Disciplinary Policy and Procedure Guidance Chief Officer
In this section
- 7. Extract from Part 4.8 Officer Employment Procedure Rules
- 8. Appeals
- 9. PART 1 – DISCIPLINARY PROCEDURE – CHIEF EXECUTIVE
- 10. PART 2 – DISCIPLINARY PROCEDURE - CHIEF OFFICERS (STATUTORY) HEAD OF DEMOCRATIC SERVICES, DIRECTOR OF FINANCE/RESOURCES, MONITORING OFFICER
- 11. PART 3 – DISCIPLINARY PROCEDURE - CHIEF OFFICERS (NON-STATUTORY) – DIRECTORS & HEADS OF SERVICE
- 12. APPENDIX A – THE MODEL DISCIPLINARY PROCEDURE AND GUIDANCE – WALES (EXTRACT FROM CHIEF EXECUTIVES JNC HANDBOOK)
9. PART 1 – DISCIPLINARY PROCEDURE – CHIEF EXECUTIVE
1. Council Constitution
Disciplinary action including dismissal against a Chief Executive 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.
2. JNC Chief Executive Model Policy
This Procedure follows the Model Procedure and Guidance (Wales) as included in the JNC Chief Executive’s Conditions of Service Handbook which should be read in conjunction with this Policy. (Appendix A).
3. The Procedure
Where an allegation is made relating to the conduct or capability of the chief executive or there is some other substantial issue and following an initial fact-finding exercise, it is concluded that this requires investigation, the matter will be considered by the appropriate Investigating Committee. (IC)
Any referral to the Investigation Committee needs to be agreed and overseen by the Head of Law, Governance and Civil Services and the Assistant Chief Executive.
4. Suspension
Suspension will not always be appropriate as there may be alternative ways of managing the investigation. However, the IC will need to consider whether it is appropriate to suspend the chief executive. 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 executive might compromise the investigation or impair the efficient exercise of the council’s functions. In any case, the chief executive shall be informed of the reason for the proposed suspension and have the right to present information before such a decision is taken. The JNC recognises that on rare occasions circumstances could arise 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 executive’s 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 to be undertaken by the Leader advised by the Head of Law, Governance & Civil Services and the Assistant Chief Executive, 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.
5. Considering the Allegations or Other Issues Under Investigation
The Investigation Committee will, as soon as is practicable inform the chief executive in writing of the allegations or other issues under investigation and provide him / her with any evidence that the IC is to consider including the right to hear oral evidence. The chief executive will be invited to put forward written representations and any evidence including evidence from witnesses he / she wishes the IC to consider. The IC will also provide the opportunity for the chief executive 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 IC 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 executive of its decision.
6. Appointment of a Designated Independent Person
The Designated Independent Person must be agreed between the IC and the chief executive within 1 month of the decision to appoint a DIP. If there is a failure to agree on a suitable Designated Independent Person, the council will appoint the person nominated by Welsh Ministers. 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.
7. 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 submitted by witnesses is provided and the chief executive 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 executive.
8. Receipt and Consideration of the Designated Independent Person’s Report by the Investigation Committee
The IC will consider the report of the Designated Independent Person and also give the chief executive 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 against the chief executive short of dismissal.
• Recommend dismissal of the chief executive to the council.
9. Action Short of Dismissal
Where the decision is to take action short of dismissal the IC will impose the necessary penalty / action, up to the maximum recommended by the Designated Independent Person.
10. Where the IC Proposes Dismissal
Where the Committee proposes dismissal, the Regulations require that the council must approve the dismissal before notice of dismissal is issued. The Committee will inform the chief executive of the decision and put that proposal to the council along with any necessary material e.g., the report of the Designated Independent Person. The council will consider the proposal from the IC that the chief executive should be dismissed. The chief executive will have the opportunity to put his or her case to the council before a decision is taken.
11. Appeals
Appeals against dismissal
Where the IC has made a proposal to dismiss; the hearing by the council will also fulfil the statutory appeal function.
Appeals against action short of dismissal
If the IC takes action short of dismissal, the chief executive 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 executive 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.