Memorandum of Understanding

The Memorandum of Understanding sets out the key working arrangements between the Commissioner and the Chief Constable.

The Commissioner and the Chief Constable have specific roles to fulfill and from a legal perspective, it is Julia’s job to hold the Chief Constable to account. However, both Julia and the Chief believe that to do this effectively on behalf of the public, they need to work in close co-operation and partnership. Local governance and structures have therefore been designed specifically to facilitate this.

Key to understanding the partnership is a local ‘Memorandum of Understanding’ between the two roles.

Our memorandum sets out how the Chief and the Commissioner will fulfill their duties to develop a positive and constructive working relationship, which will be mutually supportive yet constructively challenging.

The Memorandum of Understanding sets out:

  • Our approach to certain services operating on a joint corporate basis
  • Our refreshed definition of ‘Significant Public Interest’ recognising the importance we place on decisions including innovation, investment, income and public interest
  • Our high level information sharing arrangement
  • Our recognition of the importance of the functions of statutory officers (our Monitoring Officer Protocol and our Chief Finance Officer Protocol)
  • Our shared commitment to transparency

 


Memorandum of Understanding

Second Memorandum of Understanding between The Police and Crime Commissioner for North Yorkshire and The Chief Constable of North Yorkshire Police

THIS SECOND MEMORANDUM OF UNDERSTANDING IS MADE THE FIRST DAY OF APRIL 2014 BETWEEN THE POLICE AND CRIME COMMISSIONER FOR NORTH YORKSHIRE and THE CHIEF CONSTABLE OF NORTH YORKSHIRE POLICE (and where appropriate collectively called “the Commissioner and the Chief Constable”)

  1. AIM 
    1. The Commissioner and the Chief Constable consider that the tenor of their relationship should be one of goodwill, professionalism, openness and trust in line with paragraph 8 of the Protocol.
    2. Both consider that this standard, set out in their First Memorandum of Understanding, has been met since they took office.
    3. This Second Memorandum of Understanding, amending and supplementing the first, aims to set out in formal terms the shared vision for:
      1.  ways of working which respect, but are not constrained by, the conventional ways of characterising the relationship between a local policing body and a chief officer;
      2. collegiate decision making and effective ways of undertaking scrutiny
      3. the kinds of decisions which should be treated as significant public interest issues;
      4. high-level provision for information-sharing between the two corporate bodies
      5. catering for dispute resolution, in the unlikely event that it occurs;
      6. underlining the commitment of the Commissioner and the Chief Constable to good governance and lawful decision making.
      7. supporting and embedding the Nolan principles
      8. agreed working definitions of legal expressions; 
  2. NATURE OF THIS DOCUMENT 
    1. This document is not contractual in nature and is not itself intended to be legally binding.
  3. JOINT CORPORATE SERVICES & OPERATIONAL INDEPENDENCE
    1. The Commissioner and the Chief Constable recognise and respect the constitutional convention that separates the exercise of police powers from the executive
    2. They recognise and respect the established legal principle that in the discharge of police powers, a constable acts upon his own responsibility; and that a constable is the agent neither of the Commissioner nor the Chief Constable
    3. The Commissioner and the Chief Constable have made a Transfer Scheme which underpins their cooperative approach to service provision.
    4. In order to make embed those joint working conventions they will
      1. respect the unfettered independence of the office of constable;
      2. respect the Chief Constable’s accountability to the law for the exercise of police powers
      3. note and respect the non-exhaustive list of examples of the Chief Constable’s direction and control as set out at paragraph 33 of the Protocol
      4. give effect to the accountability framework set out in the Protocol
      5. commit to making public accountability work, for the benefit of the delivery of efficient and effective policing.
      6. note and respect the development, at common law, of the concepts of operational independence and of direction and control as considered by the courts from time to time.
      7. allow their relationship to be guided by those authorities, but to establish such new and innovative divisions of responsibility for the exercise of duties and responsibilities as appear to them to be in the interests of efficiency and effectiveness
      8. in principle, operate on the basis that any organisational sub-division (whether directorate, department, team, or unit) whose remit does not include the exercise of police powers, could in principle provide services on a joint basis, to both corporate bodies
      9. provide staff to each other where there is a need to do so, ensuring that proper account is taken of the need for staff to plan and organise their capacity where they are called upon to serve more than one corporate objective
  1. WAYS OF WORKING
    1. In line with the spirit of this Memorandum, the Commissioner and the Chief Constable declare their intent to work in close cooperation. They consider that in so doing their ability to discharge their respective remits is likely to be enhanced
    2. Significant Public Interest
      1. The Commissioner and the Chief Constable trust and rely upon senior officers and staff to exercise their thinking by reference to experience, instinct and good judgment. The following guidance has been provided for consideration (although this list is not exhaustive) when deciding if a decision is of ‘significant public interest’:
        1. Matters which are important to achieving the aims and objectives set out in the Police & Crime Plan; and/or
        2. Matters which present high risk(s) in achieving the Police & Crime Plan objective(s); and/or
        3. Matters which involve
          • Investment
          • Income other than cost recovery
          • Innovation
        4. Matters which are likely to impact on public confidence in North Yorkshire Police, the Police & Crime Commissioner for North Yorkshire, or the police service in general; and/or
        5. Matters which involve a point of law of public importance or of importance to the police service as a whole; and/or
        6. Matters which are reasonably considered to be ones which the public would expect to see published Decision Notices in the interests of public accountability.
    3. Exchange of Information
      1. The Commissioner and the Chief Constable will in practice meet formally and informally as often as is necessary in order to exchange information as part of their close cooperation
      2. Such meetings will be complemented by the provision by the Chief Constable of information in accordance with the provisions of the 2011 Act, the Protocol and the Financial Management Code of Practice and will include such information as the Commissioner reasonably requires in order to fulfil the functions of the Commissioner
      3. The Commissioner and the Chief Constable will only adopt formal Information Sharing Agreements as may be necessary to regulate the sharing of information where such Agreements may be required by law;
      4. the Chief Constable shall not be obliged to share information where to do so would contravene the law.
    4. Public Engagement
      1. The Commissioner and the Chief Constable will cooperate closely on matters of public communication and engagement, in order to avoid duplication and in order to ensure that the clearest possible messages are communicated to the communities served by the Commissioner and the Force.
    5. Statutory Officers
      1. The Commissioner and the Chief Constable
      2. record in this memorandum their shared commitment to facilitating the proper exercise of the role of the Monitoring Officer and of their respective Chief Finance Officers; and in particular
      3. will adopt Protocols about how their statutory powers of assurance and intervention are to form part of the system of assurance and good governance.
    6. Resolving Differences
      1. In line with the spirit of this Memorandum, the Commissioner and the Chief Constable are reluctant to set out anything but the broadest of frameworks to cater for resolution of dispute between them.
      2. They declare their intent to resolve dispute between them, howsoever arising, by dialogue leading to mutual consent.
      3. Where for any reason such dialogue does not lead to resolution, the Commissioner and the Chief Constable will select such other method(s) of dispute resolution as appear to them most appropriate in the circumstances, having regard to the maintenance of effective working relationships between them; to the cost of the method(s) in question and to the public interest in achieving resolution.
      4. The Commissioner and the Chief Constable view recourse to litigation as reserved to matters involving points of law of public importance; where the public interest appears to be best served by achieving certainty as to the meaning of the law.
    7. Transparency
      1. The Commissioner and the Chief Constable record in this memorandum their shared commitment to openness in the exercise of their powers and duties and in the use of public funds, including but not limited to compliance with
        1. the Freedom of Information Act 2000 (and guidance issued from time to time by the Information Commissioner in respect of compliance with the Act)
        2. the Elected Local Policing Bodies (Specified Information) Order 2011
    8. Equalities & Human Rights
      1. The Commissioner and the Chief Constable record in this memorandum their shared commitment to achieving and where possible exceeding their duties under the public sector equality duty and in particular to
        1. Eliminate unlawful discrimination and harassment
        2. Promote equality of opportunity
        3. Respect and facilitate the Convention rights
      2. Equality Analysis has been undertaken to assess any potential equality impact upon people with one or more protected characteristics.

…………………………                                                                  …………………………

Commissioner                                                                      Chief Constable


Annex A

INTERPRETATION 

In this Memorandum of Understanding the following terms have the following meanings:-

“1996 Act” Police Act 1996
“2011 Act” Police Reform and Social Responsibility Act 2011
“the Protocol” The Policing Protocol set out in the Schedule to the Policing Protocol Order 2011
“the Police Area” The county of North Yorkshire and the non-metropolitan district of York
“the Nolan Principles” The seven principles set out in the First Report of the Committee on Standards in Public Life (themselves set out in Annex A hereto.)

Annex B

WORKING DEFINITIONS 

The Commissioner and the Chief Constable have arrived at a common understanding of the meaning of certain expressions contained within the 2011 Act and the Protocol which is consistent with their intended way of exercising their functions in the police area.

Paragraph(s) Expression Meaning
124 “statutory functions” Powers and/or duties afforded by primary or secondary legislation to a party.
17 (g) “efficient” done in a way which minimises waste of resources and makes the best use of such resources
17 (g) “effective” done in a way which achieves intended outcomes
17 (h) “functions of the police force” Functions which are the responsibility of

  • the Chief Constable; and/or
  • persons under the direction and control of the Chief Constable; and/or
  • persons employed by the Chief Constable

 

22 “police powers” powers and duties (whether conferred by any enactment or exercisable by virtue of the common law) afforded to(a) constables pursuant to the attestation;(b) other persons (such as community support officers, investigating officers and detention officers) pursuant to a designationin pursuit of the preservation of the Queen’s peace, the prevention and detection of crime, and the protection of life and property and include but are not limited to

 

  • Powers to stop and search
  • Powers to arrest
  • Powers to detain
  • Powers of entry, search and seizure
  • Powers to use force.
23(a) “the attestation” The Form of Declaration set out at Schedule 4 to the 1996 Act
23 (b) “police staff equivalents” Members of police staff regardless of grade whose role profile stipulates that they are permanently appointed to perform the duties of

  • Chief Constable’s Chief Finance Officer; and/or
  • Persons required to form part of the Chief Constable’s Chief Officer Team.
  • Such other police staff roles as may be agreed between the Commissioner and the Chief Constable from time to time as being ‘chief officer equivalent’ in nature.

 


Annex C

THE SEVEN PRINCIPLES OF PUBLIC LIFE

SELFLESSNESS Holders of public office should act solely in terms of the public interest.  They should not do so in order to gain financial or other material benefits for themselves, their family, or their friends.
INTEGRITY Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their official duties.
OBJECTIVITY In carrying out public business, including making public appointments, awarding contracts, or recommending individuals for rewards and benefits, holders of public office should make choices on merit.
ACCOUNTABILITY Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office.
OPENNESS Holders of public office should be as open as possible about all the decisions and actions that they take.  They should give reasons for their decisions and restrict information only when the wider public interest clearly demands.
HONESTY Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest.
LEADERSHIP Holders of public office should promote and support these principles by leadership and example.

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Second memorandum of Understanding 01 April 2014 PDF version


First Memorandum of Understanding

FIRST MEMORANDUM OF UNDERSTANDING

THIS MEMORANDUM OF UNDERSTANDING IS MADE THE 22 DAY OF NOVEMBER 2012

BETWEEN

THE POLICE AND CRIME COMMISSIONER FOR NORTH YORKSHIRE, OF BBP HOUSE BARKER BUSINESS PARK MELMERBY RIPON NORTH YORKSHIRE HG4 5NB

and

THE CHIEF CONSTABLE OF NORTH YORKSHIRE POLICE, OF NEWBY WISKE HALL, NORTHALLERTON, NORTH YORKSHIRE, DL7 9HA

(and where appropriate collectively called “the Commissioner and the Chief Constable”)

1.THIS MEMORANDUM OF UNDERSTANDING – DEFINITIONS

In this Memorandum of Understanding the following terms will have the following meanings:-

“1996 Act” Police Act 1996
“2011 Act” Police Reform and Social Responsibility Act 2011
“the Protocol” The Policing Protocol set out in the Schedule to the Policing Protocol Order 2011
“the Police Area” The county of North Yorkshire and the non-metropolitan district of York
“the Nolan Principles” The seven principles set out in the First Report of the Committee on Standards in Public Life (themselves set out in Annex A hereto.)

2. AIM

The Commissioner and the Chief Constable consider that the tenor of their relationship should be one of goodwill, professionalism, openness and trust in line with paragraph 8 of the Protocol.

This Memorandum of Understanding aims to

  1. underpin the effective working relationship identified as fundamental ; and
  2. affirm the commitment of the Commissioner and the Chief Constable to making the relationship work in line with paragraph 8 of the Protocol.

It aims to do so by

  1. setting out agreed working definitions of expressions where to do so is considered to be likely to assist the efficient and effective conduct of police business in the police area and the day to day operation of the relationship between the Commissioner and the Chief Constable; and
  2. making suitable provision for the effective resolution of such variance between the Commissioner and the Chief Constable as may from time to time arise in the course of the development and maintenance of the working relationship between them.
  3. underlining the commitment of the Commissioner and the Chief Constable to good governance and lawful decision making.

3 NATURE OF THIS DOCUMENT

This document is not contractual in nature and is not itself intended to be legally binding.

The Memorandum records understandings about

  • the commitment of the Commissioner and the Chief Constable to themselves abiding by the working principles of the Protocol
  • the specific commitment of the Commissioner and the Chief Constable to abide by the Nolan Principles
  • the commitment of the Commissioner and the Chief Constable to see to it that their respective staff, or in the case of the Chief Constable staff and officers, have regard to the Protocol
  • the mutual respect of the Commissioner and the Chief Constable for each other’s legal status, powers and public policy remit.

4 THE 2011 ACT AND THE PROTOCOL – WORKING DEFINITIONS

The Commissioner and the Chief Constable (having recognised that to do so is likely to assist the efficient and effective conduct of police business in the police area) have arrived at a common understanding of the meaning of certain expressions contained within the 2011 Act and the Protocol which is consistent with their intended way of exercising their functions in the police area.

These are as follows

Paragraph(s) Expression Meaning
1 and 24 “statutory functions” Powers and/or duties afforded by primary or secondary legislation to a party.
9 and 18 “operationally independent” “operational independence” See Section 5 below
17 (g) “efficient” done in a way which minimises waste of resources and makes the best use of such resources
17 (g) “effective” done in a way which achieves intended outcomes
17 (h) “functions of the police force” Functions which are the responsibility of
  • the Chief Constable; and/or
  • persons under the direction and control of the Chief Constable; and/or
  • persons employed by the Chief Constable

17 (j)”direction and control”See Section 5 below22″police powers”See Section 6 below23 (a)”the attestation”The Form of Declaration set out at Schedule 4 to the 1996 Act23 (b)”police staff equivalents”Members of police staff regardless of grade whose role profile stipulates that they are permanently appointed to perform the duties of

  • Chief Constable’s Chief Finance Officer; and/or
  • Persons required to form part of the Chief Constable’s Chief Officer Team.
  • Such other police staff roles as may be agreed between the Commissioner and the Chief Constable from time to time as being ‘chief officer equivalent’ in nature.

 

5 THE CONCEPTS OF OPERATIONAL INDEPENDENCE AND DIRECTION AND CONTROL

The Commissioner and the Chief Constable recognise and respect the constitutional convention that separates the exercise of police powers from the executive.

They recognise and respect the established legal principle that in the discharge of police powers, a constable acts upon his own responsibility; and that a constable is the agent neither of the Commissioner nor the Chief Constable.

The Commissioner and the Chief Constable

  • consider that the unfettered independence of the constable provides sufficient safeguard to underpin compliance with the public policy outcome set out at paragraph 12 of the Protocol.
  • note the Chief Constable’s accountability to the law for the exercise of police powers pursuant to paragraph 22 of the Protocol
  • note and respect the non-exhaustive list of examples of the Chief Constable’s direction and control as set out at paragraph 33 of the Protocol
  • note the accountability framework set out at ss1(7) and 1(8) of the 2011 Act and summarised at paragraph 22 of the Protocol to the effect that the Commissioner will hold the Chief Constable to account for (a) the delivery of efficient and effective policing; and (b) the management of the resources of and expenditure by the police force
  • commit to making that public accountability work, for the benefit of the delivery of efficient and effective policing.
  • note and respect the development, at common law, of the concepts of operational independence and of direction and control as considered by the courts from time to time.
  • consider that whilst their relationship is to be guided by those authorities, it is open to them following the 2011 Act to establish such new and innovative divisions of responsibility for the exercise of duties and responsibilities as appear to them to be in the interests of efficiency and effectiveness
  • consider that any organisational sub-division (whether directorate, department, team, or unit) whose remit does not include the exercise of police powers, could in principle be under the direction and control of either of them.
  • may make arrangements, for the direction and control (by one or other of them) of such organisational sub-divisions, as shall appear to them to be most conducive to efficiency and effectiveness of North Yorkshire Police. Any such arrangements shall be the subject of proper consultation and shall be set out in writing

The Commissioner and the Chief Constable declare their intention that

  • in the context of such arrangements the expression ‘direction and control’ shall be taken to include the power to give reasonable instructions to such members of staff as well as for the matters provided for by sub-paragraphs (c) and (f) of paragraph 33 of the Protocol (configuration and organisation, deployment and allocation of resources to meet demand).
  • such arrangements shall not affect the power of either of them to provide staff to each other on a planned or ad hoc basis in support of their respective functions
  • such arrangements will be reviewed from time to time; and in any event before any ‘subsequent transfer’ for the purposes of Part 3 of Schedule 15 to the 2011 Act
  • such arrangements may be changed at any time prior to the effective date of any transfer scheme pursuant to Part 3 of Schedule 15 of the 2011 Act; any such proposal will be the subject of further proper consultation with the staff concerned.

6. POLICE POWERS

The Commissioner and the Chief Constable understand the expression ‘police powers’ in the Protocol to denote powers and duties (whether conferred by any enactment or exercisable by virtue of the common law) afforded to

(a) constables pursuant to the attestation;

(b) other persons (such as community support officers, investigating officers and detention officers) pursuant to a designation

in pursuit of the preservation of the Queen’s peace, the prevention and detection of crime, and the protection of life and property and include but are not limited to

  • Powers to stop and search
  • Powers to arrest
  • Powers to detain
  • Powers of entry, search and seizure
  • Powers to use force.

7 COMPLIANCE WITH PARAGRAPHS 34 AND 35 OF THE PROTOCOL

In line with the spirit of this Memorandum, the Commissioner and the Chief Constable declare their intent to work in close cooperation. They consider that in so doing their ability to discharge their respective remits is likely to be enhanced.

Exchange of Information

The Commissioner and the Chief Constable will in practice meet formally and informally as often as is necessary in order to facilitate the exchange of information required in order to give effect to that close cooperation (and to satisfy the stipulations of other instruments of governance) as well as to achieve compliance with Paragraph 34. Such meetings will be complemented by the provision by the Chief Constable of information in accordance with the provisions of the 2011 Act, the Protocol and the Financial Management Code of Practice and will include such information as the Commissioner reasonably requires in order to fulfil the functions of the Commissioner, provided that the Commissioner and the Chief Constable shall establish such formal Information Sharing Agreements as may be necessary to regulate the sharing of information where such Agreements may be required by law; and that the Chief Constable shall not be obliged to share information where to do so would contravene the law.

Media Protocol

The Commissioner and the Chief Constable will adopt a Media Protocol setting out the manner in which each of them will interact with the media in relation to matters pertaining to North Yorkshire Police, in order to avoid duplication and in order to ensure that the clearest possible messages are communicated to the communities served by the Commissioner and the Force.

8 COMPLIANCE WITH THE GENERAL LAW

The Commissioner and the Chief Constable record in this memorandum their shared commitment to facilitating the proper exercise of the role of the Monitoring Officer; and in particular

  • ensuring that the Chief Executive is afforded the opportunity to advise on any decision which binds the Commissioner, prior to it being taken
  • affording the Chief Executive direct access to the Audit Committee
  • affording the Chief Executive access to any documentation upon which the Commissioner or the Chief Constable propose to rely in reaching non-operational decisions
  • ensuring that the solicitor retained to advise the Chief Constable has direct access both to the Chief Constable and to the Chief Executive.
  • taking decisions after receiving legal advice where necessary.
  • respecting the terms of any protocol adopted for the exercise of the functions of the Monitoring Officer

9 COMPLIANCE WITH PARAGRAPH 42 OF THE PROTOCOL, AND RESOLVING DIFFERENCES GENERALLY

Also in line with the spirit of this Memorandum, the Commissioner and the Chief Constable are reluctant to set out anything but the broadest of frameworks to cater for resolution of dispute between them. They recognise the complementary encouragement contained within Paragraph 42 of the Protocol and aim in good faith to achieve local resolution to any differences between them.

It is the intention of the Commissioner and the Chief Constable to seek, therefore, to resolve dispute between them, howsoever arising, by dialogue leading to mutual consent.

Where for any reason such dialogue does not lead to resolution, the Commissioner and the Chief Constable will select such other method(s) of dispute resolution as appears to them most appropriate in the circumstances, having regard to the maintenance of effective working relationships between them; to the cost of the method(s) in question and to the public interest in achieving resolution. Dispute resolution methods available include but are not limited to

  • Facilitated dialogue
  • Seeking advice from Her Majesty’s Inspector of Constabulary
  • Securing the informal assistance of subject matter expert(s) (whether or not they are member(s) of staff of the Commissioner or the Chief Constable)
  • Instructing a single joint expert
  • The taking of joint legal advice
  • The taking of separate legal advice
  • Any other form of alternative dispute resolution.

The Commissioner and the Chief Constable view recourse to litigation as reserved to matters involving points of law of public importance; where the public interest appears to be best served by achieving certainty as to the meaning of the law.

10 TRANSPARENCY

The Commissioner and the Chief Constable record in this memorandum their shared commitment to openness in the exercise of their powers and duties and in the use of public funds, including but not limited to compliance with

  • The Freedom of Information Act 2000 (and guidance issued from time to time by the Information Commissioner in respect of compliance with the Act)
  • The Elected Local Policing Bodies (Specified Information) Order 2011

11 EQUALITIES

The Commissioner and the Chief Constable record in this memorandum their shared commitment to achieving and where possible exceeding their duties under the public sector equality duty and in particular to

  • Eliminate unlawful discrimination and harassment
  • Promote equality of opportunity

Equality Analysis has been undertaken to assess any potential equality impact upon people with one or more protected characteristics.


Annex A

THE SEVEN PRINCIPLES OF PUBLIC LIFE

SELFLESSNESS

Holders of public office should act solely in terms of the public interest. They should not do so in order to gain financial or other material benefits for themselves, their family, or their friends.

INTEGRITY

Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their official duties.

OBJECTIVITY

In carrying out public business, including making public appointments, awarding contracts, or recommending individuals for rewards and benefits, holders of public office should make choices on merit.

ACCOUNTABILITY

Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office.

OPENNESS

Holders of public office should be as open as possible about all the decisions and actions that they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands.

HONESTY

Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest.

LEADERSHIP

Holders of public office should promote and support these principles by leadership and example.