3.1. Stage 1 - Initial Assessment
The Monitoring Officer or the person authorised by the Monitoring Officer will consider the complaint and in particular will consider whether:
- (a) the complaint is about the conduct of a Councillor or lay or coopted member of the Council or a town or parish Council within the Council's area;
- (b) the Councillor was a councillor at the time of the incident giving rise to the complaint;
- (c) the Councillor was a councillor at the time of the complaint; and
- (d) the matters giving rise to the complaint would, if proven, be capable of breaching the Code of the relevant local authority.
3.2. If the complaint:
- (a) fails one or more of those tests, no further action will be taken.
- (b) shows a clear and obvious breach that can be resolved amicably, the Monitoring Officer after consultation with the Independent Person, may seek to resolve the complaint; or
- (c) if the Monitoring Officer or the person authorised by the Monitoring Officer in consultation with the Independent Person is satisfied that it would be disproportionate to investigate the complaint, no further action will be taken.
In all cases, the Monitoring Officer's decision will be final.
3.3. Unless the complaint is about a failure to disclose a Disclosable Pecuniary Interest or other criminal behaviour (see paragraph 3.8 below), if the complaint satisfies the tests in paragraphs 3.1 and is not otherwise dealt with in accordance with paragraph 3.2, the Monitoring Officer or the person authorised by the Monitoring Officer will prepare a report and consult with members of the Audit and Governance (Assessment) Panel. The Councillor and (if they are a Town or Parish Councillor), the relevant Town or Parish Clerk, will be informed of the receipt of the complaint.
3.4. When considering the report and assessing the complaint the Monitoring Officer and the Audit and Governance (Assessment) Panel will have regard to the criteria set out in Appendix A and any relevant guidance issued by the Local Government Association on the assessment of councillor complaints.
3.5. The Monitoring Officer in consultation with the members of the Audit and Governance (Assessment) Panel may:
- (a) reject the complaint or to decide to take no action - in which case the Monitoring Officer will give their reasons for doing so;
- (b) seek an informal resolution (including, for example, an apology, or mediation); or
- (c) require the complaint to be investigated.
3.6. A copy of the complaint and a summary of the Monitoring Officer's Assessment will be sent to the Councillor and to the complainant by the Monitoring Officer or the person authorised by the Monitoring Officer.
NOTE: There will be a strong presumption towards an assessment being treated as being exempt from disclosure to the wider public. This is because the assessment is considering possibly unfounded and potentially damaging complaints about councillors, which it would not be appropriate to make public because of the risk of reputational damage or the risk of prejudicing any future investigation.
3.7. The decision of the Monitoring Officer will be final and there will not be any review or appeal.
3.8. A complaint that involves an allegation of a breach of a Disclosable Pecuniary Interest will be referred to the Police and will not at that stage be subject to any further investigation by the Council. Where a complaint involves allegations in addition to one relating to a Disclosable Pecuniary Interest, those additional allegations will not usually be investigated following the completion of any police investigation.
3.9. Stage 2 - Investigation and hearing
The Investigating Officer will examine any available evidence of the alleged breach. They will usually interview the complainant, the Councillor and, if appropriate any witnesses.
The Investigating Officer will prepare a report setting out:
- (a) the agreed facts;
- (b) any facts which are not agreed and the conflicting evidence; and
- (c) their conclusion on whether there has been a breach of the Code of Conduct or not.
3.10. The Investigating Officer's report will be circulated with the agenda as an exempt item. Having resolved to exclude the press and public from the meeting, the Audit and Governance (Hearing) Sub-Committee will consider whether the press and public should continue to be excluded further from all or any part of the hearing. Before making its decision the Sub-Committee may ask the Investigating Officer and the Councillor complained about (if present) for their views.
NOTE: To promote public confidence and ensure fairness and transparency, the hearing will normally be held in public. However, the Sub-Committee may resolve to exclude the public and press for any part of the hearing where confidential or exempt information is considered and will usually do so when coming to its decision (see Appendix B).
3.11. The Audit and Governance (Hearing) Sub-Committee will reach a view on disputed facts and decide whether to accept the conclusion of the Investigating Officer on the alleged breach of the Code of Conduct or not. The Sub-Committee may:
- (a) dismiss the complaint;
- (b) refer the complaint to the Monitoring Officer to seek an informal resolution;
- (c) hold a hearing of the Sub-Committee (which depending on the circumstances may or may not be held on the same day as the initial consideration of the Investigating Officer's report).
3.12. The hearing will be to make a final decision on whether a Councillor has breached the Code of Conduct or not and, if so, to decide whether any sanction should be imposed.
3.13. The Sub-Committee may decide:
- (a) to take no further action;
- (b) to seek an informal resolution between the complainant and the subject Councillor (if agreed by both parties);
- (c) to censure the Councillor;
- (d) to request the Councillor to give an unequivocal apology ;
- (e) to instruct the Monitoring Officer to request the Councillor to attend training;
- (f) to refer the matter to the full Council (in the case of a Town and Parish Councillor refer the matter to the relevant Town or Parish Council).
