Stage 2 of the complaints process - formal investigation
1. A formal investigation will be carried out in circumstances where a decision has been made either at the initial assessment stage or following an attempt at informal resolution which has not resolved the complaint.
2. The Monitoring Officer will appoint an investigating officer and agree a timescale in which to undertake the investigation. This will normally take no more than 6 months from the appointment.
3. The investigating officer will establish the scope of the investigation and inform the subject member, the complainant, the Independent Person and the relevant town or parish council if the subject member is a town or parish councillor. The investigating officer will explain the investigation process and will advise the subject member that they have the right to seek the views of the Independent Person and be represented at any interviews with the investigating officer.
4. At the end of his/her investigation, the investigating officer will produce a draft report. If the investigating officer is not the Monitoring Officer, they will send the draft report to the Monitoring Officer and the Independent Person to ensure that the investigation has met the scope of the complaint. The investigating officer will then send copies of the draft report, in confidence, to the complainant and the subject member and provide an opportunity for them to comment. Comments are to be supplied within 10 working days of the draft report being sent.
5. If at any time the investigation is frustrated, for example, if significant witnesses are not available for interview, the Monitoring Officer can decide what action to take, including in consultation with the Independent Person, terminating the investigation. If the subject member fails to respond to correspondence from the investigating officer, the complaint will be determined. If the complainant fails to respond, the complaint will be treated as withdrawn. All parties are encouraged to respond promptly to any correspondence in relation to the complaint.
6. If during the investigation, the investigating officer is of the view that the decision to investigate should be reviewed, he/she can refer the matter back to the Monitoring Officer. This may be because:
- Evidence is uncovered suggesting a case is less serious than may have seemed apparent to the authority originally and that a different decision might therefore have been made about whether to investigate or not.
- After examining the matter in detail, the investigating officer concludes that matters under investigation were not done by the subject member in their role as councillor or as a representative of the authority but rather in a private capacity
- The investigating officer uncovers something which is potentially more serious, and the authority may want to consider referring it to the police, for example.
- The subject member has died, is seriously ill or has resigned from the authority and the investigating officer is of the opinion that it is no longer appropriate to continue with the investigation.
- The subject member has indicated that they wish to make a formal apology which the investigating officer considers should draw a line under the matter.
In such circumstances, the Monitoring Officer, in consultation with the Independent Person, will decide whether it is appropriate to defer or end the investigation.
7. Having received and taken account of the comments made on the draft report, the investigating officer will send his/her final report to the Monitoring Officer and Independent Person, the complainant, subject member and the relevant parish/town council. The report must make one of the following findings on the balance of probabilities:
- That there have been one or more failures to comply with the Code of Conduct or
- That there has not been a failure to comply with the Code of Conduct.
The report concludes there has not been a failure to comply with the Code of Conduct
8. If the report concludes that there has not been a failure to comply with the Code of Conduct and this is supported by the Monitoring Officer, in consultation with the Independent Person, the Monitoring Officer will inform the complainant and the subject member that he/she is satisfied no further action is required.
9. A summary of the outcome will be published on the council’s website setting out the conclusions on the complaint and the reasons for the conclusion. There will be no identifying information published.
The report concludes that there has been a failure to comply with the Code of Conduct
10. If the report finds a breach of the Code and this conclusion is supported by the Monitoring Officer and Independent Person, the Monitoring Officer will decide what action to take. This may be to seek informal resolution, to take no further action as the breach is unlikely to lead to any sanction or to refer the matter to a hearing by the Standards Hearing Panel.
11. The Monitoring Officer reserves the right to refer the matter to the Standards Committee to determine if a matter should proceed to a hearing taking into account the views of the Independent Person.
12. The meeting of the Standards Committee will be open to the press and public unless confidential or exempt information under Part VA Local Government 1972 is likely to be disclosed. The Committee will go into private session if it resolves to do so.
13. Where a referral is made to the Hearing Panel the Monitoring Officer will notify the subject member, the Independent Person and the complainant of the referral, the outcome of the investigation report, and that a formal decision notice will not be issued until after the Hearing Panel meeting.