NATIONAL ASSOCIATION OF LOCAL COUNCILS 109 GREAT RUSSELL STREET LONDON WC1B 3LD
AND SOCIETY OF LOCAL COUNCIL CLERKS 1 THE CRESCENT, TAUNTON, TA1 4EA
Part 3
Guide to Good Employment Practice in Local Councils
1
Contents
Position, Status and Role of the Clerk to the Council The Range of Responsibilities Conduct of Councillors towards Employees Ethical Conduct By Employees Conflicting Situations Written Statement of Employment Particulars Salary Deputy and Assistant Clerks Pensions and Gratuities on Termination The Qualified Clerk Training and Recognition of Exam Success Part Time Working Calculating Leave for Part time Employees Home Working Maternity/ Paternity/ Adoption Leave Health and Safety at Work Inland Revenue Regulations Accounting For Salary Payments
1-10 11 12 13 14-17 18-29 30-39 40-41 42 43-48 49-52 53 54-62 63-69 70-72 73 74 75
Specimen Job Description Discipline and Grievance Procedures Health and Safety at Work
Appendix 1 Appendix 2 Appendix 3
2
THE RELATIONSHIP BETWEEN THE CLERK AND THE COUNCIL 1.
A local Council only functions well through partnership working between the Chairman, or Town Mayor, the Clerk to the Council and the Councillors. The most effective Councils are those where a climate of mutual respect has been achieved.
2
It is clear from research carried out by both NALC and SLCC that a root cause of any difficulties is often a failure of mutual recognition of role. This guidance seeks to set out the respective roles of the Clerk and Councillors in working together for the benefit of the community.
LEGAL ISSUES 3.
The Clerk and other officers of the Council are the employees of the Council corporate. No one Councillor, or group of Councillors may require the Clerk to the Council, or other Officers, to carry out any duty or function within the scope of their employment that does not have the sanction of the full Council acting under a majority decision. The Council has power to delegate functions to a Committee or Sub-Committee of the Council, who, having the sanction of the Council, may instruct the Clerk to the Council, or other Officers. Although it is usually the practice that the Chairman or Mayor gives the necessary directions to the Clerk, the Chairman has no right in law to give any directions others than those approved by the full Council. In particular, for example, the Chairman of Council has no powers to suspend or dismiss the Officers of the Council.
4.
It is often the case that the Clerk to the Council will be the only employee: in that case he or she will be ‘The Proper Officer’ of the Council (Local Government Act 1972 s.270 Pt.3, p7): the person responsible for formal acts and to whom all correspondence is addressed in the normal course of events, or for the service of legal documents. Where the Council has more than one Officer the Clerk to the Council will still be the Proper Officer, unless another employee has been made the ‘Proper Officer’ for some function or activity.
5.
The Clerk and all other employees are covered by all legislation relating to employment. The range of legislation relating to employment issues is very wide and a Council or Clerk finding themselves with some problem relating to the employment of the Clerk to the Council, or any other Officer or employee are advised to contact NALC or SLCC as appropriate for specialist advice. This course of action may help to avoid future difficulties, which can potentially be very expensive in terms of money and dislocation to the work of the Council.
POSITION OF THE CLERK TO THE COUNCIL 6.
The post of the Clerk to the Council should be seen as analogous to that of the Chief Executive in a County or District Council. A local authority operation consists of policy-making and decisions, and administration. The Chief
3
Executive is head of the administration and therefore responsible for all the work that is carried out within that function. Clearly there are differences in scale however, the Clerk to the Council is also solely responsible for the administration of that Council and, taking into account that he/she is often the sole employee at Officer level, has within his/her sphere a more immediate and arguably wider responsibility in relation to the organisation than his/her counterpart at County or District Council level 7.
Councillors should not take any responsibility for administrative, managerial or supervisory tasks: these are to be discharged by the Clerk. Problems will occur when Members sometimes try to take over the role of the Clerk to the Council, particularly in the case of the Chairman/Town Mayor or Councillors drafting the Minutes of Meetings, or writing letters from the Council on the grounds that the Clerk to the Council cannot be left to do it. If this assumption is correct then the Council has failed to appoint a suitable person to the office of Clerk to the Council. If, on the other hand, this action is simply a cover for Councillors to want to ‘do it their way’ it must be rejected as an entirely wrong mind set.
ROLE OF THE CLERK TO THE COUNCIL 8.
The Clerk is responsible for: • • • •
the administration of the affairs of the Council advising the Council on policy matters guiding the Chairman/Town Mayor on procedural issues ensuring that Council decisions after due deliberation are conducted according to the relevant rules, regulations and procedures. It is the duty of the Clerk as the Proper Officer to assist Members of the Council on matters of fact and law. Councillors (even where it is contrary to their personal wishes or expectations) should take fully into account the advice and guidance given by the Clerk to the Council on the existence and applicability of the relevant facts or the law. Councillors should then seek means to make their policy decisions taking into account such guidance. Councillors should also accept as a fact that it is the duty of the Clerk to the Council to minute any situation in which the advice given has not been heeded.
9.
As the Clerk to the Council or designated deputy may take any of the actions necessary to continue the running of the Council, where no decision between alternative courses of action is needed – without waiting for a decision of a Council Meeting. Normally such a decision would be reported to the next Council meeting. If a Member resigns his/her seat, the Clerk acts as soon as the written notice reaches the Chairman/Town Mayor. This is an automatic administrative function within the responsibilities of the Clerk to the Council as the Proper Officer. Other situations may be covered by the Council having given delegated powers to the Clerk to the Council eg. To act immediately in a situation under Health and Safety regulations where immediate emergency action is necessary. Or again, in the situation of advising the Council’s insurers of the addition of items, or changes, to the policy for cover. 4
10.
The Clerk to the Council is in the position of a non-partisan and independent Officer at the same time as being an employee. He or she must carry out the work and lawful instructions of the Council irrespective of any personal opinion or preference. The Clerk to the Council is likely to be required in the job description for their position to carry out research and provide information and draft documents upon which the Council may deliberate and decide on policy or courses of action. This is a key value added element for any Council and time and resource should be made available for the Clerk to the Council to be able to fulfil this duty. The Clerk to the Council should be aware that such drafts and proposals are for consideration by Council. Councillors should welcome the professional expertise of the Clerk to the Council in carrying out this valuable work and regard it as an asset to the work of the Council in the community. It should never been seen by Councillors as an interference in their prerogatives.
THE RANGE OF RESPONSIBILITIES 11.
Councils should remind themselves that the Clerk to the Council’s role is wide-ranging. It might well embrace the following, or more: • • • • • • • • • • • • • • • • • •
OFFICE MANAGER LEGAL OFFICER FINANCIAL ADMINISTRATOR ACCOUNTANT PURCHASING & SUPPLY OFFICER PUBLIC RELATIONS OFFICER LIAISON OFFICER WITH OTHER AUTHORITIES & BODIES RESEARCHER/CREATIVE WRITER PUBLISHER & EDITOR IT MANAGER/ WEBMASTER EMPLOYEE SUPERVISOR/ HR MANAGER TRAINING OFFICER PROPERTY MANAGER PROJECT MANAGER BURIAL AUTHORITY OFFICER VENUE MANAGER COMMITTEE SECRETARY CONFERENCE/SEMINAR ORGANISER, etc.
A Council should not consider the Clerk to the Council to be a secretary/clerk typist, but instead a hands-on multi-skilled manager (who may have to doubleup as secretary/typist on occasion). THE CONDUCT OF COUNCILLORS TOWARDS EMPLOYEES 12.
With the introduction of the Parish Councils (Model Code of Conduct) Order 2001 all Councillors have been required to sign to agree to observe the provisions in the regulations. Of particular note is the section in Para. 4 which
5
requires Councillors to treat officers with respect. Naturally this also works the other way. ETHICAL CONDUCT BY EMPLOYEES 13.
As a post holder in the public service sector the Clerk to the Council, Deputy and Assistant Clerk to the Council are expected to maintain a high standard of ethical conduct and not bring their Office or their Council into disrepute. There is a Model Code of Conduct (under consideration) to which the Clerk to the Council and other Officers will be expected to comply.
MANAGING CONFLICT 14.
There are regrettably isolated cases of disagreements arising between the Council and the Officers from time to time.
15.
Change is inevitable brought about by changes in legislation that impact on the smallest Local Council as on the largest. The Officers must be prepared to accept reasonable changes in working practice and all lawful requests. The Clerk will be the supervisor of all subordinate Officers and staff. Changes must be left to the Clerk to manage with his or her staff.
16.
The Clerk to the Council, Deputy Clerk to the Council and Assistant Clerk to the Council should seek and be encouraged by their Council to improve their knowledge by training and development . This is of material benefit to the Council.
17.
For various reasons it may be necessary to invoke the discipline or grievance procedure. The Employment Act 2002 (Dispute Resolution) requires a mandatory process to be in place.
WRITTEN STATEMENT OF EMPLOYMENT PARTICULARS 18.
The written statement or contract must be given within two months of the date on which the employee’s employment began. Any change in the particulars to be included in the written statement must be notified to the employee (again in writing) within four weeks of the effective date of change (Source Employment Relations Act1996 s.1 – 7). The contract should be kept under regular review ( i.e. at least every 2 years) to ensure it reflects the current employment situation.
19.
The written statement must be issued either as a single document that contains all the prescribed particulars listed (see below.); or the so called principal statement supplemented by two or more instalments containing the rest of those prescribed particulars.
20.
NALC and the SLCC strongly recommend that Councils make use of the model contract of employment provided together with this guidance as it includes all the major elements of the written statement of employment 6
particulars. Additional copies of the model contract and other documents are available through County Associations or the Society of Local Council Clerks’ website or from: The Society of Local Council Clerks, 1, The Crescent, Taunton, Somerset, TA1 4EA. PARTICULARS TO BE INCLUDED IN THE WRITTEN STATEMENT 21.
The written statement (whether presented in instalments or otherwise) must contain the following particulars:
a) b)
The names of the employer and employee; Either the place of work or, where the employee is required or permitted to work at various places, an indication of that and of the address of the employer; The date on which the employment began; The date on which the employee’s period of continuous employment began (which may differ form the date in (c) – taking into account any employment with a previous employer that counts towards that period; The title of the job that the employee is employed to do or brief description of the work which the employee has been employed to do; The scale or rate of remuneration (wages, salary, etc.) expressed as an hourly, weekly, monthly or annual figure, or the method to be used for calculating remuneration; The intervals at which wages or salary are to be paid (eg. weekly or monthly); Any terms and conditions relating to hours of work (including any terms and conditions relating to normal working hours); Any terms and conditions relating to the employees entitlement to holidays, including public holidays, special holidays and holiday pay (the particulars given being sufficient to enable the employee’s entitlement, including any entitlement to accrued holiday pay on the termination of employment to be precisely calculated); Any terms and conditions relating to incapacity for work due to sickness or injury, including any provision for sick pay; Any terms and conditions relating to pensions and pension schemes, plus a note stating whether there is in force a contracting-out certificate (Issued in accordance with Chapter 1 of Part III of the Pension Schemes Act 1993) stating that the employment is contracted-out employment (for the purposes of that part of the Act); The length of notice that an employee must give and receive to terminate his/her contract of employment; Where the employment is not intended to be permanent, the period for which it is expected to continue, or if it is for a fixed term, the date when it is to end; and particulars of any collective agreement that directly affects the terms and conditions of employment, including (where the employer is not a party to such an agreement); the names of the parties by whom the agreement was made;
c) d) e) f) g) h) i)
j) k)
l) m)
n) 22.
The written statement of employment particulars must contain (whether given in instalments or otherwise) all the particulars (a) to (n) in the summary above.
7
If there are no particulars to be entered under any of those headings, the statement must say so. A simple N/A or Nil is not acceptable. 23.
If the written statement of particulars is to be issued in instalments then the instalment known as the ‘Principal Statement’ must contain all the items (a) to (i). If issued in this way the Principal Statement and its instalments must still be given to each employee within two months of the date on which employment began.
24.
Referring an employee to the existence of headings is not allowable unless referring to documents explaining terms and conditions relating to sickness or injury heading (j) and (k).
25.
The Written Statement must also contain a note specifying any disciplinary rules that apply to the employee or referring the employee to a document that the employee must have a reasonable opportunity to read or that can be easily accessed. The note must also explain (by name or job title) a person to whom the employee can apply if dissatisfied with any disciplinary decision taken against them (and what process is necessary to register dissatisfaction).
26.
As well as the disciplinary procedure the note must contain a specification of how an employee may apply (by name or job description) for redress of a grievance relating to his/her employment. It should expressly include the reference to the right to be accompanied and represented at hearings of grievance and disciplinary hearings under the Employments Relations Act 1999 s. 10. The route of appeal against decisions must be stated to include both discipline and grievance procedures.
NB. 27.
A change in the regulations related to the Employment Act 2002, ( on Dispute Resolution ) came into force 1st October 2004 This focuses on either a 2- or 3Step process for the discipline and grievance procedure and the need for a process where conciliation and mediation play key roles. In essence, to ensure that all that is reasonable can be done, a Council would be well advised to ensure that as well as an appointed Discipline and Grievance Panel, it should also appoint an Appeals Panel of Members uncontaminated by the disciplinary decision-making process.
28.
The Employment Rights Act 1996 does not require an employee to sign his or her copy of the written statement but ideally it should be signed both by a representative of the Council and the employee.
29.
If the employment is part-time then the conditions attached to the employment as a result of the Part-time Workers (Prevention of Less Favourable Treatment) Regulations 2000 should also be shown. These are, in short, that no part-time worker may be treated less favourably (on a pro-rata basis) than a full-time worker doing a comparable job. In an instance where there is only one employee then a comparison will be drawn on a sectoral basis.
8
SALARY 30.
When determining the appropriate salary for an individual clerk the local council should consider the job profiles as shown in the National Agreement. The clerk’s job should be compared to the four job profiles to determine which is the appropriate national pay range to use. If the job is a very close match to a benchmark job profile, then the salary should be set within the substantive benchmark range.
31.
For example, a job that closely matches profile LC1 should be paid within the range Scp18-Scp22.
32
If the post is thought to be smaller than the profile the council should use points below the substantive range e.g. Scp 15-18, when determining the individual salary range.
33.
The points above the range could be used to recognise specific local factors e.g. staff numbers, local cost of living. Or specific individual factors, e.g. the acquisition of relevant competencies, exceptional performance.
34.
However the salary band is designed, the broader range provides the Council with an opportunity to be more proactive and flexible in its approach to individual pay management.
35.
Having therefore established the benchmark salary for the post, the Council should either;-
36.
Adopt a salary scale within the range. The salary will rise annually, by automatic increase on the 1st April each year (or such other date as may be agreed between NALC and SLCC) by incremental steps, to the scale maximum. Or alternatively:
37.
Adopt a single salary point (a ‘spot salary’) within the range. Where a single salary point is adopted, the Council should review the salary annually.
38.
In either case, the starting point or single salary point is to be chosen by reference to the following factors, insofar only as they vary from the description of the benchmark post: -experience and expertise -qualification -whether the clerk is also the Responsible Financial Officer -whether the council has developed increased functions as a result of Quality Council status or Band C/ Best Value applicability -the extent of functions devolved from principal authority level -staffing levels
39.
In the event that there is difficulty establishing an appropriate salary because of disagreement over the relationship with the benchmark or how the flexibility for other factors should be applied the post may be individually
9
evaluated using the NALC/SLCC evaluation scheme. This is an objective exercise which is validated both by the representatives of the Council and of the Clerk. The costs of this process are covered by the levying of a fee. For further details please contact local County Associations or The Society of Local Council Clerks, 1, The Crescent, Taunton, Somerset, TA1 4EA. DEPUTY AND ASSISTANT CLERKS 40.
Managerial and Administrative Staff below the level of Clerk to the Council should have appropriate terms and conditions which are related to those provided for the Clerk. Salary scales should be established which reward each post relative to the remuneration of the Clerk. Deputy Clerk’s for example have traditionally been paid a salary which is 75% of that of the clerk, but the salary must primarily reflect the weight and particular complexities of the post.
41.
Apart from role specific rewards and provisions such as Salary and Leave entitlement the basic conditions of service, including, sickness, benefits, pensions entitlements, procedures for grievance and disciplinary matters and termination should be the same for Deputy Clerks and Assistant clerks as they are for the clerk to the Council
PENSIONS AND GRATUITIES 42.
As part of the National Agreement all Local Council employees should ideally be able to participate in the Local Government Pension Scheme operated under the conditions laid down. This is a contributory scheme, full details of which are available in the booklet by each County Council. Employees may contract out of the scheme if they so choose. Where Councils choose to participate in the scheme the Council are required to pass a Resolution to that effect after having displayed a Public Notice for 28-days stating this intention. Both the National Association and the Society strongly recommend that Councils adopt the LGPS; but where the Council is unable to support membership of the scheme, the Council is recommended to put in place arrangements to provide for a gratuity at the end of the Clerks service. Councils and Clerks are reminded that it is illegal to discriminate in the provision of pension arrangements for employees and should therefore seek advice from NALC and SLCC on the legal requirements relating to the provision of gratuities.
THE QUALIFIED CLERK 43.
Ongoing training and development is essential to maintain the appropriate level of professional competence of the Clerk to the Council and the staff. One of the core tests for a Quality Council is that they have a qualified Clerk in post.
44.
Training is organised by County Training Partnerships at County level and courses are delivered by County Associations of Local Councils, The SLCC and other bodies such as the Regional Employers Organisation or the
10
University of Gloucestershire. The latter offer specialised courses in such things as Health and Safety at Work, etc. 45.
On appointment, if not already qualified, the Clerk to the Council and other Officers should be required to follow the process leading to the Certificate in Local Council Administration. This is the recognised way of being identified as a professional person working in the Clerk’s profession. This should be achieved either by gaining the certificate in local council administration or through the University of Gloucestershire Local Policy Studies courses. The Council should support employees in this matter through financing the training and associated expenses, travel etc. and ensuring that adequate time is made available for attendance at courses, tutorials and study. The matter of training and development is so important an issue that it should be contained as a clause in the job description of all employees of the council as a requirement of the job.
46.
Just as Councils are recommended to become members of their County Association and the National Association, The Clerk to the Council, and other officers should also be encouraged to become members of their professional body, the Society of Local Council Clerks. Councils have the power to pay the subscription fees for this under the Local Government Act 1972 LGA 1972).
47.
Annual Conferences and technical updating sessions run by NALC/ County Associations and the SLCC provide technical sessions on, for instance, new procedures, initiatives and regulations are learned. In the same spirit of learning, the opportunity to attend a local or county meeting of the Society of Local Council Clerks should also be encouraged. A great deal of crossfertilisation takes place at these events which is useful particularly for a new clerk.
48.
The Clerk should also notify all Councillors of courses and conferences that will be of benefit to them. This is particularly applicable to a new Chairman/Town Mayor where an interchange of views with other experienced counterparts offers considerable learning opportunities, even if it is only to fill in the picture concerning the role and work of their Clerk to the Council. Where there is an opportunity for The Clerk to the Council and a Councillor to train together this should be welcomed as of benefit to all.
TRAINING & RECOGNITION OF EXAMINATION SUCCESS 49.
Under the National Agreement up to three incremental awards for achievement of recognised qualifications should be awarded. One additional salary point will be added to the salary, up to a maximum of four points, for success in obtaining or already holding each of the following relevant qualifications: •
The Certificate in Local Council Administration And other relevant qualifications such as: 11
• • • •
the Certificate in Local Policy First Year the Certificate in Local Policy Studies the Diploma in Local Policy Studies BA(Hons) Degree Local Policy Studies (University of Gloucestershire)
50.
All councils should have a budget for ongoing training and development. Specific training should be provided for the Clerk, if appropriate, to assist them in achieving the qualifications to support quality council status. A range of options exist to provide this training. These include the SLCC Distance learning Course pack, Working with your Council, face to face Training with County Associations, Society branches or other providers such as the University of Gloucestershire. Councils should also budget for the fees involved in obtaining the AQA certificate including, if necessary, any retake fees.
51.
Apart from the funding Clerks should be given the time to train and undertake the portfolio. Councils should provide time off with pay for training courses and for the time involved in putting together the Portfolio.
52.
Training and qualifications which Clerks undertake should also be recognised. Employees will have existing contractual rights based in their ongoing employment. For example the achievement of Quality Parish status is likely to impact on the work of the Clerk and may lead to a need to change the terms and conditions of employment. All Clerks should be willing to respond to such requests in an appropriate time frame while councils should provide all the resources for them to do so. Councils should take appropriate steps to ascertain what support is necessary in their Clerk’s individual circumstances. Once accreditation is achieved it may be that the Council has an ongoing requirement for their Clerk to be qualified within the terms of the scheme, and if so then a new contract of employment should be negotiated and implemented with the agreement of both parties.
PART TIME WORKING 53.
When establishing the basic hours for the job of a Clerk to the Council several factors should be taken into account. Clerks to even the smallest or inactive Council’s will have workloads which require at least 4 paid hours a week. Additional duties and responsibilities will increase this requirement. The following Table is derived from a survey of all Clerks to Councils in England and Wales carried out by the Society of Local Council Clerks in 2003. It is recommended as the basis for consideration of the workload of the Clerk to the Council when setting the terms in the contract of employment. It may well be that the local situation introduces variables in the hours worked. The increased workload imposed by increases in the requirements to comply with new legislations and regulations should be taken into account as and when these are introduced.
12
Minimum Hours a Month Civic Area Population
Servicing Meetings
Under 250 251-500 501-800 801-1200 1201-1800 1801-2500 2501-3500 3501-5000
4.25 6.00 7.25 13.75 15.75 17.25 17.50 22.50
Financial Management 3.50 4.00 4.50 5.25 5.75 7.20 10.25 15.50
Admin Work
Other Work
2.50 4.25 4.50 11.75 12.00 14.25 19.25 25.00
2.25 4.00 7.25 8.25 9.00 11.00 19.25 25.00
CALCULATING LEAVE FOR PART TIME EMPLOYEES 54.
Where a member of staff works on a part-time basis and works the same number of hours per day from Monday to Friday, then the annual leave entitlement will be the same as that for a member of full-time staff. The only difference, of course, is that the payment for a "day" of annual leave for the part-time worker will be different from the payment for a day' s leave received by the full-time staff member.
55.
The case is not so simple for a member of staff who works on a part-time basis where the number of hours are not the same each working day or they do not work every working day of the week. Thefollowing step-by-step guide provides a calculation based on hours worked. These calculations need to be done annually to take account of the actual days when bank holidays and fixed closure days fall.
Step-by-step guide to calculating leave entitlement for part-time employees 56.
This guide uses the example of a Clerk working for a full day (7.4 hours) on both Wednesdays and Thursdays and for a part day (4.3 hours) on Fridays. This calculation is for the 2001/2 leave year commencing 1 October 2001, when Christmas Day and New Year' s Day fall on Tuesdays, with Boxing Day falling on a Wednesday. We assume fixed closure days on Maundy Thursday, Christmas Eve and New Year' s Eve (Mondays), the working days between Boxing Day and New Year' s Day (Thursday 27 and Friday 28 December) and 2 January (Wednesday).
Step one: identify the equivalent full-time total leave entitlement 57.
Normal leave entitlement is as a minimum 22 days plus a further 5 days after 5 years, giving 27 days plus 8 public holidays.
Step two: calculate the proportion of full-time hours to be worked by the parttimer
13
58.
In this example full-time hours are 37 per week and our part-timer works a total of 18.9 hours per week, which is 51 per cent of the full-time hours.
Step three: calculate a pro rata leave entitlement 59.
A part-time employee is entitled to a leave allowance in the same proportion to that of a full-timer as his or her working hours. In our example the full time leave allowance is 259 hours. The part-timer works 51 per cent of full time hours and is therefore entitled to a leave allowance equalling 51 per cent of 248.2 hours. This works out at 132 hours of leave inclusive of personal leave, any fixed closure days, and public holidays.
Step four: calculate the personal leave entitlement 60.
To calculate the employee' s personal leave entitlement for the year, deduct the appropriate number of hours for any fixed closure days and bank holidays which fall during that particular year on days when he or she would otherwise have been due to work. In our example, these days are: Boxing Day (7.4 hours), Thursday 27 December (7.4 hours), Friday 28 December (4.3 hours), Wednesday 2 January (7.4 hours), and Good Friday (4.3 hours), making a total of 30.8 hours. Deducting this from the total of 132 gives 101.2 hours of personal leave entitlement.
Step five: keeping the leave record 61.
Establish a leave record indicating a total allowance of 132 hours. Deduct all hours of leave as they are taken. So if the part-timer in our example takes a week' s personal leave, you deduct 18.9 hours. If he or she takes a day' s leave (i.e. does not work on a day when he or she would otherwise have been due to work), whether this is a bank holiday, fixed day of closure or personal leave, you deduct 7.3 hours for a Wednesday or Thursday and 4.3 hours for a Friday. No deduction should be made for bank holidays or fixed closure days which fall on days when the part-timer would not have been due to work, in this instance on Mondays or Tuesdays.
62.
N.B. Note that, because at least three of the eight bank holidays each year fall on Mondays, a part-time member of staff whose working pattern includes Mondays may in many years benefit disproportionately compared with an employee who, as in the example above, does not work on Mondays. If the recommended method of calculation has not previously been followed, making the adjustment to the personal leave calculation now required by the Part-Time Workers Regulations may mean that such an employee has a lower personal leave entitlement than in previous years.
HOME WORKING 63.
For many Parish and community councils it is convenient if the Clerk agrees to be based in their own home. This avoids the need to procure a separate Parish Office. Where a Clerk agrees to work from home this then becomes the 14
address of the parish Council and the council needs to ensure both that it is and appropriate workplace and that the clerk is compensated for the costs incurred 64.
If the Council requires that the Clerks Office for the purposes of the Council is their own home then it should carry out a Risk Assessment to check the accommodation to ensure that Health and Safety regulations are met, that there is appropriate fireproof storage for documents. The Council should meet the cost of ensuring that these conditions are met.
65.
The Council should reimburse all expenses incurred by the Clerk in the discharge of the duties of the Office of The Clerk to the Council that are approved by the Council. This includes the cost of all stationery and consumables and Computer consumables against which should be reimbursed against vouchers/invoices submitted to the Council. The Council should also provide a separate telephone/fax line or reimburse all telephone/fax call expenses incurred on a private line against an itemised account.
66
The Council should pay an agreed sum to take into account the use of space, lighting, heating and electricity due to working from the private premises .
67
The Council will provide a dedicated computer or pay an agreed sum on a quarterly basis to include depreciation for the use of a private computer belonging the Clerk to the Council. The Council should also pay for all necessary computer software or upgrades required for the Clerk to the Council to fulfil the duties required by the Council.
68.
The Council should also fully indemnify the Clerk for both Employers and Public Liability Insurance for working from their own premises or any additional premium required by the Clerk’s own insurance.
69.
Clerks should make themselves available to meet the public during specified hours at the Parish Councils’ office. If this is the Clerk’s home they may be expected to invite strangers in as a matter of course. The Council should be responsive to the wishes of a Clerk who does not wish this to happen and make arrangements for them to deal with the public at published times at some other location such as the library or a local office of the District Council
MATERNITY/PATERNITY/ADOPTION LEAVE 70.
The Employment Act 2002 made changes to the arrangements for leave in the case of either/or maternity, paternity, or adoption circumstances arising. Further changes to these statutory provisions are under consideration by the Secretary of State.
71.
Increased maternity, paternity and adoption rights for employees apply under the Employment Act 2002. The Act has provided that parents will be entitled to:
15
• • • • 72.
26-weeks paid maternity leave (ordinary maternity leave) and a further 26-weeks unpaid maternity leave (additional maternity leave) for working mothers; 26-weeks paid (ordinary adoption leave) and a further 26-weeks unpaid leave (additional adoption leave) for working adoptive parents; 2-weeks paid paternity leave for working fathers; an increase in the weekly rate of statutory maternity pay to £100; 13-weeks unpaid parental leave for working parents.
During periods of paid maternity leave (ordinary or additional), paid paternity leave or paid ordinary adoption leave, the employee is to be treated as working normally and receiving normal remuneration payable for doing so. If the rules of the pension scheme require the employee to contribute towards her/his occupational pension her/his contribution should be based on the amount of statutory or contractual salary which is being paid to her/him.
HEALTH & SAFETY AT WORK 73.
Under the Health and Safety at Work Act 1974 and Management of Health and Safety at Work Regulations 1999 a general or specific duty of care is placed on all employers to protect the health, safety and welfare of all employees while at work. There is a corresponding duty on all employees to conduct themselves at work in such a way as not to put at risk other employees and members of the public
INLAND REVENUE REGULATIONS 74.
The clerk to the council is in law an office holder and cannot be deemed to be self employed in this role, even if they are self employed in other activities. If the Clerk to the Council is an employee elsewhere they are still classed as an Office Holder for the work as Clerk to the Council. All payments received for the work as clerk, whether described as an honorarium, a salary or an allowance are therefore chargeable under schedule E with liability for National Insurance contributions.
ACCOUNTING FOR SALARY PAYMENTS 75.
A Council should take particular note that a failure on the part of the employee or the Council to act properly in the matter of advising the Revenue of their taking up the position of Clerk to the Council leaves a Potential liability on the Council for all unpaid Tax and National Insurance contributions, both Employers Contributions as well as those of the employee. There is also the possibility of a fine being imposed by the Inland Revenue.
16
Appendix 1 SPECIMEN JOB DESCRIPTION – CLERK TO THE COUNCIL Overall Responsibilities The Clerk to the Council/Town Clerk will be the Proper Officer of the Council and as such is under a statutory duty to carry out all the functions, and in particular to serve or issue all the notifications required by law of a local authority' s Proper Officer. *The Clerk will be totally responsible for ensuring that the instructions of the Council in connection with its function as a Local Authority are carried out. *The Clerk is expected to advise the Council on, and assist in the formation of, overall policies to be followed in respect of the Authority' s activities and in particular to produce all the information required for making effective decisions and to implement constructively all decisions. The person appointed will be accountable to the Council for the effective management of all its resources and will report to them as and when required. *The Clerk will be the Responsible Financial Officer and responsible for all financial records of the Council and the careful administration of its finances. Specific Responsibilities 1.
To ensure that statutory and other provisions governing or affecting the running of the Council are observed.
2.
To monitor and balance the Council' s accounts and prepare records for audit purposes and VAT. * Or to monitor the work of a designated other officer designated the Responsible Financial Officer.
3.
To ensure that the Council' s obligations for Risk Assessment and to ensure are properly met.
4.
To prepare, in consultation with appropriate members, agendas for meetings of the Council and Committees. To attend such meetings and prepare minutes for approval. *Other than where such duties have been delegated to another Officer.
5.
*To attend all meetings of the Council and all meetings of its committees and sub-committees. *Other than where such duties have been delegated to another Officer.
6.
*To receive correspondence and documents on behalf of the Council and to deal with the correspondence or documents or bring such items to the attention of the Council. To issue correspondence as a result of instructions of, or the known policy of the Council.
17
7.
To receive and report on invoices for goods and services to be paid for by the Council and to ensure such accounts are met. To issue invoices on behalf of the Council for goods and services and to ensure payment is received.
8.
*To study reports and other data on activities of the Council and on matters bearing on those activities. Where appropriate, to discuss such matters with administrators and specialists in particular fields and to produce reports for circulation and discussion by the Council.
9.
To draw up both on his/her own initiative and as a result of suggestions by Councillors proposals for consideration by the Council and to advise on practicability and likely effects of specific courses of action.
10.
To supervise any other members of staff as their line manager in keeping with the policies of the Council and to undertake all necessary activities in connection with the management of salaries, conditions of employment and work of other staff.
11.
To monitor the implemented policies of the Council to ensure they are achieving the desired result and where appropriate suggest modifications.
12.
To act as the representative of the Council as required.
13.
To issue notices and prepare agendas and minutes for the Parish Meeting: to attend the assemblies of the Parish Meeting and to implement the decisions made at the assemblies that are agreed by the Council.
14.
To prepare, in consultation with the Chairman, press releases about the activities of, or decisions of, the Council.
15.
To attend training courses or seminars on the work and role of the Clerk as required by the Council.
16.
To work towards the achievement of the status of Qualified Clerk as a minimum requirement for effectiveness in the position of Clerk to the Council.
17.
To continue to acquire the necessary professional knowledge required for the efficient management of the affairs of the Council: Suggested is membership of your professional body The Society of Local Council Clerks.
18.
To attend the Conference of the National Association of Local Councils, Society of Local Council Clerk’s, and other relevant bodies, as a representative of the Council as required.
18
Appendix 2 DISCIPLINE AND GRIEVANCE PROCEDURES From 1st October 2004 all employers will be required to have in place a formal Grievance & Discipline policy and procedure. The previous exemption for an organisation with less than twenty employees will be withdrawn. (Employment Act 2002). The part of the Act that relates to this matter will also require that an employer goes through a careful internal process using either the 3-step or 2-step procedure and makes every attempt at conciliation. Any Employment Tribunal that subsequently becomes involved will take this process into account. Failure to follow the procedure may result in a reduction or increase in the awards made on a finding by the Tribunal. It is expected that minor lapses by an employee will be dealt with reasonably by internal processes. This part of the Act also allows the Employment Tribunal to impose a fine of up to £5000 where either party to a matter before it has either not prepared their case properly, complied with the requirement to use the internal 3-Stage or 2-stage process or has brought vexatious proceedings. GRIEVANCE PROCEDURE The objective is to have in place a framework for dealing swiftly and in a fair and consistent manner with a complaint from an employee that has not been dealt with by the process of good management in the workplace. Having a formal grievance procedure acknowledges the rights of employees in Employment Law to be treated fairly and to be able to seek redress for a grievance that is related to their employment. KEY FEATURES • • • • • • • •
The procedure must be part of the Terms and Conditions in the employees contract The procedure must relate to a published policy Grievances must be made in writing by the employee The procedure must be seen to be fair and reasonable Grievances must be quickly dealt with (3-5 Working Days) The procedure must let the employee express his/her grievance to a/the senior person The procedure must give an opportunity to make clear the grievance The procedure must get (if possible) a swift resolution of the problem 19
•
Provide the employee with all information necessary for them to progress their grievance to the highest level within the council
LACK OF PROCEDURE The results of a lack of a formal procedure can be several. Crucial are: • • • •
Employment Tribunal Cases Damage to the Council Potentially expensive consequences Disciplinary Proceedings
THE LAW & EMPLOYEE RIGHTS • • • • • • • • •
Employment Rights Act 1996 Employment Relations Act 1999 Employment Act 2002 The Prevention From Harassment Act 1997 Health & Safety at Work Act 1974 Disability Discrimination Act 1995 Management of Health & Safety at Work Regulations 1999 The Part-Time Workers (Prevention Of Less Favourable Treatment)- Regulations 2000 Sex Discrimination Act 1975
The Employment Rights Act 1996 makes it mandatory for an employee to have a written statement of employment that spells out the main terms and conditions of that employment. This must include directions to the person to whom the employee can apply for redress for any grievance related to his/her employment. NB. An employer cannot get away through omitting this part of the written statement (contract). All employees are still covered by an implied term that this procedure will exist. The Employment Relations Act 1999 s.10 requires employers to allow an employee to be accompanied by a person of their choice at a grievance meeting. Self-employed people are covered by this provision. •
The employee is protected against victimisation by the employer through seeking grievance procedures
20
•
The chosen person may address the hearing on behalf of the employee, ask questions & be given time in private to confer with the employee
•
The rights do not extend to answering questions on behalf of the employee
•
Failure to allow an employee to be accompanied may result in a complaint to an Employment Tribunal and, possibly, a quite substantial award made against the Council
THE CONCEPT OF NATURAL JUSTICE The following are time-tested benchmarks that, if not followed, inevitably work to the disadvantage of an employer at the Employment Tribunal stage: •
Grievance procedures should be fair and seen to be fair and must follow the procedure laid down in the Employment Act 2000 (Dispute Resolution)
•
A complete investigation of the matter should be carried out by a non-involved individual to establish the facts of the matter
•
Every employee has a right to be heard
•
It is the facts that matter
•
Any employee who has any special needs requirements should be provided with all necessary assistance to permit them to have a fair and just hearing
•
An employee who has brought a grievance should not subsequently be disadvantaged
THE PENALTY FOR NON-COMPLIANCE The employer that does not comply faces an almost certain breach of contract claim by an employee. The employee will be entitled to resign and claim constructive dismissal. OTHER LEGISLATION • •
Data Protection Act 1998 Freedom Of Information Act 2000
21
•
Public Interest Disclosure Act 1998 (Whistle Blowers)
Both the Data Protection Act and the Freedom Of Information Act have implications in the area of record keeping and access. Records in relation to Grievance (and Disciplinary) matters are classified as confidential and the public or other members of the organisation without a need to know do not have access. A copy of the record of the proceedings and results must be given to the employee. THE GRIEVANCE POLICY DOCUMENT THE AIM OF OUR GRIEVANCE POLICY IS TO RESOLVE ANY GRIEVANCE AS SWIFTLY AND FAIRLY AS POSSIBLE THE PROCEDURE WILL BE OPERATED IN ACCORDANCE WITH THE EMPLOYMENT ACT 2000 (Dispute Resolution) A COPY OF THE FULL POLICY DOCUMENT AND PROCEDURE IS AVAILABLE TO BE READ AT….AND YOU MAY HAVE A COPY ON REQUEST WE WILL DEAL WITH ANY MATTER RELATING TO EMPLOYMENT WITH THE EXCEPTION OF THE OUTCOME OF DISCIPLINARY PROCEEDING YOU HAVE THE RIGHT TO BE ACCOMPANIED BY A PERSON OF YOUR OWN CHOOSING WHO MAY SPEAK ON YOUR BEHALF, ASK QUESTIONS, BUT NOT ANSWER QUESTIONS PUT TO YOU. YOU AND YOUR COMPANION/REPRESENTATIVE WILL BE PROVIDED WITH ANY MATERIALS, PAPERS, etc. NECESSARY FOR YOU TO MAKE YOUR CASE WE WILL MAKE EVERY EFFORT TO ACCOMMODATE ANY PERSON WHO HAS SPECIAL NEEDS IF WE ARE ADVISED OF THE SITUATION YOU HAVE THE RIGHT OF APPEAL AGAINST A DECISION TO THE APPEALS PANEL THE PROCEEDINGS •
You should make your grievance known in writing to the Chairman of Council
•
The time and place of the hearing must be notified and agreed with adequate time to prepare and attend
•
It should not be at some venue that is particularly inaccessible
22
•
Provision should be made for any person with a disability or whose first language is not English
•
The proceeding should not be interrupted for any reason (Health &Safety excepted)
•
The person accompanying the employee should be notified
•
The person accompanying the employee must be given time off to attend
•
A written record of the proceedings must be kept
•
The procedure must be the same for all employees
•
The proceedings should not be held in quasi-judicial language or process but be simple to follow and understand
•
The proceedings should be timely. allowing the matter to hang fire)
•
By agreement to allow for an impartial external facilitator to be engaged in the proceedings.
(Justice is not served by
Any employee who presents with a grievance should be encouraged in the first place to resolve the matter, if possible, by informal discussion with a colleague/senior colleague. Under the Employment Act 2002 this becomes part of an implied process aimed at achieving conciliation if possible. THE RACE RELATIONS (AMENDMENT) ACT 2000 All employers should note the necessity of making every effort to ensure the equality of every aspect of the procedure for any person who is of ethnic origin other than English. Under the provisions of the Act all Local Councils have a General Duty to comply. As colleagues will be aware that extends to the collection of statistics and completing returns on an annual basis. Any employing Council that did not make every effort to comply with the Act would be in a potentially very serious breach. The possibility is a complaint either to an Employment Tribunal or to the Equal Opportunities Commission. WHAT COMES NEXT? When every aspect has been explored the appropriate remedial action, if justified, should be taken. This may mean making changes to procedures, working practices or the behaviour of others. It is essential that what is agreed to be done is seen to be done. So,
23
•
Consider implications and costs
•
Do not allow too much time to elapse before making clear what is expected
•
Agree and publicise workable solutions
•
Monitor the results
•
Record and learn for the future
NEW LAW – EMPLOYMENT ACT 2002 Within this Act is the provision for changes to the way in which Employment Tribunals work. A corollary of this is that a 3-Stage or 2-Stage process before bringing a case to them is required of an employer/employee. Put simply, it is that a full internal process takes place within an organisation to try and sort out problems and reconcile differences before the matter reaches the stage of a Tribunal hearing FINALLY Many people in positions of authority assume (quite wrongly) that they are managers competent in every field. Even basic interviewing is a learned skill. The process of dealing with people in a Grievance or Disciplinary situation requires even more skill and knowledge. To fail to be adequately prepared and trained may well be a recipe for total disaster. The penalties for getting it wrong range from embarrassing to disastrous for a Council. The maximum award for unfair/constructive dismissal could be as high as £53,500, plus the damage to reputations. Further, even at the initial presentation stage at an Employment Tribunal could result in unnecessary cost. Under the Employment Act 2002 a Tribunal will have the power to –in effect – fine an employer up to £5000 (or for that matter an employee) who does not bring their case following the proper procedure and properly prepared and presented. DISCIPLINE PROCEDURE Disciplinary matters will come about in any work place from time-to-time. There will be a number of reasons why this occurs. One cause, amongst others, is where the relationship of mutual trust and respect between the employee and the employer has broken down, or been broken down. Employers should take every possible step through good management practices and procedures to ensure that this situation has not been reached by being ineffective in their management of work and employees. (See Grievance Procedures). Disciplinary proceedings are not to be considered as a first step (excepting 24
exceptional circumstances of Gross Misconduct), or purely as a means of imposing strictures on an employee, especially if the first thought is that it is a means of dismissing the person. This is bad management and might well be a fast track route to an Employment Tribunal with a case of Unfair Dismissal. COMMON PROBLEMS These often arise from a few situations: • Failure to follow instructions • Breaches of Council policy • Breaches of regulations governing conduct in the workplace • Behavioural & conduct problems • Breaches of confidentiality • Failure to comply with lawful requirement of the employer • Unauthorised absence • Misuse of Council property/facilities • Failure to comply with workplace targets • However, a distinction should be drawn between the conduct of an employee and their capability. In the case of a problem due to capability there needs to be a very careful consideration of the factors. These may be lack of skill or knowledge; illness or some unrecognised disabling factor, or some external factors non-workplace based having an influence on performance in the workplace (serious home-based problems). An employer should always explore the factors with care and sensitivity. If the matter is based in lack of skill or knowledge then the employer has a duty to ensure that by training, mentoring, guidance, the employee has an opportunity to improve. The matter can then be re-assessed after a reasonable interval. WHY HAVE A DISCIPLINARY PROCEDURE? Put simply it gives everyone a firm base to know where they stand. Bear in mind that the failure to have any standards not only means a sloppy organisation, it inevitably means that if an employee is challenged on an issue she/he might justifiably reply: “I wasn’t told that and it doesn’t say that anywhere.” It means that an employer is on shaky ground when it comes to trying to make discipline stick – unless it is for obvious gross misconduct. THREE IMPORTANT ACTS Employment Rights Act 1996 – Employment Relations Act 1999 – Employment Act 2002 If you end up in front of an Employment Tribunal because you have dismissed someone they will expect you as the employer to be able to show under the first that:
25
• •
You have a clear reason for dismissal related to the employees’conduct That you have acted reasonably in treating this as a sufficient reason to dismiss the person
The second Act requires that you will have made every effort to ensure that the employee is aware that someone may accompany them to the disciplinary hearing. This applies even if you are classed as self-employed. • • •
The Act enshrines the principle that no person will be victimised as a result of acting as a representative of the person before the disciplinary hearing The employer must postpone the hearing for up to five working days from the day after the hearing was called for if the chosen representative is not available The representative may ask questions of the hearing panel and speak on behalf of the employee brought before the panel, but may not answer questions put to the employee
As soon as the provisions of the Employment Act 2002 are in place you will have to have in place a formal internal process that takes account of the need for investigation, award of appropriate penalties and a conciliation procedure. CONTRACTS If the disciplinary procedures are incorporated into the wording of a current contract the stages of the disciplinary process may be spelled out, or where access to the policy and procedures documents can be had.. If this is not adhered to exactly then an employee may be able to bring a case of breach-of-contract. They should always specify to whom an appeal can be made against a disciplinary decision. DISCIPLINARY PROCEDURES – LINKS TO GRIEVANCE PROCEDURES It is likely that most Council swill have both sets of procedures built into the contracts of their employees. Both should be carefully followed for the reasons given above. However, if as the result of a disciplinary hearing an employee decides to bring a grievance about the conduct of any person handling the disciplinary matter, they are entitled to use the grievance procedure to do so. DISCRIMINATION It is essential to carefully observe the principles of the legislation that applies to matters of discrimination. This is a particularly sensitive area where there may be circumstances of disability, learning difficulties, or relating to a person who does not have English as a first language. Every effort must be made to ensure that all steps are taken to provide whatever assistance is need to the person concerned in the interest of natural justice. (See Grievance Procedure). It is strongly advised that councils set up separate Discipline and Grievance Panels and an Appeals Panel comprised of 26
Councillors who are uncontaminated by any of the processes relating to the former. In addition, wherever possible the panels should comprise a gender and ethnic balance. NATURAL JUSTICE No disciplinary hearing or the decision of a disciplinary hearing will be found to be safe if the following main principles are not observed: • • • • • • • • •
The employee must be informed fully of the matter in writing what it is that is considered to warrant a disciplinary hearing The matter must be investigated fully and thoroughly The employee must be given reasonable time to prepare a defence (5-7 days) The precise allegations should be read out at the start of the hearing The employee must be given adequate time to answer the allegations The employees representative/friend should be in possession of all the documentation that has been given to the employee The employee (or representative) should be allowed to challenge any matters that will be used by the employer to make their decision The panel hearing the matter must keep an open mind and not prejudge the matter There must be the opportunity for the employee to appeal any decision to a non-involved third party
The standard of proof before a disciplinary hearing, or indeed an Employment Tribunal is whether the matter has been proven on the balance of probability rather than proved beyond all reasonable doubt. PENALTIES The range of situations that bring people before a disciplinary hearing can be many. They can vary from the vexatious to the extremes of damage to the Council or other employees. Penalties should therefore be graded. In general it is also a matter of natural justice and good management that will indicate what is appropriate SANCTIONS So, grade sanctions to what is appropriate, and taking into account the employee track record. The following is suggested as a guideline: First problem & a minor one <>
Verbal Warning given by Chairman
27
Second time & minor
<>
Further Verbal Warning from Chairman
More serious matter
<>
First Written Warning from Council
Second time & serious
<>
Final Written Warning from the Council
Gross misconduct
<>
Suspension on full pay & Hearing
It is not, of course, necessary to proceed through each level to the top, as it were. Depending on the severity of the matter the procedure can, after proper consideration, go to any higher stage immediately. GROSS MISCONDUCT This will be a substantial matter and is usually clearly recognised as such ie. theft, deliberate harm to or misuse of/to Council property, causing harm to a fellow employee, etc. In a case of gross misconduct the employee may be summarily dismissed in which case their recourse is to an industrial tribunal. Alternatively the employee should immediately be suspended on full pay while an investigation is carried out and disciplinary proceedings are instigated PAPERWORK It is a requirement that all paperwork associated with the matter of a Disciplinary Hearing is kept under the Confidential Information clauses of both the Data Protection Act 1998 and the Freedom Of Information Act 2000. First Written Warning. This should be kept on file for 6-months then destroyed and the employee advised of the fact. Final Written Warning. This should be kept on file for 12-months then destroyed and the employee advised of the fact. FINALLY Be seen to follow procedures and act fairly and reasonably.
28
Appendix 3 HEALTH AND SAFETY AT WORK The requirements of the Health & Safety at Work Act 1974 and the Management of Health & Safety at Work 1999 Regulations, are supplemented by a large number of regulations and codes of practice dealing with particular aspects of health and safety. To that end every employer must: •
provide and maintain plant, machinery, equipment, tools, appliances and systems of work which are, so far as is reasonably practical, safe and without risk to health.;
•
arrange, so far as is reasonably practical, that employees are not put at risk (or exposed to risk) in connection with the use, handling, storage or transport of dangerous articles and substances (such as chemicals, dusts, noxious fumes or vapours, etc);
•
provide as much information, instruction, training and supervision as is necessary to ensure, so far as is reasonably practical, the health and safety at work of the employees;
•
ensure, so far as is reasonably practical, that the buildings, offices, workshops, and other areas or places in which people are employed to work, are safe and without risks to health;
•
provide and maintain a working environment (including facilities such as toilets, washrooms, cloakrooms, rest areas and the like) which, so far as is reasonably practical, is not only safe and without risks to health, but also adequate in terms of heating, lighting, ventilation and seating, etc.
•
Safeguard the employee from inappropriate behaviour by others.
The employer also has a duty of care so to conduct his undertaking in such a way as to ensure, so far as is reasonably practical, that persons not in his employment (contractors, tradesmen, etc.) who may be affected thereby are not needlessly exposed to risks to their health or safety. That same general duty of care extends to other persons (members of the public, customers, guests, clients, etc.) on the employer’s premises who may be affected by the way he conducts his business (Source HASAWA 1974 s.3). RISK ASSESSMENT Regulation 3 of the Management of Health and Safety at Work Regulations 1999 imposes a duty on every employer to make a ‘suitable and sufficient assessment ‘of 29
the risks to which his employees are exposed while they are at work, and of any risks to members of the public (customers, clients, visitors, guests, passers-by) who may be affected by the way in which he conducts his business or undertaking. The purpose of this assessment is to identify the measures the employer needs to take to comply with the restrictions and prohibitions imposed upon him by or under extant health and safety legislation. Risk assessment is mandatory under each of the following Regulations: • • • • • • • • • •
the Management of Health and Safety at Work Regulations 1999 the Provision and Use of Work Equipment Regulations 1998 the Fire Precautions (Workplace) Regulations 1997 the Construction (Health, Safety and Welfare Regulations) 1996 the Chemicals (Hazard Information and Packaging for Supply) Regulations 1996 the Manual Handling Operations Regulations 1992 the Personal Protective Equipment at Work Regulations 1992 the Health and Safety (Display Screen Equipment) Regulations 1992 the Workplace (Health and Safety Welfare) Regulations 1992 the Electricity at Work Regulations 1989
Risk assessment is a systematic general examination of working conditions, workplace activities and environmental factors that will enable the employer to identify any and all potential risks inherent in the place or practices. Based on a recorded assessment the employer should then take all practical and necessary steps to reduce or eliminate the risks, insofar as is practically possible. Making sure that all employees are made aware of the results of the risk assessment. It is sensible to appoint one member of staff with responsibility for undertaking risk assessments, making reports to the Council and having oversight of any measures including training, which is put into place to ensure compliance with the regulations and good practice
30
