Statutory officers' disciplinary policy

Investigation

Where an allegation is made relating to the conduct of a statutory officer or there is some other substantial issue that requires investigation that matter will be dealt with initially by the chair of the appointments committee.  The head of HR will support the chair of the appointments committee throughout the process with the monitoring officer as appropriate.

They may dismiss the allegation without a formal investigation or in some cases with minimal investigation. However, this procedure aims to deal with situations where the matter is not so easily dismissed. 

The chair of the appointments committee will inform the statutory officer in writing of the allegations or other issues. They will provide the officer with any evidence that they are to consider. 

The statutory officer should provide to the chair of the appointments committee any written representations and evidence from witnesses. The statutory officer may also make oral representations. 

The chair of the appointments committee, with advice from the head of HR and monitoring officer, will decide whether: 

  • the issue requires no further formal action under this procedure 
  • to commission an investigation.  If appropriate they may appoint an investigator from outside the council

The chair of the appointments committee will inform the statutory officer of the decision in writing. 

The head of paid service, monitoring officer or Section 151 officer will be informed that an investigator has been appointed.

The chair of the appointments committee will: 

  • determine the terms of appointment of the investigator 
  • agree to any remuneration, if appropriate 
  • provide facilities  
  • provide all available information regarding allegations or other issues under investigation 
  • inform the statutory officer that an investigator has been appointed 

The investigator is entitled to interview witnesses and carry out enquiries. This may include examining: 

  • email 
  • internet  
  • other IT systems 
  • the accounts of the statutory officer  

The statutory 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 statutory 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 chair of the appointments committee must agree to this and inform the statutory officer. 

The investigator will prepare an investigation report stating, in their opinion: 

  • whether and to what extent, the evidence supports any allegation of misconduct  
  • or, the evidence supports a need for action for some other substantial reason 

After the investigation, the chair of the appointments committee will decide whether to refer the case to the appointments disciplinary sub-committee. They may seek advice from the head of HR and monitoring officer. 

The statutory officer will have the opportunity to state their case before the appointments disciplinary sub-committee. This is via a disciplinary hearing. 

The chair of the appointments committee will give the statutory officer at least 10 working days' written notice of the date of the disciplinary hearing. The notice will include: 

  1. the time and place of the hearing 
  2. who will be in attendance at the hearing including the members of the disciplinary sub-committee  
  3. confirmation that the statutory officer may be accompanied by: 
    • a work colleague  
    • recognised trade union officer  
    • or, recognised trade union officer representative  
  4. a copy of this procedure 

Within two working days of receipt of notice of the disciplinary hearing, the statutory 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 chair of the appointments committee will not be part of the decision-making process. They will present the findings to the disciplinary sub-committee through, or with assistance from, the investigator.  

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