Disciplinary Policy and Procedure Guidance Chief Officer

10. PART 2 – DISCIPLINARY PROCEDURE - CHIEF OFFICERS (STATUTORY) HEAD OF DEMOCRATIC SERVICES, DIRECTOR OF FINANCE/RESOURCES, MONITORING OFFICER

Council Constitution

Disciplinary action including dismissal against a Chief Officer (Statutory Officer) can only be agreed and imposed by Full Council after consideration of the report of a Designated Independent Person (DIP) appointed by the Council’s Investigation Committee A.
  
1. The Procedure

As Statutory Officers have similar protections to a Chief Executive, this procedure reflects the principles applied in the Model Policy for Chief Executives and the guidance referenced in Appendix A can be utilised as appropriate.
  
There an allegation is made relating to the conduct or capability of the chief officer or there is some other substantial issue and following an initial filtering by the Chief Executive in conjunction with the Assistant Chief Executive (or nominated representative) and Head of Law, Governance and Civil Services, (or nominated representative) it is concluded that this requires investigation, the matter will be considered by the Investigation Committee A.

2. Suspension

Suspension will not always be appropriate as there may be alternative ways of managing the investigation. However, the Chief Executive will need to consider whether it is appropriate to suspend the statutory chief officer. This may be necessary if an allegation is such that if proven it would amount to gross misconduct. It may also be necessary in other cases if the continuing presence at work of the chief officer might compromise the investigation or impair the efficient exercise of the council’s functions. In any case, the chief officer shall be informed of the reason for the proposed suspension. There may be rare occasions which require an immediate suspension before the IC has a reasonable opportunity to meet, for example if the allegations of misconduct are such that the chief officers remaining presence at work poses a serious risk to the health and safety of others or the resources, confidential information or reputation of the authority. To account for this, the authority should consider and put in place the necessary protocols to facilitate an emergency suspension, subject to the suspension being reviewed by the IC at the earliest opportunity. The continuance of any suspension should be reviewed after it has been in place for two months and periodically thereafter as appropriate.

3. Considering the Allegations or Other Issues Under Investigation
  
The Investigation Committee will, as soon as is practicable inform the chief officer in writing of the allegations or other issues under investigation and provide them with any evidence that the IC is to consider including the right to hear oral evidence. The chief officer will be invited to put forward written representations and any evidence including evidence from witnesses they wish the IDC to consider. The IC will also provide the opportunity for the chief officer to make oral representations. The IC will give careful consideration to the allegations or other issues, supporting evidence and the case put forward by the chief executive before taking further action. The IDC shall decide whether:

• the issue requires no further formal action under this procedure; or

• the issue should be referred to a Designated Independent Person.

The IC shall inform the chief officer of its decision.

4. Appointment of a Designated Independent Person

The Designated Independent Person must be agreed between the IC and the chief officer within 1 month of the decision to appoint a DIP.  Once a Designated Independent Person has been agreed, the IC will be responsible for making the appointment, providing the necessary facilities, agreeing remuneration and providing all available information about the allegations.

5. The Independent Person Investigation

The Local Authorities (Standing Orders) (Wales) Regulations 2006 require the Designated Independent Person to investigate and make a report to the IC. The Designated Independent Person should operate on the basis of a combination of independent investigation using their powers to access information, and a formal hearing, at which the allegations and supporting evidence including evidence provided by witnesses is provided and the chief officer and their representative is able to present their case. Once appointed it will be the responsibility of the Designated Independent Person to investigate the issue / allegation and to prepare a report: stating an opinion as to whether (and, if so, the extent to which) the evidence obtained supports any allegation of misconduct or incapability or supports a need for action under this procedure for some other substantial reason; and recommending any disciplinary action (if any is appropriate) or range of actions which appear to them to be appropriate for the authority to take against the chief officer.
 
6. Receipt and Consideration of the Designated Independent Person’s Report by the IC
 
The IC will consider the report of the Designated Independent Person and also give the chief officer the opportunity to state their case before making a decision. Having considered any other associated factors, the Committee may:

• Take no further action.

• Recommend informal resolution or other appropriate procedures.

• Refer back to the Designated Independent Person for further investigation and report.

• Take disciplinary action up to and including dismissal against the chief officer short of dismissal.

7. Appeals

The statutory chief officer may appeal to the Appeals Committee. The Appeals Committee will consider the report of the Designated Independent Person, and any other relevant information considered by the IC, e.g. new information, outcome of any further investigation, etc. The chief officer will have the opportunity to state their case. The Appeals Committee will give careful consideration to these matters and conduct any further investigation it considers necessary to reach a decision. The decision of the Appeals Committee will be final.