Disciplinary Policy and Procedure Guidance Chief Officer

11. PART 3 – DISCIPLINARY PROCEDURE - CHIEF OFFICERS (NON-STATUTORY) – DIRECTORS & HEADS OF SERVICE

DIP involvement is not required for disciplinary investigations and actions against non-statutory Directors or Heads of Service.

Where 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 (Directors) or the Director (Heads of Service) 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 relevant Investigation Committee.

There are 2 Investigation Committees comprising Members (See Part 3 Table 3 of Constitution):

•  Investigation Committee A – Directors.

•  Investigation Committee B – Heads of Service.

It is only the members of these Committees who can take disciplinary action against a Head of Service or Director (non-statutory).

1. Informal Action

If it is decided that the matter is not serious enough to be referred to the Investigating Committee then informal action may be appropriate.  This may include an informal warning or a requirement to undertake training.

2. The Investigation Committee

If the Chief Executive (in the case of Directors) or Directors (in the case of Heads of Service) (with advice from the Assistant Chief Executive and the Head of Law, Governance and Civil Services (or their nominated representatives) consider there to be sufficient evidence to refer the matter to the relevant Investigation Committee, this should be done via Democratic Services.

A confidential report outlining the allegations together with any documentary or other supporting evidence to support the referral must be provided in advance.    This report must also be provided to the Director or Head of Service who is the subject of the referral, along with a copy of this policy and procedure.
 
3. Suspension

Suspension will not always be appropriate as there may be alternative ways of managing the investigation. 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 suspension.  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. The continuance of any suspension should be reviewed after it has been in place for two months and periodically thereafter as appropriate.

4. The Disciplinary Meeting

Investigation Committee A (Directors) or Investigation Committee B (Heads of Service) will receive the investigation report and convene a meeting to review the report and take representations from Commissioning Officer (Chief Executive for Directors) and Director (for Heads of Service) as well as the Investigating Officer.  The Director or Head of Service will have the right to be accompanied by a work colleague or recognised Trade Union at the meeting and will have the opportunity to present their case.

The Committee will be supported by a representative from Legal Services and Human Resources.

5. The Decision of the Investigation Committee

The IC will provide the Director or Head of Service with their decision as soon as possible in writing setting out the reasons for their conclusions. These may include:

•    No further action required.

•    informal resolution or other appropriate procedures.

•    Further investigation required.

•    Disciplinary penalties up to and including dismissal.

6. Appeals

The chief officer may appeal to the Appeals Committee. The appeal must be lodged within 14 days and set out the grounds for appeal.  At the appeal meeting, the chief officer will have the opportunity to state their case.   The Appeals Committee will then decide whether to uphold or dismiss the appeal.  The decision and the reasons for it will be communicated in writing to the Chief Officer.  The decision of the Appeals Committee will be final.