Local Assessment of Code of Conduct Complaints

2 Background  On 08 May 2008 – the local assessment of Code of Conduct complaints was implemented due to the introduction of the Local Government and Public Involvement in Health Act 2007, which amends the Local Government Act  Initial complaints about members ethical conduct no longer go to the Standards Board for England and must be assessed locally.  Code of Conduct complaints are now dealt with by Stockton-on-Tees Borough Council’s Standards Committee Assessment Sub-Committee and Review Sub-Committee.

3 Stage One (Making a Complaint)  All Code of Conduct complaints should now be addressed to the Chair of the Standards Committee, care of the Council’s Monitoring Officer at Stockton- on-Tees Borough Council, Municipal Buildings, Po Box 11, Church Road, Stockton-on-Tees, TS18 1LD.  Complaints should be made in writing. Complaint forms and guidance notes for complainants are available on the authority’s website at:  On receiving a complaint, the Monitoring Officer will determine whether the complaint appears to be a substantive allegation of member misconduct, rather than a policy / service disagreement, a complaint against an Officer or some other form of alleged procedural or administrative irregularity.  If the complaint appears to be a conduct matter relating to a member, the complaint will be acknowledged in writing by the Monitoring Officer, which will include a request for any additional information.

4 Stage Two (Assessment Sub- Committee)  Within 20 working days of receiving the misconduct complaint an Assessment Sub-Committee meeting will be arranged to consider the complaint.  An Assessment Sub-Committee will be formed from Standard Committee members and shall consist of at least three members, with an independent co- opted chair, at least one elected member of the Council and a parish representative when considering a misconduct matter relating to a Parish or Town Council.  The Assessment Sub-Committee meetings are held in private and no representations from the member complained about are received, as the meeting is an assessment of a complaint and is not a determination of the complaint based on any findings of fact.

5 Stage Two (Assessment Sub- Committee)  The Assessment Sub-Committee will consider the information provided in relation to the complaint, and will decide whether or not any further action is justified, taking into account the assessment criteria / guidance documents which are available to help the Sub-Committee reach their decision. ss/revasssubcrit.doc  The Assessment Sub-Committee’s decision will be one of the following:  No action should be taken in respect of the allegation  Refer the allegation to the Monitoring Officer or Standards Board for England for Investigation  Refer the allegation to the Monitoring Officer for other action (mediation, training, conciliation, etc)  Refer the allegation to the Monitoring Officer of another authority, if the member is no longer a member of Stockton-on-Tees Borough Council but is a member of that other authority.

6 Stage Two (Assessment Sub- Committee)  As far as is reasonably practicable (usually 5 working days) the complainant, subject member and clerk (if it is a Town or Parish Council matter) will be notified of the Assessment Sub-Committee’s determination via a decision notice. This notice will detail the reasons for the decision.  If the Assessment Sub-Committee decide that investigation or other action is appropriate the complaint will be referred to the Monitoring Officer. However, the Sub-Committee can refer a matter to the Standards Board for England (see assessment criteria document).  If the Assessment Sub-Committee determine that no action is warranted, the decision notice will confirm that the complainant has a right to a review of the decision should a request be made in writing within 30 days of the date of the decision notice.

7 Stage Three (Review Sub- Committee)  On receiving a valid review request a Review Sub- Committee meeting will take place within 3 months of the date the request was received, although attempts will be made for the Review Sub-Committee meeting to take place as soon as practicably possible (usually within 20 days of receipt of the request).  A Review Sub-Committee will be formed from Standard Committee members and shall consist of at least three sub-committee members, with an independent co-opted chair, at least one elected member of the Council and a parish representative when considering a misconduct matter relating to a Parish or Town Council.  The Review Sub-Committee will not consist of any member who took part in the original assessment of the complaint.

8 Stage Three (Review Sub- Committee)  The Review Sub-Committee will be conducted in two stages:  To determine whether the original decision was unreasonable based on the information at the time.  To consider any new evidence which demonstrates the initial decision is no longer sustainable.  The Review Sub-Committee’s decision will be either:  No action should be taken in respect of the allegation  Refer the allegation to the Monitoring Officer or Standards Board for England for investigation  Refer the allegation to the Monitoring Officer for other action (mediation, training, conciliation, etc)  Refer the allegation to the Monitoring Officer of another authority, if the member is no longer a member of Stockton-on-Tees Borough Council but is a member of that other authority

9 Stage Three (Review Sub- Committee)  As far as is reasonably practicable (usually 5 working days) the complainant, subject member and clerk (if it is Town or Parish Council matter) will be notified of the Review Sub-Committee’s determination via a decision notice. This notice will detail the reasons for the decision.  If the Review Sub-Committee determine investigation or other action is appropriate the complaint will be referred to the Monitoring Officer. However, the Sub- committee can refer a matter to the Standards Board for England (see assessment criteria document).  If the Review Sub-Committee determine that no action is appropriate, the decision notice will confirm that this is the end of the process and that there is no further right of appeal to the Council against this decision.

1010 Stage Four (Other Action)  If the Assessment or Review Sub-Committees determine that a matter should be referred to the Monitoring Officer the subject member and complainant will be contacted by the Monitoring Officer regarding the other action proposed (mediation, training, conciliation, etc).  Following attempts to reach a resolution with the subject member and complainant, the Monitoring Officer will report back to the Sub-Committee on the action proposed and / or taken.  If the Sub-Committee are not satisfied with the action proposed and / or taken, or the response, they can make a further direction to the Monitoring Officer. This direction cannot however include investigation, as this option is no longer available once other action has been chosen.  Once the Sub-Committee is satisfied with the action proposed and / or taken or the response the complaint will be closed and the subject member and complainant will be advised accordingly.

1 Stage Five (Referral to the Monitoring Officer for Investigation)  If the Assessment or Review Sub-Committees decide that a matter should be referred to the Monitoring Officer for investigation, the Monitoring Officer will appoint an Investigator locally.  Once appointed the Investigator will write to the complainant and subject member to introduce themselves and to confirm details of the forthcoming investigation process.  Investigations / enquiries will be made by the Investigator and in most cases a draft report produced, which will detail the findings and the investigators opinion on whether or not there has been a breach of the Code of Conduct.  The draft report will be forwarded to the complainant and subject member for comments. The Investigator will then finalise the report having considered any comments made.  The Investigator’s report will then be considered by the Standards Committee’s Consideration Sub- Committee who will determine if the findings of the report are agreed or not.

1212 Stage Five (Consideration Sub- Committee)  A Consideration Sub-Committee will be formed from Standard Committee members and shall consist of at least three sub-committee members, with an independent co-opted chair, at least one elected member of the Council and a parish representative when considering a misconduct matter relating to a Parish or Town Council.  Assessment / Review Sub-Committee members may also sit on the Consideration Sub-Committee in connection with the same complaint.  At the Consideration Sub-Committee meeting the Investigator will attend to present his report orally. The Sub-Committee will determine whether the meeting is open to the press and public or to be held in private and will be able to ask the investigator any relevant questions.  Having considered the investigation report the Consideration Sub-Committee’s decision will be either:  that it accepts the finding of the report of no failure  that the matter should be considered at a hearing  that the matter should be referred to the Adjudication Panel for England for determination.

1313 Stage Five (Consideration Sub-Committee)  If there is a case to answer the Sub-Committee will direct the Monitor Officer to make arrangements for a hearing or refer the matter to the Adjudication Panel for England (APE).  A referral to the APE will only be made if the Consideration Sub-Committee agree that a serious breach of the Code may have taken place and that the sanctions available to the Standards Committee are insufficient. The President of APE must also have indicated that he is willing to accept such a referral.  The APE process is by means of a referral to a quasi- judicial case tribunal. The sanctions available include suspension not exceeding 12 months / disqualification not exceeding 5 years.  If the Sub Committee considers that there is no case to answer the relevant parties will be notified and the case will be closed.  The Consideration Sub-Committee will in each case explain the reasons for their decision.  The Sub Committee also has a statutory duty to publish a finding of no failure, unless the subject member requests the Sub Committee not to do so.

1414 Stage Six (Hearing)  A Hearing Sub-Committee will be formed from Standard Committee members and shall consist of three to five members, with an independent co- opted chair, at least one elected member of the Council and a parish representative when considering a misconduct matter relating to a Parish or Town Council.  Standards Committee members involved in the complaint’s initial assessment / review can take part in a subsequent Hearing Sub-Committee.  A Consideration Sub-Committee member should not take part on a Hearing Sub-Committee that deals with the same complaint.  The hearing is a formal meeting of the Council and not a court of law. It will consider verbal and written presentations regarding any disagreements about the facts of the case, in accordance with its agreed procedures.

1515 Stage Six (Hearing)  Factual evidence will be decided on the balance of probabilities.  The hearing is a three stage process and the Hearing Sub-Committee will: 1. Make findings of fact. 2. Based on the finding of facts decide whether or not the Code of Conduct has been breached. 3. If a breach is found, determine what sanction/s are appropriate, if any.  The Hearing Sub-Committee may also make any additional recommendations to the relevant authority with a view to improving members ethical conduct.

1616 Stage Seven (Appeals)  A member subject of a finding of a breach / sanction as a result of a Standards Committee hearing can seek permission to appeal and apply for the suspension of a sanction (until such time as any appeal is determined) by way of a notice in writing to the president of the Adjudication Panel for England.  Such notice must be received by the president of the Adjudication Panel within 21 days of the member’s receipt of the Standards Committee notice of finding.  The president of the Adjudication Panel will determine whether an application for permission should be granted on the basis that there is a reasonable prospect of success (either in whole or part). Within 21 days of receipt of the written notice the president of the Adjudication Panel will confirm the decision and give reasons.  Where permission is granted and the member has not consented to an appeal being conducted by written representations the matter will be referred to an appeals tribunal hearing.

1717 Stage Seven (Appeals)  An appeals tribunal will consist of not less than three members appointed by the president of the Adjudication Panel for England.  The procedure for conducting an appeal will be such as the appeals tribunal considers appropriate.  An appeals tribunal must either uphold or reject the Standards Committee finding (including any sanction imposed).  Where the appeals tribunal rejects a finding, the Standards Committee decision will cease to have effect from the date of the decision.  Where the appeals tribunal upholds the finding, or part finding it may confirm the decision to impose no sanction or it may impose any sanction that was available to the Standards Committee.  Should the Adjudication Panel for England decision be disputed, the member may seek to appeal further, on a point of law to the High Court.