of Schedule 12A will be available under this Rule]

 

22.3      The above rights are in addition to any other right that a member of a combined authority may have.

 

23.         Rights of Members – ‘Need to Know’

 

23.1      In addition to rights under Rule 22, Members will be entitled to access to documents and to attend the confidential part of meetings of committees and subcommittees where they can demonstrate a “need to know” to perform their duties as Members.

 

23.2      Subject to Rule 23.3 below, the circumstances where a “need to know” will be treated as arising will include -  

 

(a)         Where the matter relates to a sub-committee of a committee of which the Member is a member;

 

(b)         Where the Y&NYCA is required to approve the decisions or recommendations of committees or sub-committees;

 

(c)          Where the matter has been delegated to a committee or sub-committee, but significantly affects the reputation of the whole Y&NYCA; 

 

(d)         Where the matter relates specifically to the area of the Constituent Council that appointed the Member to the Y&NYCA.

 

23.3      There will not be a “need to know” if a Member is acting in bad faith or in pursuance of a personal pecuniary or non-pecuniary interest or merely out of curiosity.

 

23.4      A Member wishing to see confidential or exempt Y&NYCA, committee or subcommittee documents or to attend the confidential part of a meeting should make a written application to the Head of Paid Service, setting out the reasons why the document and/or attendance at the meeting is necessary in order to enable the Member properly to perform his/her duties.

 

23.5      Where access to documents or a meeting is refused by the Head of Paid Service, there will be a right of appeal to the relevant body.

 

23.6      Where a matter or document is confidential or exempt, Members exercising the above rights will be asked to sign an agreement to preserve the confidentiality of the information.

 


SECTION C – OVERVIEW AND SCRUTINY COMMITTEE PROCEDURE RULES

 

1.            Establishment

 

1.1         Legislation requires that the Y&NYCA must establish one or more overview and scrutiny committees. 

 

1.2         The Y&NYCA has determined to establish one overview and scrutiny committee whose remit is set out in Section D of Part 4 of this Constitution. The Y&NYCA may choose to review the scope and titles of this committee periodically.  

 

1.3         In these scrutiny procedure rules, any provisions referring to an overview and scrutiny committee also apply to any sub-committees established by an overview and scrutiny committee.

 

2             Membership

 

2.1         The Y&NYCA will appoint to the committee annually following the annual meetings of its constituent councils.

 

2.2         The overview and scrutiny committee shall comprise twenty members appointed by the Y&NYCA from the elected members of the constituent councils.  

 

2.3         The committee will have at least one member from each constituent council.

 

2.4         In appointing members to the overview and scrutiny committee the Y&NYCA will have regard to any nominations made by constituent councils and also endeavour to ensure that the membership reflects the conurbation’s diverse population. 

 

2.5         The Y&NYCA must ensure that the members of the committee reflect (as far as reasonably practicable) the balance of political parties among members of the constituent councils across the whole Y&NYCA area.

 

2.6         The Y&NYCA will also appoint up to twenty substitute members who may be invited to attend as full members of the overview and scrutiny committee when apologies have been received. Substitute members will be appointed from the nominations received from constituent councils following their annual meetings and will be politically inclusive.

 

3             Committee Chair

 

3.1         The committee’s Chair will be appointed from amongst its members.

 

3.2         The Chair must be a member of the committee who is an ‘appropriate person’ who is a member of one of the Constituent Councils. This requirement is set out in legislation.

 

3.3         An ‘appropriate person’ means:

                 a person who is not a member of a registered political party of which the Mayor is a member;

                 or, where the Mayor is not a member of a registered political party, a person who is not a member of a registered political party which has the most representatives among the members of the Constituent Councils on the Y&NYCA or, where two or more parties have the same number of representatives, a member of either of those parties.

 

3.4         The overview and scrutiny committee may choose to appoint a vice chair, the vice chair should also be an appropriate person as described in rule 3.3 above.

 

4             Sub-Committees 

 

4.1         The overview and scrutiny committee may establish one or more overview and scrutiny sub-committees to discharge its functions. 

 

4.2         The overview and scrutiny committee shall determine the membership of the sub-committee, subject to meeting the requirements relating to political balance and chairing by an appropriate person (rules 2.5 and 3.2).

 

4.3         These rules also apply to any sub-committee established.

 

5             Meeting Frequency

 

5.1         The Overview and scrutiny committee will schedule regular meetings, of sufficient frequency to effectively discharge their function.  

 

5.2         Additional meetings may be requested by the chair of the overview and scrutiny committee, or by any 5 members of the committee or by the Monitoring Officer. Notification of any additional meeting will be made by the Head of Paid Service.

 

6             Quorum

 

6.1         The quorum for the overview and scrutiny committee shall be two thirds of its total membership, 14 members. This is set out in legislation.

 

6.2         The quorum requirement also applies to any sub-committees established. 

 

6.3         No business shall be transacted unless there are 14 members present

 

6.4         The meeting must start no later than 15 minutes after its advertised starting time, if there are not 10 members present then no meeting can take place.   

 

6.5         If a meeting is inquorate those members present may still wish to informally discuss any issues which were due to be discussed at the meeting. However, this informal meeting cannot transact any formal business, its discussions cannot be minuted, and any issues which members wish to bring to a decision makers attention would need to be raised again at a formally constituted meeting of that scrutiny committee.

 

7             Voting

 

7.1         Each member of the overview and scrutiny committee has one vote.

 

7.2         No member is to have a casting vote.

 

7.3         Whenever a vote is taken at a meeting it shall be by a show of hands and voting will be recorded.

 

8             Overview And Scrutiny Committee Work Programme

 

8.1         The Overview and scrutiny committee and any sub-committees will be responsible for setting their own work programme, taking into account the wishes of members of that committee or sub-committee.

 

8.2         The overview and scrutiny committee shall also accommodate requests from the Y&NYCA and/or the Mayor to review areas of activity as soon as their work programme permits. 

 

8.3         To assist with their work the overview and scrutiny committee will be provided with a copy of the Register of Key Decisions each time it is updated. 

 

8.4         Legislation also requires the Y&NYCA to allow:

a.            Any member of an overview and scrutiny committee or sub-committee 

b.            Any member of the Y&NYCA 

c.            Any member of a Constituent Council to refer matters to an overview and scrutiny committee by notifying the Head of Paid Service in writing. 

 

8.5         Matters to be referred must be: 

i.          relevant to the functions of the committee and ii.           not an excluded matter[3]  

 

8.6         The Chair of the overview and scrutiny committee in consultation with the Monitoring Officer will determine whether a matter is an ‘excluded matter’.

 

8.7         On receipt of a notice under Rule 8.4 the matter will be included on the agenda of the next meeting the committee or sub-committee provided it meets the statutory publication requirements.

 

8.8         When the overview and scrutiny committee considers a referred matter, it must have regard to any representations made by the member referring the item as to whether it would be appropriate to exercise its powers in relation to the matter being referred. 

 

8.9         If the committee decides not to exercise its powers in relation to the referred matter, it must notify the member who referred the matter of their decision and the reasons for it.

 

9             Procedure at Overview and Scrutiny Committee Meetings

 

9.1         Where the overview and scrutiny committee conducts investigations (e.g., with a view to policy development), the committee may also ask people to attend to give evidence at committee meetings. 

 

9.2         Following any investigation or review, the committee/sub-committee shall prepare a report, for submission to the Y&NYCA and/or the Mayor as appropriate and shall make its report and findings public.

 

9.3         The overview and scrutiny committee or sub-committee may make proposals to the Y&NYCA and/or the Mayor about any policy developments that fall within the committee’s remit.

 

9.4         They may use choose to use different investigative methods, including task and finish groups to discharge this policy review function. 

  

10          Reports and recommendations of the overview and scrutiny committee

 

10.1      The Y&NYCA ’s overview and scrutiny committee may publish a report or make recommendations which may require the Y&NYCA or Mayor to: 

 

(a)          consider the report or recommendations made by the committee;

(b)          respond to the overview and scrutiny committee indicating what (if any) action the Y&NYCA or Mayor proposes to take;

(c)          publish their response to the overview and scrutiny committee’s report or recommendations;

(d)          if the committee’s report or recommendations were made in response to a matter referred by a member under rule 8.4 that member must also be provided with the response.

 

10.2      The Y&NYCA or the Mayor must respond to the committee’s report or recommendations as soon as is practicable, but no later than two months from the date on which the Y&NYCA or the Mayor received the reports or recommendations. 

10.3      The agenda for Y&NYCA meetings shall include the minutes of the previous month’s scrutiny meetings which will highlight any recommendations for the Y&NYCA to consider. 

 

10.4      Where the Mayor has delegated decision making power to another Member of the Y&NYCA, and the overview and scrutiny committee wishes to make recommendations regarding this decision they will submit a copy of their report to that delegated decision-maker (i.e. the Member of the Y&NYCA) for consideration as well as the Head of Paid Service and the Mayor. 

 

10.5      If the Member with delegated decision-making power does not accept the recommendations of the overview and scrutiny committee then they must refer the matter to the Mayor for consideration before responding to the scrutiny committee in writing. This response will also be copied to the Head of Paid service.

 

10.6      Where a report or recommendation of the overview and scrutiny committee or a response of the Y&NYCA or the Mayor’s response is published any confidential information must be excluded and any relevant exempt information may be excluded in line with the provisions of Article 8 of the Combined Authorities (Overview and Scrutiny Committees, Access to Information and Audit Committees) Order 2017.

 

11          Rights of Overview and Scrutiny Committee Members to Documents

 

11.1      Members of the overview and scrutiny committee have the additional right to documents, and to notice of meetings as set out in the Access to Information Procedure Rules in Section B of Part 5 of this Constitution.

 

11.2      There may also be more detailed liaison between the Y&NYCA and/or the Mayor and overview and scrutiny committee as appropriate depending on the matter under consideration.

 

11.3      Additionally, the Chair of the Y&NYCA’s overview and scrutiny committee has a standing invitation to attend meetings of the Y&NYCA including parts of the meeting where exempt items are discussed.

 

12          Members and Officers Giving Account

 

12.1      The overview and scrutiny committee or any sub-committee may scrutinise and review decisions made or actions taken in connection with the discharge of any Y&NYCA function (including any mayoral general functions), within the remit of the committee.

 

12.2      As well as reviewing documentation, in fulfilling the scrutiny role, it may require any Member of the Y&NYCA (including the Mayor) or officer of the Y&NYCA to attend before it to explain in relation to matters within their remit:

 

(a)          any particular decision or series of decisions;

(b)          the extent to which the actions taken implement Y&NYCA policy; and/or

(c)          their performance; and it is the duty of those persons to attend if so required.

 

12.3      Where, in exceptional circumstances, the Member or officer is unable to attend on the required date, then the overview and scrutiny committee shall, in consultation with the member or officer, arrange an alternative date for attendance. 

 

13          Attendance by Others

 

13.1   The overview and scrutiny committee may invite people other than members of the Y&NYCA and/or the Mayor to support their deliberations on a matter. It may for example, wish to hear from residents, stakeholders and members and officers in other parts of the public sector or partner organisations.

 

14          Call-In Of Decisions 

 

14.1      Call-in is one of a range of tools that scrutiny can use to influence decision-making.

 

14.2      Members appointed to the Y&NYCA’s Scrutiny Committee have the power to call-in:  The decisions made by:

 

a.            York and North Yorkshire Combined Authority (Y&NYCA)

b.            York and North Yorkshire Elected Mayor (for decisions relating to his general functions only but excluding fire and rescue functions) The decisions made under delegated powers by:

c.            A Member of the Y&NYCA exercising delegated mayoral general functions

d.            A Committee of the Y&NYCA

e.            A Committee established by the Mayor to exercise mayoral general functions. 

and key decisions made under delegated powers by:

f.             Officers of the Y&NYCA, (as set out in Part 3 Section F of the Constitution).

 

14.3      When the Y&NYCA or any of its committees (with delegated decision-making powers), makes a decision; or when the mayor makes decision relating to his/her mayoral general functions, a decision notice will be published which sets out the decision(s) that have been made. This notice will also be made available at the offices of the Y&NYCA. The decision notice should be usually published within working 2 days of the decision being made.  

 

14.4      It is the responsibility of the Secretary to send electronic copies of the records of all such decisions to all members of the Y&NYCA and all members of the Y&NYCA’s overview and scrutiny committee and any scrutiny sub committees (if established). This notice will enable members of the scrutiny committee to review the decisions that have been made and consider whether they would like any further information about them.

 

14.5      Each decision notice will bear the date on which they are published and will specify the date that the decision will come into force. Decisions may be implemented from 4.00 pm on the fifth day after the day on which the decision was published, unless before that time three members of the committee decide to call it in. The members must give notice in writing to the Head of Paid Service that they wish to call-in the decision, stating their reason(s) why the decision should be scrutinised.

 

14.6      The period between the publication of the decision notice and the time a decision may be implemented is the call-in period. The diagram below illustrates

 

 

 

14.7      A decision may not be called in if the overview and scrutiny committee has already made recommendations to the decision-maker and those recommendations have been accepted by the decision-maker either in whole or without significant addition or modification. 

 

14.8    Budget Scrutiny

 

Provided that the views and recommendations (if any) of the Y&NYCA Overview & Scrutiny Committee on the proposals for the Transport levy and statutory contributions, non-mayoral Y&NYCA Budget, Mayor’s draft General Budget and Mayoral combined authority precept have been formally reported to both the Mayor and the Y&NYCA and considered by them, the decisions of the Y&NYCA to set the annual budgets, levies and precept shall not be susceptible to call in. A report shall be provided to the next suitable meeting of the Y&NYCA Overview & Scrutiny Committee if its recommendations are not substantially accepted.

 

15         Call-in Procedure

 

15.1      The purpose of call in is to give the overview and scrutiny committee the opportunity to consider whether they should ask the decision maker to review their decision. If three members of the overview and scrutiny committee request to call-in a decision the Head of Paid Service must notify the relevant decision-maker of the call-in except where paragraph 16.4 applies.

 

15.2      The Head of Paid Service must then convene a meeting of the overview and scrutiny committee on such date as he/she may determine, where possible after consultation with the chair of the overview and scrutiny committee.

 

15.3      The meeting must be convened within ten working days of the decision to call-in. If it is not possible to convene a quorate scrutiny meeting within this period such a meeting must instead be convened as soon as practicable to consider the call in. The decision-maker will have the right to attend the meeting to explain the reasons for the decision and to answer questions at the meeting. At the scrutiny meeting in which the call-in is reviewed the overview and scrutiny committee will consider the reasons for call-in and the decision-maker’s response to any questions the committee may agree to. The committee may decide to:

 

a.            Make no recommendations (in which case the decision will stand and may be implemented with immediate effect); or

b.            Refer the matter back to the decision-maker with a recommendation that the decision-maker: changes aspects of the decision; reconsiders the decision in light of the committee’s views; or does something else before the final decision is made.

 

15.4      If a decision is referred by a meeting of the overview and scrutiny committee the decision-maker must reconsider the original decision before adopting a final decision. After reconsidering their decision, the decision maker must write to the overview and scrutiny committee and set out if they have amended their decision or explain the reasons why their decision stands.

 

16          Urgent decisions: Call-in

 

16.1      In York & North Yorkshire the grounds for a decision to be considered as urgent (and therefore not subject to call-in) are that if any delay likely to be caused by the calling in process would seriously prejudice the legal or financial position of the Y&NYCA or the constituent councils, or the interests of the residents of York and North Yorkshire.

 

16.2      The chair of the overview and scrutiny committee must agree both that the making of the decision is urgent, cannot reasonably be deferred and that it can be treated as a matter of urgency. In the absence of the chair of the overview and scrutiny committee, the chair of the Y&NYCA must agree the grounds of urgency, or in the absence of the chair of the Y&NYCA, the vice chair of the Y&NYCA may agree the grounds for urgency.

 

16.3      As soon as agreement has been obtained by the decision maker that the making of the decision is urgent the decision maker must publish a notice in its offices and on its website which states the reason why the decision is urgent and cannot reasonably be deferred.

 

16.4      Where a decision is exempted from call-in it will become effective immediately or (if later) as soon as the agreement of the chair of the overview and scrutiny committee (or of the chair or vice chair of the Y&NYCA) has been obtained.

 

16.5      Decisions taken as a matter of urgency must be reported to the next meeting of the Y&NYCA, together with the reasons for urgency.

 

16.6      The operation of the provisions relating to call-in and urgency shall be monitored annually, and a report submitted to the Y&NYCA with proposals for review if necessary.

 

17          Scrutiny Officer

 

17.1      The Y&NYCA must designate one of its officers as the scrutiny officer of the overview and scrutiny committee(s) to discharge the following functions:

 

(a)          to promote the role of the overview and scrutiny committee(s);

(b)          to provide support and guidance to the overview and scrutiny committee(s) and to members of such committees; and

(c)          to provide support and guidance to Members of the Y&NYCA and to the Mayor in relation to the functions of the overview and scrutiny committee(s).

 

17.2      The Y&NYCA may not designate as the scrutiny officer any officer of a Constituent Council.

 

             

 

 


 

 

 

PART 6

 

FINANCIAL PROCEDURES


PART 6 SECTION A – Y&NYCA FINANCIAL REGULATIONS THESE REGULATIONS APPLY TO ALL OFFICERS CONDUCTING Y&NYCA MATTERS INCLUDING GENERAL MAYORAL MATTERS BUT EXCLUDING THOSE SPECIFIC MATTERS RELATING TO MAYORAL POLICE AND CRIME COMMISSIONER FUNCTIONS WHERE THE REGULATIONS IN PART 9 WILL APPLY.

 

 

CONTENTS

 

1                   General

2                   Staffing

3                   Accounting Arrangements

4                   Banking and Cheques

5                   Budgetary Control

6                   Capital and Revenue Budgets

7                   Control of Expenditure

8                   Virements

9                   Balances, Reserves and Provisions

10                Borrowing and Investments

11                Contracts

12                Estates and Property

13                Assets for Disposal

14                Income 

15                Insurance

16                Risk Management

17                CIPFA Treasury Management Code of Practice 2011

18                Internal Audit

19                Requisitions and Purchase Orders

20                Payments

21                Petty Cash

22                Taxation

23                Internal Control

24                Stocks and Stores

25                Security

26                Purchase Cards

27                Bids for External Funding

 

 

 

 

 


 

1.            General

 

1.1.       These Regulations shall be read in conjunction with the Rules of Procedure (see Part 5A) and the Responsibility for Functions (see Part 3) where Y&NYCA general functions reserved to the Mayor are set out.

 

1.2.       These Regulations lay down for the guidance of Members and officers, principles to be followed in securing the proper administration of the Y&NYCA’s financial affairs and shall be reviewed at intervals of not more than three years.

 

1.3.       The Section 73 Officer, as the officer responsible for the proper administration of the Y&NYCA’s financial affairs, shall report to the Y&NYCA any significant failure to comply with these Regulations which comes to his/her attention.

 

1.4.       The Head of Paid Service and the Section 73 Officer shall be responsible for the accountability and control of all resources managed by them on behalf of the Y&NYCA.

 

1.5.       For the purposes of complying with these Regulations, the Section 73 Officer shall be provided with any information he/she may require and shall have access to any documents and records as necessary. 

 

1.6.       Whenever any matter arises which may involve financial irregularity