Policy overview
We seek to ensure that lawful, fair and effective arrangements exist for dealing with:
- chief officer conduct and
- disciplinary issues
This procedure provides a framework for:
- making those officers aware of unacceptable conduct
- dealing with any such issues
We will have:
- full regard to relevant statutes including its constitution
- based the procedure on the model found in the JNC conditions of service for chief officers (November 2008 version).
The procedure applies to all chief officers as defined in Article 9 of The Constitution. A separate policy applies to those designated as "statutory officers", namely:
- the head of paid service
- the monitoring officer
- the Section 151 finance officer
Objectives
The objectives of this policy are to ensure that we:
- meet all relevant legal requirements regarding any disciplinary decisions taken in relation to chief officers
- treat chief officers in a fair and consistent manner
- support the chief executive and other relevant managers to carry out their responsibilities for the maintenance of high standards of conduct of chief officers.
- we, our employees, clients, the public and recipients of our services are protected from the consequences of misconduct
Principles
At all stages in this procedure, we will ensure that the chief officer is:
- informed of the nature of the issues of concern or case against them
- given a chance to explain before we make any decision
- given the right to be represented by a work colleague or a recognised trade union representative at any formal meeting or hearing
- given reasonable notice of any formal meeting or hearing
- notified of the outcome of any formal meeting or hearing in writing
- given a right to appeal against formal disciplinary action
- confident that we will comply with the obligations to disabled employees under the Equality Act in terms of reasonable adjustments
- treated with dignity and respect at all times
- recognised to be in a situation of potential stress or anxiety and treated accordingly
- not judged "guilty" in advance of the conclusion of the process
- confident of confidentiality of communication with limited access to others
- confident the process will be carried out quickly and without undue delay
Standards of conduct
Chief officers must:
- be aware of and conform to our values, rules, policies and procedures
- co-operate with any investigations, attend any meetings, interviews and hearings
- maintain standards of conduct both at work and outside of work
Misconduct includes:
- the deliberate provision of false or misleading information (for example, on application forms)
- breaches of our information governance policy
- falsification of official accounts or documents (for example, expense claims)
- incapacity at work, due to the effects of alcohol or non-prescribed drugs
- failure to wear or use appropriate equipment or attire made available or necessary for the job. This includes safety equipment unless exempted on the grounds of religion or belief following a risk assessment
- unauthorised absence or poor timekeeping
- failure to comply with sickness absence procedures and absence management policy
- physical violence, indecent behaviour, action or language that is likely to offend. This includes racial, religious or sexual abuse, harassment, bullying or victimisation of others. This includes:
- racial, religious or sexual intimidation
- the prejudice of other employees or members of the public
- disruption of others by unruly or disorderly behaviour
- discourteous or improper treatment of others
- acceptance of bribes or involvement in similar corrupt practice
- lack of integrity that may damage public confidence in the council
- unauthorised employment (for example, working in another job during hours when contracted to work for us)
- working during off-duty hours in a job considered detrimental to our interests
- political activity when in a "specified" politically-restricted post
- engaging in activities or conduct that may adversely affect recovery from illness
- conviction of a criminal offence inconsistent with the position the employee holds
- use of our time, property or equipment for personal reasons without permission
- theft of, misuse of, damage to or neglect of property or equipment
- failure to report actual or suspected abuse
- disregard for the health and safety of others, including:
- reckless driving or operation of vehicles, plant or equipment
- smoking in prohibited areas
This list is illustrative and not exhaustive. Some examples may be regarded as gross misconduct. This depends upon the circumstances and seriousness of the case. Except in exceptional circumstances, gross misconduct will result in summary dismissal, without notice.
For further details, read our code of conduct.
Alleged criminal activity
An employment investigation may run in parallel to a:
- police
- audit
- child protection
- adult abuse investigation
An employee investigation should not be held up by any such investigations unless considered prejudicial to those investigations to proceed. We may decide on disciplinary action before the outcome of any court hearing.
All employees have the right not to be dismissed or victimised for speaking out. For further details, read our whistleblowing policy.
Invoking a disciplinary procedure
The chief executive, the monitoring officer and the head of HR will consult to decide whether the issue falls within the definition of staff discipline.
The monitoring officer will keep records of any allegations. The records will reflect whether or not the decision was to invoke the disciplinary procedure. The records will reflect whether any other action was recommended. The records will also detail the advice given by the monitoring officer and HR where appropriate.
Where the procedure has not been invoked but another action is recommended, the matter is referred to the head of HR. This is to ensure that the appropriate alternative action is taken. For example, complaints about a particular service are dealt with through our corporate complaints procedure.
A grievance directed against a statutory officer is first dealt with through our grievance procedure.
Suspension
We may suspend the officer from work, or temporarily redeploy them to work elsewhere. This may happen in cases where the allegations are serious or to facilitate an investigation.
Such actions do not constitute disciplinary action or imply guilt on the part of the employee. We give suspended employees support and appropriate guidance. The suspension, or temporary redeployment, is reviewed regularly.
The chief executive will consider whether to suspend the chief officer with advice from the head of HR or the monitoring officer as appropriate. This may be necessary if there is enough evidence to suggest that:
- the officer may be guilty of gross misconduct
- the officer's continuing presence at work compromises the investigation
- the officer's continuing presence impairs our functions
Gross misconduct is generally defined as misconduct serious enough to:
- destroy the employment contract
- make any further working relationship and trust impossible
Investigation
Where an allegation is made relating to the conduct of a chief officer or there is some other substantial issue that requires investigation that matter will be dealt with initially by the chief executive or appropriate nominee. The chief executive shall be supported throughout the process by the head of HR.
The chief executive will inform the chief officer in writing of the allegations or other issues under investigation.
The chief executive can dismiss the allegation without a formal investigation in some cases with minimal investigation. However, this procedure aims to deal with situations where the matter is not so easily dismissed.
They will inform the statutory officer in writing of the allegations or other issues.
The chief executive, with advice from the head of HR and monitoring officer, will decide whether:
- the issue requires no further formal action under this procedure
- to appoint an investigator which may be from outside of the council
The chief executive shall:
- determine the terms of appointment of the investigator
- agree any remuneration (if appropriate)
- provide facilities
- provide all available information regarding allegations or other issues under investigation as are necessary
This will enable the investigator to fulfil their role.
The chief officer will be informed that an investigator has been appointed.
The investigator is entitled to interview witnesses and carry out enquiries. This may include examining:
- internet
- other IT systems
- the accounts of the chief officer
The chief officer must:
- fully co-operate will the investigator
- make themselves available for interviews and meetings
- provide any relevant documentation or information to the investigator
We will give the chief officer reasonable facilities and access:
- to the council's premises
- to our systems
- to personal files and diary
This will allow the officer to prepare their responses on the terms agreed by the investigator.
The amount of time spent on the investigation will depend on the case. The investigator may delegate some of the investigation work to an assistant. The chief executive must agree to this and inform the chief officer.
The investigator will prepare an investigation report stating, in their opinion:
- to what extent, the evidence supports any allegation of misconduct
- or, the evidence supports a need for action for some other substantial reason
The chief executive will send a copy of the final report of the investigation to the chief officer. They will do this within seven working days of receipt of the final report.
It shall be accompanied by a written indication if any further action is to be taken. If further action is to be taken it will confirm the specific allegations to be considered by the appointments disciplinary sub-committee at a disciplinary hearing and any supporting documentation.
Where action short of dismissal is recommended, the chief executive will decide the appropriate action. This may, however, be a decision to proceed with a disciplinary hearing.
The chief officer will have the opportunity to state their case before the appointments disciplinary sub-committee. This is via a disciplinary hearing.
The chief executive will give the chief officer at least 10 working days' written notice of the date of the disciplinary hearing. The notice will include:
- the time and place of the hearing
- who will be in attendance at the hearing including the members of the disciplinary sub-committee
- confirmation that the statutory officer may be accompanied by:
- a work colleague
- recognised trade union officer
- or, recognised trade union officer representative
- a copy of this procedure
Within two working days of receipt of notice of the disciplinary hearing, the chief officer will agree on the date for the hearing. If not, they must propose a postponement for no longer than 10 working days setting out the reasons for the request.
An independent advisor will advise the disciplinary sub-committee at the hearing. This may be the head of HR or a representative from legal services.
The disciplinary sub-committee hearing
The monitoring officer will arrange for a written record of the hearing. This may be an audio recording and transcribed into a paper record.
The procedure for the disciplinary sub-committee is:
- the chair of the disciplinary sub-committee will explain the purpose of the hearing and procedure
- the chief executive and investigator will present the report to the committee. It will include the proposal to dismiss the chief officer
- the chief officer, the disciplinary sub-committee and independent adviser may ask questions of the chair of the chief executive and investigator
- the chief officer has the opportunity to state their case
- the disciplinary sub-committee and independent adviser may ask questions of the chief officer
- both sides will sum-up their presentations. It will start with the chief executive
When the disciplinary sub-committee has heard all of the evidence submitted, they will adjourn to consider what, if any, further action to take.
The policy allows for the following hearing outcomes;
No further action
Where we consider there is no case to answer.
First written warning
This is where the chief officer's:
- conduct has fallen below acceptable standards
- offence is sufficiently serious to justify an immediate formal sanction
The warning is live for disciplinary purposes for between six and 12 months, as determined at the disciplinary hearing.
Final written warning
This is where the chief officer's:
- conduct continues to be significantly below acceptable standards, and previous written warnings have not resulted in sufficient improvement
- offence is so severe that a final warning is appropriate as a first formal warning
- dismissal would typically be appropriate, but significant mitigation is accepted
The warning is live for disciplinary purposes for between 12 and 24 months, as determined at the disciplinary hearing.
All warnings are confirmed in writing and will include:
- a clear statement of the unsatisfactory conduct or behaviour
- the level of the warning
- the length of time it will remain live for disciplinary purposes
- the required level of improvement (in measurable terms)
- the consequences of no improvement in conduct or behaviour
- the right to appeal
Dismissal
Dismissal will occur where there has been:
- gross misconduct
- a final written warning issued and further misconduct or unsatisfactory conduct has taken place
Dismissal with contractual notice
Unless the chief officer is dismissed for gross misconduct, they will receive the appropriate period of notice.
Summary dismissal
Except in exceptional circumstances, actions of gross misconduct will justify dismissal without notice.
All others present at the hearing will withdraw while the disciplinary sub-committee considers its decision. The independent adviser and monitoring officer will remain to advise.
Where the disciplinary sub-committee proposes dismissal, it will inform the monitoring officer of this and that the executive objections procedure should commence.
The monitoring officer will notify every member of the executive of:
- the fact that the disciplinary sub-committee is proposing to the executive that it dismisses the chief officer concerned
- any other particulars relevant to the dismissal
- the period by which any objection to the dismissal proposal should be submitted (within five working days).
At the end of this period, the monitoring officer will either:
- inform the disciplinary sub-committee that members of the executive have received no objections
- or, notify the disciplinary sub-committee that an objection has been received and provide details
The disciplinary sub-committee will consider any objections and satisfy itself as to whether any of the objections are both material and well-grounded. If they are then the disciplinary sub-committee will act accordingly.
If there are no reasonable objections to the proposal to dismiss, the disciplinary sub-committee will inform the chief officer.
For any proposal to dismiss the executive director for public health, we must consult the Secretary of State for Health first. This is as per the Health and Social Care Act 2012.
While the Secretary of State does not have the power of veto, we must consider any reasonable representations from them.
Appeals process
The chief officer may appeal against a disciplinary sanction. They must confirm in writing within 10 working days of receipt of written confirmation of the decision. Any appeal is made to the head of HR and is heard by the disciplinary appeals sub-committee.
Receipt of a letter is deemed to have taken place two days after posting if sent by first class post.
The chief officer must outline one or more of the following reasons upon which they seek to appeal and provide evidence. The reasons for appeal may include:
- there was a defect in the procedure
- not all evidence was considered
- the dismissal sanction was too severe
- new evidence has come to light since the last hearing
We may consider new evidence in the appeal hearing. The chief officer must include it in the documents submitted before the hearing. The disciplinary appeals sub-committee may agree to admit late new evidence.
Where new evidence is to be submitted, the employee should state clearly:
- what the evidence is
- why it is believed that it would alter the original decision
- why it was not included at the previous hearing
If the appeal relates to a defect in the original hearing process or procedure, the head of HR may advise that a re-hearing is held in place of the appeal hearing. If this is the case, the meeting will follow the original hearing procedure. They will invite all parties and witnesses. The panel and possible outcomes will be consistent with the appeal hearing procedure.
Arrangements will be made for the disciplinary appeals sub-committee to be advised at the hearing by an independent adviser. This may be the head of HR or a representative from legal services.
The monitoring officer will arrange for a written record of the hearing.
The procedure for the disciplinary appeals sub-committee is:
- the chair of the disciplinary appeals sub-committee will explain the purpose of the hearing and procedure
- the chief officer presents their case based on the grounds specified when submitting the appeal
- the chief executive may ask the chief officer questions
- the disciplinary appeals sub-committee may ask the chief officer questions
- the chief executive presents the management position in response to the chief officer's grounds of appeal
- both sides will sum-up their presentations, commencing with the chief officer
When the disciplinary appeals sub-committee has heard all of the evidence, they will adjourn to consider whether to uphold or dismiss the appeal. The independent adviser and monitoring officer may advise them.
A letter will outline the decision and the action to take.
Referrals to DBS and other organisations
We have a duty to refer information to the Disclosure and Barring Service (DBS) where we:
- have removed an individual from working or volunteering
- have concerns about an individual's contact with children or vulnerable adults
We may refer to other professional bodies the circumstances of a case (for example, the teaching agency or health care professions council).