Complaining about a councillor

If you believe a District, Town or Parish Councillor within the Wealden District has breached their Code of Conduct you can submit a standards complaint to Wealden District Council’s Monitoring Officer. 

Please check the Complaining About a Councillor FAQs before you submit a complaint. 

These standards complaints are dealt with under a separate procedure to the Council’s complaints procedure. If you wish to make a complaint about an issue unrelated to councillor conduct, please see the Council’s complaints page Council Complaints Procedure

Before submitting a complaint, please consider whether the matter can be resolved without the need to submit a formal complaint. You are also encouraged to think about the outcomes you are seeking.

It should be noted that neither the Monitoring Officer nor the Standards Committee has powers to suspend or disqualify Members or to withdraw members’ or special responsibility allowances.

Recommendations that are available under this process:

• Publish its findings in respect of the member’s conduct
• Write a formal letter to the councillor found to have breached the code
• Report its findings to Council or to the Parish Council for information
• Seek formal censure by motion,
• Recommend to the member’s Group Leader (or in the case of un-grouped members, recommend to Council or to Committees) that he/she be removed from any or all Committees or Sub-Committees of the Council,
• Recommend to the Leader of the Council that the member be removed from the Cabinet, or removed from particular Portfolio responsibilities,
• Instruct the Monitoring Officer to or recommend that the Parish Council arrange training, mediation or other appropriate remedy, for the member.
• Recommend to Full Council or the Parish Council that the member be removed from all outside appointments to which he/she has been appointed or nominated by the authority or by the Parish Council;

More information can be found on our FAQs

To make a complaint, please use our online form via the link below. Please check the Complaining About a Councillor FAQs first.

Make a complaint online

You can also download and print out a complaint form and submit as below:

By post: The Monitoring Officer, Wealden District Council, Vicarage Lane, Hailsham, BN27 2AX.

By email: monitoring.officer@wealden.gov.uk

All complaints must be submitted in writing.

It is very important that you complete the form fully giving as much detail as possible as insufficient information may result in the complaint not progressing. 

You will be asked for your name, address and contact details.

Each Council has their own code which should be published on their website or you can contact the relevant Parish and Town Council Clerk to ensure your complaint is referring to the correct code. A copy of the Wealden District Council Code of Conduct can be accessed in the Glossary section.

It is important that you provide full details of the alleged misconduct, setting out clearly all of the information that you wish to be taken into account.

For example, please include:

• A clear explanation of what you consider the councillor has done (note that a separate form must be submitted for each councillor)
• specific descriptions about what a councillor said or did
• the dates of alleged incidents wherever possible
• confirm which areas of the Code of Conduct you consider have been breached (as set out in the complaints form)
• Attach supporting documents or evidence and confirm how they relate to the allegation

Before submitting a complaint, please read our Arrangements (see glossary) and the Explanatory Notes (see glossary).

Complaints submitted online will be acknowledged immediately. If the complaint form is submitted by post or email, we will acknowledge your complaint within five working days.

The sections below explain the complaint process and what you can expect.

The Initial Assessment stage involves the Monitoring Officer reviewing and making a decision as to whether a complaint falls with their remit (a jurisdictional test) and warrants further consideration.

The outcome of the initial assessment will usually be confirmed to the Complainant by the Monitoring Officer within four weeks of receipt of the complaint. This may need to be extended where the Monitoring Officer requires additional information.

As part of this stage, the Monitoring Officer may seek further clarification or relevant information from the Complainant and will usually notify the Subject Member of the complaint and given them the opportunity to respond. The Monitoring Officer may also inform the clerk of the relevant Parish or Town Council of the complaint and seek the views of the Parish or Town Council before deciding whether the complaint merits formal investigation.

1. Decision to take no action on the complaint*

*Note: this is referred to as deciding to take no further action in the Arrangements and Explanatory Notes.

Circumstances where a decision to take no action may be appropriate:

• complaint does not fall within the jurisdiction of the Code of Conduct
• Insufficient information provided to support the allegation(s)
• The complaint is the same or substantially the same as a complaint previously dealt with.
• The period which has elapsed since the alleged conduct is so significant that it is considered to be inequitable, unreasonable or otherwise not in the public interest to pursue (i.e. more than six months).
• The complaint discloses such a minor or technical breach of the Code of Conduct that it is not in the public interest to pursue.
• The complaint is or appears to be trivial, malicious, politically motivated, tit-for-tat or otherwise submitted with an improper motive and the complaint is not considered to disclose sufficiently serious potential breaches of the Code of Conduct to merit further consideration.
• The alleged conduct relates to the matters where the councillor was acting in a private capacity.
• The Subject Member has provided a satisfactory remedy to the complaint.
• The complaint is about a person who is no longer a Member of a relevant council.
• There is evidence to suggest a potential breach of the Code of Conduct but the circumstances do not warrant further action.

Where ‘no action’ is decided, notification will be sent to the complainant, the Subject Member and if applicable, the clerk to the relevant Town or Parish Council, setting out the reasons for the decision.

Details of the complaint remain confidential.

2. Informal Resolution (also referred to as ‘other action’)

Circumstances where a decision of ‘other action’ may be appropriate:

• Interpersonal conflicts
• Misunderstanding of procedures or protocols
• A general breakdown in relationships at a council where other action such as mediation might help.
• Complaints where the public interest in conducting an investigation does not justify the costs of such an investigation.
• Where there is behaviour indicating a lack of experience or the Member(s) may benefit from additional training or mentoring.
• Where it appears that the town/parish council would be best placed to resolve the issue.
• Where there is the same alleged breach of the Code of Conduct by many of the Council’s Members, indicating a poor understanding of the Code of Conduct and / or authority’s protocols and procedures.

‘Other action’ can include outcomes such as an apology, commitment to undertake training or taking part in mediation or facilitated discussion. Where appropriate it affords an opportunity for informal resolution between the Complainant and the Subject Member. It does not represent a finding of whether there has been a breach of the Code of Conduct.

If the Monitoring Officer decides ‘other action’ is appropriate, notification will be sent to the complainant, the Subject Member and if applicable, the clerk to the relevant Town or Parish Council, setting out the action taken with an explanation. 

Details of the complaint remain confidential.

The Monitoring Officer will deal with actions arising from a decision of ‘other action’.

3. Refer for Investigation

Where it is decided that a complaint merits formal investigation, the Monitoring Officer or the Deputy Monitoring Officer will appoint an Investigating Officer. At all times, the Monitoring Officer or a suitable appointed person maintains the function of overseeing the investigation.

Where ‘refer for investigation’ is decided, notification is sent to the Complainant and the Subject Member and, if applicable, the clerk to the relevant Town or Parish Council, setting out the reasons for the decision.  All parties involved are advised of the confidential nature of the investigation.

The timescale for producing a report will depend on the nature of the investigation.

On completion of an investigation, the monitoring officer may, following consultation with the Independent Person(s) decide:

• to take no further action;
• to seek to resolve the matter informally; or
• to refer the matter to a local hearing of the Standards Committee 

The Arrangements sets out information relating to investigations and includes a procedure for the investigation of complaints (see Appendix one) and for local hearings (see Appendix two).

Should the Monitoring Officer assess that the complaint may include criminal activity, they will consider a referral to the police or other external authority as appropriate. 

If your complaint or aspects of it are referred to the Police or other body for investigation the Monitoring Officer may adjourn this process and will notify you of this. 

There is no right of appeal to a decision on a Code of Conduct complaint.

Wealden District Council has two Independent Persons, one of whom shall be consulted as part of the consideration of any complaint. Their involvement at the various stages is detailed in the Arrangements.

Subject Members have the right to consult the Independent Person as part of the complaints process.

East Sussex Association of Local Councils

National Association of Local Councils

Factsheets produced by the Local Government and Social Care Ombudsman in relation to Parish and Town Councils and Standards and Member Conduct:

Town and parish councils – Local Government and Social Care Ombudsman

Local Government and Social Care Ombudsman Complaints about Standards and Member Conduct

If you have any questions about the complaints process or require any support or assistance in connection with your complaint please contact: monitoring.officer@wealden.gov.uk

‘Subject Member’ is a reference to the councillor who is the subject of a complaint.

‘Complainant’ is reference to the person submitting a formal complaint.

‘Independent Person’ means an independent person appointed under s.28(7) of the Localism Act 2011.

‘LGA Guidance’ is the guidance published on Member Model Code of Conduct Complaints Handling (2021) by the Local Government Association: LGA Code Conduct Complaints Handling Guidance

‘Arrangements’ is reference to the arrangements adopted by Wealden District Council pursuant to section 28(6) of the Localism Act 2011 to deal with complaints that its code of conduct has been breached, including arrangements for complaints to be investigated and decisions on allegations to be made 

‘Wealden Code of Conduct’ means the code of conduct adopted by Wealden District Council contained with the Constitution Wealden Members’ Code of Conduct

These notes should be read in conjunction with the Arrangements (see below).

1. Context

1.1 These “Arrangements” set out how a Complainant may make a complaint that an elected or co-opted Member of Wealden District Council or of a Parish or Town Council within the District has failed to comply with the authority’s Code of Conduct, and sets out how the authority will deal with allegations of a failure to comply with the authority’s Code of Conduct.

1.2 Under Section 28(6) and (7) of the Localism Act 2011, (“The Act”) the District Council must have in place “arrangements” under which allegations that a Member or co-opted Member of the authority or of a Parish or Town Council within the District, or of a Committee or Sub-Committee of the authority, has failed to comply with that authority’s Code of Conduct can be investigated and decisions made on such allegations.

1.3 Within Wealden, responsibility for these arrangements has been delegated to the Standards Committee. This is a Committee made up of six District Councillors and three, co-opted, non-voting Parish Councillors.

1.4 Such arrangements must provide for the authority to appoint at least one Independent Person, whose views must be sought by the authority before it takes a decision on an allegation which it has decided shall be investigated, and whose views can be sought by the authority at any other stage, or by a member or a member or co-opted member of a parish council against whom an allegation has been made. Within Wealden District Council there are two Independent Persons.

2. The Code of Conduct

2.1 The District Council has adopted a Code of Conduct for Members, which is available for inspection on the District Council’s website and on request at the Council Offices.

2.2 Each Parish or Town Council within the District is also required to adopt a Code of Conduct and, if they have a website, to publish it there. If the Complainant wishes to inspect a Parish or Town Council’s Code of Conduct, the Complainant should inspect the website operated by the Parish/Town Council or request the Parish/Town clerk to allow the Complainant to inspect the Parish or Town Council’s Code of Conduct document.

3. Making A Complaint

3.1 If a Complainant wishes to make a complaint, they must complete a complaints form and send it or e-mail it to:
The Monitoring Officer
Wealden District Council
Council Offices
Vicarage Lane
Hailsham
East Sussex, BN27 2AX
or monitoring.officer@wealden.gov.uk.

3.2 The Monitoring Officer is a senior officer of the Council who has statutory
responsibility for maintaining the register of Members’ interests and is responsible for administering the system in respect of complaints of Member misconduct for both District and Parish and Town Councillors. Copies of Members’ register of interests are available on the District Council’s website and the Parish and Town Council websites where they have one.

3.3 In order to ensure that we have all the information which we need to be able to
process their complaint, the Complainant must complete and send us the Complaint Form, which can be downloaded from the District Council’s website, next to the Code of Conduct, and is available on request from the Council’s Offices.

3.4 The Complainant must provide their name and a contact address or email address, so that we can acknowledge receipt of their complaint and keep them informed of its progress. If the Complainant wishes to keep their name and address confidential, they must indicate this in the space provided on the complaint form, in which case we will not disclose their name and address to the person against whom they are making the complaint (the “Subject Member”), without their prior consent. The authority does not normally investigate anonymous complaints, unless there is a clear public interest in doing so.

3.5 The Monitoring Officer will acknowledge receipt of a complaint within 5 working days of receiving it, and will keep the Complainant informed of the progress of the complaint.

3.6 Complaints involving two or more Members as part of the same complaint will be dealt with separately.

4. Will the Complaint Be Investigated?

4.1 The Monitoring Officer will review every complaint received and will make a decision as to whether it merits formal investigation. This decision will normally be made within 20 working days of receipt of a complaint. The Monitoring Officer will decide a complaint does not merit investigation if:

• It is about someone who is no longer a Member of the Council, or
• There has been a delay of more than 6 months since the matter complained of occurred (unless the Monitoring Officer is of the view that exceptional circumstances exist to allow an extension of time), or
• The complaint appears to be minor, politically motivated, vexatious, and malicious or it is not otherwise appropriate to warrant further action.

4.2 In determining these matters, the Monitoring Officer is able to refer the matter to one or both Independent Persons for their views, prior to making a decision. The Monitoring Officer also retains the discretion to refer the decision as to whether a complaint merits an investigation to the Standards Committee if it appears appropriate to do so.

4.3 This list is not intended to be exhaustive and the Monitoring Officer may decide that a complaint does not merit formal investigation for any other reason which appears to them to be appropriate.

4.4 When the Monitoring Officer or the Standards Committee has made a decision, the Monitoring Officer will inform the Complainant of the decision and the reasons for it. A decision notice is also sent to the person being complained about and the relevant parish/town council clerk.

4.5 Where the Monitoring Officer requires additional information in order to come to a decision, they may revert to the Complainant for such information. The Monitoring Officer may also request information from the Member against whom the complaint is directed. Where a complaint relates to a Parish or Town Councillor or co-opted member, the Monitoring Officer may also inform the Parish or Town Council of that complaint and seek the views of the Parish or Town Council before deciding whether the complaint merits formal investigation.

4.6 Where it appears appropriate to do, the Monitoring Officer may seek to resolve a complaint informally, without the need for a formal investigation. Such informal resolutions may involve the Subject Member admitting that their conduct was unacceptable and offering an apology, or other remedial action being taken by the authority to resolve the complaint. Where the Subject Member or the authority make a reasonable offer of local resolution, but the Complainant is not willing to accept that offer, the Monitoring Officer will take account of this in deciding whether the complaint merits formal investigation.

5. Criminal Conduct

5.1 Under Section 34 of the Localism Act 2011, it is a criminal offence if, without reasonable excuse, a Member of the Authority:
(a) fails to notify the Monitoring Officer of a Disclosable Pecuniary Interest before the end of 28 days beginning with the day on which the Member becomes, or is reappointed, a Member or Co-opted Member of the Authority;
(b) fails to disclose a Disclosable Pecuniary Interest at a meeting, where such interest has not already been registered or notified to the Monitoring Officer;
(c) fails to notify the Monitoring Officer of a Disclosable Pecuniary Interest before the end of 28 days beginning with the day on which the Member discloses it at a meeting, where such interest has not already been registered or notified to the Monitoring Officer;
(d) takes part in discussions or votes at meetings that relate to the Disclosable Pecuniary Interest, unless a dispensation has been granted; and
(e) knowingly or recklessly provides false or misleading information in any of the above disclosures or notifications.

5.2 A Member found guilty of an offence under this provision is liable on summary conviction to a fine not exceeding level 5 of the standard scale, which is currently £5,000. In addition, a court dealing with a person for an offence under the above section may, by order, disqualify the person for a period not exceeding 5 years from being or becoming a member of the authority or any other relevant authority.

5.3 A prosecution for an offence under these provisions of the Localism Act may only be instituted by the Director of Public Prosecutions.

5.4 Where a complaint against a Subject Member relates to allegation relating to a Disclosable Pecuniary Interest as set out in paragraph 5.1, the Monitoring Officer will not make an initial assessment decision under section 4 above, but will immediately refer the matter to Sussex Police whose jurisdiction it is to decide whether the matter merits investigation and prosecution.

5.5 The Monitoring Officer will normally inform the Complainant that the matter has been referred to the Police for consideration, but will not inform the Subject Member, but this is a matter for his discretion.

5.6 Should the complaint relate to any other matters as to a breach of the Members’ Code of Conduct, the Monitoring Officer will normally await the outcome of the Police decision before taking any further decision as to whether these matters require investigation or other action under the Council’s own procedures.

5.7 If the complaint identifies criminal or regulatory misconduct by the Subject Member, or any other person, the Monitoring Officer may, without further reference to the Complainant, call in the Police or other regulatory agencies

6. How is the investigation conducted?

6.1 The District Council has adopted a procedure for the investigation of complaints that the Code of Conduct has been breached, which is attached as Appendix One to these Arrangements.

6.2 If the Monitoring Officer decides that a complaint merits formal investigation, they will appoint an Investigating Officer, who may be another senior officer of the authority, an officer of another authority or an external investigator. It is the responsibility of the Monitoring Officer to oversee the work of the Investigating Officer and to ensure that the investigation is carried out fairly and efficiently. The Investigating Officer will decide whether it is necessary to meet or speak to the Complainant in order to understand the nature of the complaint. They may do so in order that the Complainant can explain their understanding of events and make representations as to what documents the Investigating Officer may wish to see, and who the Investigating Officer may wish to interview.

6.3 The Investigating Officer will contact the Subject Member against whom a complaint has been made and provide them with a copy of the complaint. They will ask the Subject Member to provide their explanation of events and to identify the documents which are available to the Subject Member which the Investigating Officer may wish to see and who they may wish to interview. In exceptional cases, where it is appropriate to keep the Complainant’s identity confidential or disclosure of details of the complaint to the Subject Member might prejudice the investigation, the Monitoring Officer may delete the Complainant’s name and address from the papers given to the Subject Member, or delay notifying the Subject Member until the investigation has progressed to a point where it is appropriate to do so.

6.4 At the end of their investigation, the Investigating Officer will produce a draft report and will send copies of that draft report, in confidence, to the Complainant and the Subject Member concerned, to give both an opportunity to identify and make representations on any matter in the draft report which they disagree with or which they believe requires more consideration.

6.5 Having received and considered any comments which the Complainant and Subject Member may make on the draft report, the Investigating Officer will send their interim report to the Monitoring Officer and to one or both of the Independent Persons.

6.6 The Monitoring Officer and the Independent Person(s) will review the interim report, making any comments as to scope, completeness, etc and return it to the
Investigating Officer for any additional actions if necessary.

6.7 The Investigating Officer will send their final report to the Monitoring Officer and to one or both of the Independent Persons.

7. What happens if the Investigating Officer concludes that there is no evidence of a failure to comply with the Code of Conduct?

7.1 The Monitoring Officer will review the Investigating Officer’s report and, if they are satisfied that the Investigating Officer’s report identifies and addresses all relevant issues relating to the complaint, the Monitoring Officer will write to the Complainant and the Subject Member concerned (and to the Parish or Town Council, where the complaint relates to a Parish or Town Councillor), notifying them that they are satisfied that no further action is required and give them both a copy of the Investigating Officer’s final report and additional information as detailed below.

7.2 Where the Monitoring Officer decides there is ‘no further action’, they will provide details of their reasoning for the decision and any additional advice they have received from the Independent Persons if relevant. Where possible they will provide generic advice on any further avenues that are open for the complainant to use should they wish to pursue the matter, for example mediation, civil proceedings.

8. What happens if the Investigating Officer concludes that there is evidence of a failure to comply with the Code of Conduct?

8.1 The Monitoring Officer will review the Investigating Officer’s report and will then either send the matter for local hearing before the Standards Committee or, after consulting the Independent Persons, seek local resolution.

8.2 Local Resolution
The Monitoring Officer may consider that the matter can reasonably be resolved without the need for a hearing. In such a case, they will consult with the Independent Person and the Complainant and seek to agree fair resolution and which also ensures high standards of conduct for the future. Such resolution may include the Subject Member accepting that their conduct was in breach of the Code of Conduct and, for example, offering an apology, and/or agreeing to other remedial action – such as training, mentoring or mediation. If the Subject Member complies with the suggested resolution, the Monitoring Officer will report the matter to the Standards Committee (and, where appropriate, to the Parish or Town Council for information), but will take no further action. However, if the Complainant tells the Monitoring Officer that they do not consider any suggested resolution would be adequate, the Monitoring Officer may decide to refer the matter for a local hearing.

8.3 Local Hearing
If the Monitoring Officer considers that local resolution is not appropriate or the member concerned is not prepared to undertake any proposed remedial action, such as giving an apology, then the Monitoring Officer may report the Investigating Officer’s report to the Standards Committee which will conduct a local hearing before deciding whether the member has failed to comply with the Code of Conduct and, if so, whether to take any action in respect of the member.

8.4 The District Council has agreed a procedure for local hearings, which is attached as Appendix Two to these arrangements.

8.5 In summary, the Monitoring Officer will conduct a “pre-hearing process”, requiring the Subject Member to give their response to the Investigating Officer’s report, in order to identify what is likely to be agreed and what is likely to be in contention at the hearing. In conjunction with the Monitoring Officer the Chairman of the Standards Committee may issue directions as to the manner in which the hearing will be conducted.

8.6 Where a hearing is considered necessary, the Investigating Officer will present their report, call such witnesses as they may consider necessary and make representations to support their conclusion that the Subject Member has failed to comply with the Code of Conduct. For this purpose, the Investigating Officer may ask the Complainant, and their witnesses, to attend and give evidence to the Standards Committee. The Subject Member will then have an opportunity to give their evidence, to call witnesses and to make representations to the Standards Committee as to why they believe that they have not failed to comply with the Code of Conduct.

8.7 Having heard evidence the members of the Standards Committee may consider their view in public or retire to do so privately. During such deliberations the voting members of the Standards Committee will consult with and seek the view of the Independent Person (and, where the Subject Member is a member of a Parish or Town council, with the Parish/Town Council representative on the Standards Committee).

8.8 If the Standards Committee concludes that the Subject Member did not fail to comply with the Code of Conduct, they will dismiss the complaint. Alternatively, if the Standards Committee concludes that the Subject Member breached the Code of Conduct, the Chairman will inform the Subject Member of this finding and the Standards Committee will then consider what, if any, action, the Standards Committee should take as a result of the Subject Member’s failure to comply with the Code of Conduct. In doing so the Chairman will give the Investigating Officer and Subject Member an opportunity to make representations to the Standards
Committee. When considering what, if any, further action will be taken, the voting members of the Standards Committee will consult with and take the view of the Independent Person into account (and, where the Subject Member is a member of a Parish or Town Council, with the Parish/Town Council representative on the Standards Committee).

9. What action can the Standards Committee take where a Member has failed to comply with the Code of Conduct?

9.1 The Council has delegated to the Standards Committee such of its powers to take action in respect of individual members as may be necessary to promote and maintain high standards of conduct. Accordingly the Standards Committee may –
(a) Publish its findings in respect of the member’s conduct,
(b) Write a formal letter to the councillor found to have breached the code,
(c) Report its findings to Council or to the Parish Council for information,
(d) Seek formal censure by motion,
(e) Recommend to the member’s Group Leader (or in the case of un-grouped members, recommend to Council or to Committees) that he/she be removed from any or all Committees or Sub-Committees of the Council,
(f) Recommend to the Leader of the Council that the member be removed from the Cabinet, or removed from particular Portfolio responsibilities,
(g) Instruct the Monitoring Officer to or recommend that the Parish Council arrange training, mediation or other appropriate remedy, for the member.
(f) Recommend to Full Council or the Parish Council that the member be removed from all outside appointments to which he/she has been appointed or nominated by the authority or by the Parish Council;

9.2 The Standards Committee has no power to suspend or disqualify the member or to withdraw members’ or special responsibility allowances.

10. What happens at the end of the hearing?

10.1 At the end of the hearing, the Chairman will state the decision of the Standards Committee as to whether the member failed to comply with the Code of Conduct and as to any actions which the Standards Committee resolves to take.

10.2 As soon as reasonably practicable thereafter, the Monitoring Officer shall prepare a formal decision notice in consultation with the Chairman of the Standards Committee, and send a copy to you, to the member and to the Parish Council, make that decision notice available for public inspection and report the decision to the next convenient meeting of the Council.

11. Who is the Independent Person?

11.1 The Independent Person is a person who has applied for the post following advertisement of a vacancy for the post. The Act requires the Council to appoint at least one Independent Person to assist the Monitoring Officer, as a consultee, during the pre-investigation, investigation, pre-hearing and hearing process. The role of the Independent Person is to represent the public interest.

11.2 The definition in the Act of an Independent Person is anyone who is not currently:
(i) a Member, co-opted Member or officer of the authority,
(ii) a Member, co-opted Member or officer of a Parish or Town Council of which the authority is the principal authority, or
(iii) a relative, or close friend, of a person within sub-paragraph (i) or (ii) above.

12. Revision of these arrangements

12.1 The Standards Committee will keep these arrangements under periodic review and may approve such changes, modifications or amendments as it considers appropriate.

13. Appeals

13.1 There is no right of appeal for you the Complainant or for the Member against a decision of the Monitoring Officer or of the Standards Committee.

13.2 If you feel that the Council has failed to deal with the complaint properly, you may make a complaint to the Local Government Ombudsman.

Introduction

1. This document sets out the procedure which will be followed once a decision has been taken that an allegation of misconduct by a Member (the “Subject Member”) should be investigated.

Appointment of the Investigating Officer

2. Upon deciding to refer an allegation for investigation, the Monitoring Officer will appoint an Investigating Officer and instruct them to conduct an investigation into the allegation and report on it. The Monitoring Officer may appoint a replacement if the Investigating Officer is unable to complete the investigation. The Investigating Officer may be an Officer of the District Council or another authority or an external Investigating Officer.  Although the Monitoring Officer is responsible for overseeing and ensuring the fairness and effectiveness of the Investigating Officers work, the Investigating Officer is responsible for the day to day management of the investigation.  The Investigating Officer will remain independent of the Monitoring Officer and the Standards Committee throughout the investigation.

The role of the Investigating Officer

3. The role of the Investigating Officer is to ensure, as far as reasonably possible, that all the information which is relevant to the allegation is identified, reviewed and presented in their report.
4. Subject to the agreement of the Monitoring Officer, the Investigating Officer may appoint a person(s) to assist them in the conduct of their functions and may obtain such professional advice as may be necessary for the proper conduct of the investigation.

Notification requirements

5. Following the appointment of an Investigating Officer, the Monitoring Officer will notify the Complainant and Subject Member that the matter has been referred for investigation and inform them who is conducting the investigation. The Monitoring Officer will also advise the Complainant and Subject Member that they, and their witnesses, may be contacted by the Investigating Officer in relation to the investigation process.

Conduct of the investigation

6. The Investigating Officer has a broad discretion as to how they conduct the investigation.
7. The Investigating Officer may request that the Subject Member and the Complainant provide them with information and/or documents which are relevant to the investigation. They may request them to provide details of witnesses or other persons who may be able to assist with the investigation.  If such requests are not complied with the Investigating Officer may seek further instructions from the Monitoring Officer. If the Subject Member fails to co-operate and the matter is subsequently referred to the Standards Committee, the Committee may take that lack of co-operation into account when considering the matters before them.
8. It may assist the Investigating Officer to set out a plan for how they are going to conduct the investigation. The Investigating Officer may consult the Monitoring Officer at any stage of the investigation on any matter that the Investigating Officer considers to be relevant to the proper conduct of the investigation.
9. The Investigating Officer may request any party connected to the investigation to attend for interview with them, or arrangements to obtain information – including by telephone conference and/or for any party to provide them with documents or other material relevant to the investigation.
10. Any person who is interviewed by the Investigating Officer may arrange to have a friend or qualified legal representative attend with them – provided they are not connected to the matter under investigation.
11. The Investigating Officer will take a note of any interviews that they conduct.
12. The Monitoring Officer may, at their discretion, agree that the authority may pay such reasonable expenses, fees or allowances to any persons connected to the investigation who provides documents, information, advice or explanation, or who travels to see the Investigating Officer, as they consider appropriate.

Referral to the Monitoring Officer

13. The Investigating Officer may refer the matter under investigation back to the Monitoring Officer for review if it appears to them appropriate to do so. For example, if the Complainant, Subject Member or a witness is seriously ill or it is appropriate to re-consider the investigation in the light of new evidence.

Deferral of investigation

14. The Monitoring Officer has discretion to defer the investigation if it appears appropriate to do so. For example, if there is a criminal investigation taking place, or one of the parties involved is so unwell that the progress of the investigation is likely to be significantly delayed.

Confidentiality

15. The Investigating Officer will request that any party involved in the investigation treat the matter as confidential, in order to maintain the integrity of the process. Should the matter be referred to a Standards Committee the failure of any party to do so will be brought to the attention of the Standards Committee.

Draft Report

16. When the Investigating Officer is satisfied that they have sufficient information, or has obtained as much information as is reasonably practicable to obtain, they shall prepare a confidential draft report setting out the details of the allegation, the relevant sections of the Code of Conduct, a summary of the allegation, the response of the Subject Member, the information, documents and evidence taken from all parties during the course of the investigation, a statement of their draft findings, and the Investigating Officer’s conclusion as to whether the Subject Member has breached the Code of Conduct.
17. The draft report will be sent to the Monitoring Officer, the Complainant and the Subject Member for their comments. Following liaison with the Monitoring Officer the Investigating Officer may wish to conduct further investigations once they have received those comments, before producing their final report.

Final Report

18. The final report will include the same sections as the draft report and will conclusively confirm the Investigating Officer’s view as to whether or not there has been a breach of the Code of Conduct.
19. Where appropriate, to assist the Monitoring Officer, the Investigating Officer may include a chronology, summary of disputed facts and/or to append witness statements or other documents to the final report.

Action on receipt of Final Report

20. If the Investigating Officer concludes that there is no evidence of a failure to comply with the Code of Conduct, the Monitoring Officer will review the report, consult with the Independent Person, and, if satisfied that the report addresses all relevant issues, will write to the Complainant and the Subject Member notifying them that no further action is to be taken and enclose a copy of the final
21. If the Monitoring Officer is not satisfied that the investigation addresses all relevant issues, or fails to deal with the matter comprehensively or has not been conducted properly, they will, following consultation with the Independent Person, ask the Investigating Officer to reconsider their report, or the Monitoring Officer may make other arrangements to review the investigation.
22. If the report concludes that there is evidence of a failure to comply with the Code of Conduct the Monitoring Officer will either refer the matter to the District Council’s Standards Committee or, after consulting the Independent Person, seek local resolution.
23. More information on the local resolution of complaints can be found in the separate document referring to the “Arrangements for dealing with Member Complaints”.
24. More information on the Standards Committee process can be found in the separate document referring to the “Hearing Procedure”.

1.Where an Investigating Officer has concluded that there is evidence that the Subject Member has failed to comply with the Code of Conduct the Monitoring Officer may decide that the matter should be dealt with before the Standards Committee. The procedures for doing so are as follows:

Pre-hearing process

2.  The Monitoring Officer will, arrange for the Standards Committee (the Committee) to meet to hear the complaint, in accordance with the agreed Arrangements for Dealing with Member Complaints. The Committee will deal with the matter as soon as is reasonably convenient for all parties and, subject to exceptional circumstances arising, will aim to do so within 3 months of receiving the Investigating Officer’s report. The Monitoring Officer will contact all parties and seek to establish a convenient date for the hearing.  All parties will be expected to respond promptly (and in no more than 14 days) to the Monitoring Officers’ request – in order that the date the Committee sits can be arranged promptly and at the convenience of all parties. 

3. As soon as a suitable date has been identified all parties will be notified of it. Where the Committee may sit for more than one day, the Monitoring Officer will aim to arrange sittings on consecutive days. If a party becomes unavailable to attend the Committee after the date of the hearing has been fixed, the Monitoring Officer will expect to receive prompt notification and brief reasons for the unavailability.  Based on that information, following consultation with the Chairman of the Committee, the Monitoring Officer will exercise their discretion as to whether the date the Committee sits should be re-arranged.

4. The Standards Committee are subject to the normal requirements on confidential and exempt information as apply to any other Committee under ss100 A to K and Schedule 12A of the Local Government Act 1972. The Monitoring Officer will consider whether these provisions apply in advance of the hearing and may consult one of the Independent Persons, the Chairman of the Committee and any other party involved in the Committee for their views.

5. The Monitoring Officer will request that the Subject Member gives their response to the Investigating Officer’s report promptly – in order to identify areas of agreement between the parties and matters that are likely to be contentious well in advance of the date that the Committee sits. If the Subject Member unreasonably delays or withholds their response the Committee may take that lack of co-operation into account when considering the matters before them.

6. If the Subject Member wishes to rely on new evidence at the hearing that has not been considered by the Investigating Officer, for example, documents or information that have not previously been referred to or by calling new witnesses, the Subject Member will be expected to give the Monitoring Officer reasonable notice and provide the Monitoring Officer with a copy of that new material or a summary of the evidence that the new witness is likely to give.

7. Subject to the above, on the exercise of the Chairman’s discretion the Committee may decline to allow such new arguments, witnesses or evidence to be presented at the hearing.

8. It is the responsibility of the Monitoring Officer to oversee the work of the Investigating Officer during the evidence gathering process and the Monitoring Officer will collate and consider all the evidence available prior to placing it before the Committee. During this process the Monitoring Officer will, where they consider it necessary to do so, consult with, and take account of, the view of the Independent Person.

9. The Chairman of the Committee is responsible for the conduct of the hearing. Where the Monitoring Officer considers it  appropriate to do so, the Monitoring Officer may consult with the Chairman of the Committee (and, if appropriate, with one of the Independent Persons), with a view to assisting the Chairman in issuing pre-hearing directions to the parties involved in the hearing.  The purpose of doing so is to identify relevant issues and to ensure that the business of the Committee is dealt with efficiently.  The decision as to whether directions are issued is, ultimately, a matter for the Chairman. 

10. The Monitoring Officer may, at their discretion, agree that the authority pay the reasonable expenses of the Complainant, Subject member and witnesses, associated with their attendance at the hearing.

11. The Monitoring Officer will consider whether it is appropriate to hear two or more complaints together. This may occur, for example, if they relate to the same Subject Member, or arise from the same or a similar set of facts or from the same incident, or have some other connection by which the Monitoring Officer considers that it is proper to link one or more complaints.

12. The Monitoring Officer, or their nominee, will act as a point of contact for the Subject Member, the Complainant, and any witnesses who will give evidence.

The Hearing

13. There is a presumption that the deliberations of the Committee will take place in public. The parties to the hearing may make representations to the Chairman on this point and should do so, via the Monitoring Officer, in good time prior to the hearing. The Chairman may issue directions in advance on this point or, in the interests of transparency, deal with the issue at the commencement of the Committee.
14. One of the Independent Persons appointed by the District Council will be invited to attend at the Committee. Where one of the Independent Persons has already been involved in the pre-hearing process and there is an actual, or potential, conflict of interest, the Monitoring Officer will invite the other Independent Person to attend the Committee who has not been involved with the pre-hearing process. Where an Independent Person takes part in the Committee they will be consulted and their view sought during the process and, save that they are not entitled to vote on the decision as to whether there has been a breach of the Code of Conduct and, if so, what action to take, they will be treated as an equal member of the Committee.
15. If the Subject Member does not attend the hearing, the Committee may at the discretion of the Chairman, adjourn the hearing or continue to hear evidence and reach a decision on the basis of the Investigating Officer’s report and any evidence they may
16. The Committee sits as a meeting of the District Council, not a court of law. Where a Committee sits the burden is on the Complainant, through the Investigating Officer, to prove that there has been a breach of the Code of Conduct.  That burden is to the civil standard, the allegation must be proved on the balance of probabilities.  Evidence is not heard on oath.  However, all parties are expected to have proper regard for the seriousness of the proceedings and the public interest in ensuring the business of the Committee is conducted fairly and efficiently.
17. In order to assist the Committee in dealing with matters fairly and efficiently the Chairman of the Committee may, at their discretion, allow the Investigating Officer and the Subject Member to make opening remarks and/or closing arguments.

Representation

18. The Subject Member may arrange to have a friend or qualified legal representative attend the hearing with them, provided that they are not connected to the matter under investigation. The Committee may refuse to allow the friend or representative to remain at the hearing if they are disruptive.  

Evidence

19. All matters relating to the evidence and procedure at the hearing are within the discretion of the Chairman of the Committee. The Chairman may, at any time, seek advice from the Monitoring Officer.
20. Subject to the exercise of the Chairman’s discretion to manage the hearing, the Subject Member is entitled to present their case as they see fit.
21. Where the Chairman of the Committee may consider exercising their discretion as to the management of the proceedings the Chairman will have regard to any relevant submissions made by the Investigating Officer and Subject Member.
22. It will be the general expectation of the Committee that all witnesses of fact relevant to the disputed issues will attend in person to give their evidence and to be questioned. Less weight may be placed on the evidence of witnesses of fact where they do not attend before the Committee, because they are not available to be questioned by the other party. It is the expectation that witnesses as to character will normally provide their evidence in writing, such evidence will be read to the Committee by the party who wishes to rely on that evidence.
23. It will be the expectation of the Committee that the Complainant, Subject Member and all witnesses behave courteously both throughout the pre-hearing stage and at the hearing. Parties who behave unreasonably, are rude or who seek to disrupt the hearing will be asked to leave and the Chairman may exercise their discretion to proceed without hearing that persons evidence. Alternatively, the hearing may be adjourned.
24. Subject to the Chairman exercising their discretion, the general procedure at a hearing will be that the Investigating Officer will present their final report, call such witnesses as they consider necessary and make representations to support their conclusions. Following the Investigating Officer calling each witness the Subject Member will be entitled to question that witness, through the Committee.  Thereafter the Subject Member will have the opportunity to give their evidence, call witnesses and to make representations to the Committee as to why they believe they have not failed to comply with the Code of Conduct.  The Investigating Officer may question the Subject Member and each of the Subject Member’s witnesses, after they have given their evidence, through the Committee.  The Complainant, Investigating Officer, Subject Member and all witnesses may be questioned by all members of the Committee during the proceedings. If it appears to the Monitoring Officer that a relevant question or issue has not been raised by either party the Monitoring Officer may bring that point to the attention of the Chairman. 
25. The onus is on the Subject Member to ensure the attendance of all witnesses they wish to call to give evidence on their behalf at the Committee. The Chairman of the Committee will consider the relevance of the potential evidence that a witness may give, both in liaison with the Monitoring Officer at the pre-hearing stage (when the Chairman may issue directions) and throughout the hearing.  By applying the test of relevance the Chairman may limit the number of witnesses to be called by either party and/or the issues that may be covered by them.
26. No party to the proceedings has the power to compel any witness to attend to give evidence before the Committee.

Role of Monitoring Officer at the Hearing

27. The role of the Monitoring Officer is to ensure that the pre-hearing stage and hearing are conducted efficiently. Although they are responsible for overseeing the work of the Investigating Officer, the Monitoring Officer will remain impartial and, where asked to do so by the Chairman of the Committee, may give independent advice on legal and procedural matters.  The Monitoring Officer is not permitted to make findings of fact regarding any allegation that the Code of Conduct has been breached, this is a matter solely for the Committee.  References to the Monitoring Officer should be read to include any representative of the Monitoring Officer.

Role of the Complainant at the Hearing

28. The role of the complainant will usually be limited to being a witness and they are not a party to the proceedings. However, the Committee may wish to consult them at any stage in the hearing if they feel their comments would assist them.

Decision

29. Having heard all the evidence, the Committee must decide whether or not the Subject Member has breached the Code of Conduct and, if so, what, if any, sanctions to impose.
30. The Committee will generally retire to consider in private whether they conclude that the Subject Member has breached the Code of Conduct. All members of the Committee may contribute equally to the deliberations, although only the District Council members of the Committee may vote.  If necessary, the Chairman has a casting vote.
31. Having considered whether or not the Subject Member has breached the Code of Conduct, the Committee will reconvene in public session and the Chairman will advise the Subject Member of the outcome. If the Committee decides that the Subject Member has not breached the Code of Conduct then the proceedings are concluded immediately.  Alternatively, if the Committee decides that the Code of Conduct has been breached, the Chairman will announce this decision and give brief verbal reasons.  The Investigating Officer and Subject Member may then make representations as to what, if any, sanctions are appropriate.  The Committee will generally retire to consider those representations. On returning to public session the Chairman will announce the sanctions, if any, to be imposed and give brief verbal reasons.
32. While the Monitoring Officer may assist the Committee during its private deliberations by, for example, reviewing the evidence heard or advising on issues of law, the Monitoring Officer is not permitted to express any view on the merits of the evidence or to attempt to influence the decision making process. Once a decision has been made, either whether or not the Code has been breached or on the imposition of sanctions, the Monitoring Officer may assist the Chairman in drafting a short document containing the reasons for the relevant decision, to be announced by the Chairman at the hearing.

Sanctions

33. The Committee must consult the Independent Person before imposing any sanction and give the Subject Member the opportunity to make representations.
34. When making its decision on the sanctions that may be imposed the Committee will consider the seriousness of the breach of the Code of Conduct and its actual and potential consequences. In doing so it will also have regard to any mitigating or aggravating factors, such as:

Mitigating Factors

• An honest but mistaken belief that the action was not a breach of the Code of Conduct
• A previous record of good public service
• An offer to apologise for the breach, particularly if it is made at an early stage in the overall proceedings
• Evidence of ill health at the time of the breach

Aggravating Factors

• Dishonesty
• Continuing to deny the breach
• An attempt to blame others
• Evidence of a failure to follow earlier advice or warnings
• Previous breaches – particularly where they are of a similar nature.

35. When imposing sanctions the primary objective of the Committee will be to ensure that the Subject Member is dealt with in a way that prevents a further breach of the Code of Conduct and maintains public confidence in the General Principles of Public Life and ethical local governance.

39. The sanctions available to the Committee are to:

• Publish its findings in respect of the Subject Member’s conduct
• Write a formal letter to the Subject Member
• Report its findings to Council for information
• Seek formal censure by motion
• Recommend to the Subject Member’s Group Leader (or, in the case of Subject Members who do not belong to a political group, recommend to Council or to Committees) that they be removed from any or all Committees or Sub-Committees of the Council,
• Recommend to the Leader of the Council that the Subject Member be removed from the Cabinet, or removed from particular Portfolio responsibilities,
• Instruct the Monitoring Officer to arrange mentoring, training, mediation or other appropriate remedy for the Subject Member.

Notice of Decision

40. As soon as is reasonably practicable after the hearing the Monitoring Officer will prepare a formal Decision Notice. The Decision Notice will confirm the decision of the Committee. Where the Code of Conduct has been found to have been breached, and if sanctions have been imposed, the Decision Notice will contain written reasons.  A copy of the Decision Notice will be sent to the Complainant and the Subject Member.  The Decision Notice will be made available for public inspection and a report of the decision will be made to the next Standards Committee meeting.