Standards and Audit Committee

24 October 2003
City Council
5 November 2003
Draft Protocol - Dealin !it" Com#laints aainst $embers
%e#ort by& 'ead of (eal Services and 'ead of Democratic Services)
Strateic Su##ort Directorate
*ard +m#lications& All *ards
FOR DECISION
1. Syno#sis
1.1 The purpose of this report is to seek the Committees approval to a draft
Protool deali!" #ith loal determi!atio! of omplai!ts a"ai!st $em%ers.
&. %ecommendation
&.1 The Committee is re'uested to approve the draft Protool attahed at
(ppe!di) ( a!d remit it to Cit* Cou!il for approval.
+. ,ac-round
+.1 ,!der the -oal .over!me!t (t &///0 the Cou!il adopted a !e# Code of
Co!dut for $em%ers. The Sta!dards 1oard for E!"la!d 2esta%lished u!der
that (t3 is respo!si%le for deali!" #ith #ritte! omplai!ts that $em%ers have
o!trave!ed the Code of Co!dut. The Sta!dards 1oard deides #hether a
omplai!t should %e i!vesti"ated. If the Sta!dards 1oard deides that it should
%e i!vesti"ated0 the matter is passed to a! Ethial Sta!dards Offier to
i!vesti"ate.
+.& The -oal (uthorities 2Code of Co!dut3 2-oal Determi!atio!3 Re"ulatio!s
&//+ 24the Re"ulatio!s53 ame i!to fore o! +/ 6u!e &//+.
+.+ The Re"ulatio!s allo# a! Ethial Sta!dards Offier 24ESO53 to refer omplai!ts
to the $o!itori!" Offier after ompletio! of a! i!vesti"atio! for the report to %e
referred to the Sta!dards a!d (udit Committee for determi!atio!.
+.7 The Sta!dards 1oard issued "uida!e o! the Re"ulatio!s i! 6ul* &//+. 2(
op* of the .uida!e has %ee! supplied to eah $em%er of the Committee3.
+.8 The Cou!il !eeds to a"ree a proedure to reeive referrals from the
Sta!dards 1oard follo#i!" ompletio! of a! ESOs report.
+.9 The Cou!il previousl* adopted a Protool for I!vesti"ati!" Complai!ts a"ai!st
Cou!illors 2Part 8: of the Ne#astle Charter3 #hih provides for i!vesti"atio!
%* the $o!itori!" Offier a!d refere!e to the Committee. This loal protool
should !o# o!l* %e !eeded i! respet of omplai!ts that are !ot referred to the
Sta!dards 1oard0 for e)ample0 %reahes of the Developme!t Co!trol or
-ie!si!" Committee Protool that do !ot amou!t to o!trave!tio! of the Code
of Co!dut. The draft Protool attahed at (ppe!di) ( #ill replae the e)isti!"
Protool i! Part 8: of the Ne#astle Charter.
7. Procedure !"en an .SO/s %e#ort is received by t"e $onitorin Officer
and referred to t"e Committee for determination 0Part 21
7.1 $ai! eleme!ts of the proedure
The draft Protool at (ppe!di) ( i!ludes a proedure to %e follo#ed #he! a!
ESOs report is se!t to the $o!itori!" Offier for determi!atio! %* the
Committee 2Part &3.
The mai! eleme!ts of the proedure are; 2i3 the pre<heari!" proess 2ii3 the
proedure for the heari!" itself a!d 2iii3 !otie of the Committees fi!di!"s.
7.& Timesales for the Proess
,!der the Re"ulatio!s0 the Committees heari!" has to take plae !o later tha!
three mo!ths after the $o!itori!" Offier first reeives the ESOs report.
:o#ever0 it has %ee! su""ested that the heari!" should take plae
o!sidera%l* soo!er tha! three mo!ths.
It has %ee! su""ested that the pre<heari!" proess %e ompleted #ithi!
18 #orki!" da*s from the $o!itori!" Offier reeivi!" the ESOs report 0 a!d
the heari!" the! take plae #ithi! a further 18 #orki!" da*s 2ie the #hole
proedure #ould take a total of +/ #orki!" da*s from reeipt of the ESOs
report to the date of the heari!"3.
(ttahed to this report is a su""ested timeta%le #hih sho#s #hat are %elieved
to %e the mi!imum periods #hih #ould %e pratial. Those timesales have
%ee! i!serted i! the draft Protool. $em%ers are asked to o!sidered the
su""ested timeta%le a!d o!sider if it is appropriate.
7.+ :eari!" proedure
7.+.1 The heari!" proedure is set out i! Shedule 1 of Part & of the draft Protool
a!d losel* follo#s the model proedure issued %* the Sta!dards 1oard i! their
pu%liatio! 4Sta!dards Committee determi!atio!s. .uida!e for $o!itori!"
Offiers a!d Sta!dards Committees.5
7.+.& The -oal .over!me!t (t &//+ allo#s Sta!dards Committees to formall*
dele"ate respo!si%ilit* for loal determi!atio!s to a su%<ommittee. This formal
dele"atio! is permitted after 1=>11>/+. The proedure i! Part & therefore
provides that the Committee #ill meet to formall* appoi!t a su%<ommittee to
determi!e the matter0 omprisi!" + or 8 mem%ers of the Committee.
7.+.+ Follo#i!" the Chairs atte!da!e at the Natio!al Co!fere!e of the Sta!dards
1oard0 it #as reported that it had %ee! su""ested that a!* !e# issues
disovered duri!" the proeedi!"s0 a!d !ot part of the ori"i!al omplai!t0 ould
form part of a!* ?ud"me!t %* the Committee at the heari!". (s that poi!t #as
!ot i!luded i! the Sta!dards 1oards pu%lished "uida!e0 Offiers raised this
#ith the Sta!dards 1oard diret a!d re'uested larifiatio!. The Sta!dards
1oard has o!firmed that a!* !e# alle"atio!2s3 #ould have to %e referred %ak
to the Sta!dards 1oard 2ie a !e# e)ample of miso!dut #hih has !ot %ee!
i!vesti"ated %* a! ESO3. The Committee a!!ot i!vesti"ate a !e# matter.
:o#ever0 if a !e# issue of "e!eral o!er! #as revealed0 the Committee ould
"ive "e!eral advie to the Cou!il0 for e)ample0 su""esti!" a ha!"e i!
proesses or the !eed for !e# trai!i!".
7.7 Costs of le"al represe!tatio!
7.7.1 The Committee has o!sidered the issue of the le"al osts of $em%ers #ho
are the su%?et of omplai!ts o! previous oasio!s.
7.7.& The Committee does !ot have e)press po#er to a#ard osts.
7.7.+ ( separate report o! the a"e!da deals #ith the .over!me!ts proposals u!der
s1/1 -oal .over!me!t (t &/// to "ive Cou!ils po#er to i!dem!if* a!d
arra!"e i!sura!e for $em%ers su%?et to omplai!ts. It is su""ested that this
issue a!!ot %e take! further u!til the .over!me!t fi!alises the matter.
7.8 Pu%li aess to heari!"
7.8.1 The Re"ulatio!s e)te!ded the defi!itio! of e)empt i!formatio! to make it lear
that the Committee a! meet i! private sessio! to determi!e alle"atio!s.
:o#ever0 the Sta!dards 1oards .uida!e i!ludes a reomme!datio! that
heari!"s should %e held i! pu%li #here possi%le to make sure that the heari!"
proess is ope! a!d fair. It is reomme!ded that the Committee meets i!
pu%li u!less there are overridi!" reaso!s for private sessio!0 for e)ample0 the
!eed to protet a! i!dividuals priva*. The Committee ma* retire to o!sider
its fi!di!"s a!d the heari!" proedure o!tai!s refere!es to movi!" i!to
a!other room to o!sider represe!tatio!s a!d evide!e i! private.
2Para"raphs 1@0 &9 a!d +13.
8. Paris" Councillors
The Re"ulatio!s also appl* to Parish Cou!illors. It is !ot possi%le to set up a
su%<ommittee of the Parish Cou!ils Su%<Committee. Therefore a!*
omplai!t that a Parish Cou!illor has ated i! %reah of the appropriate Code
of Co!dut for that Parish Cou!il #ill have to %e dealt #ith %* the full Parish
Cou!ils Su%<Committee follo#i!" the proedure set out i! Part & so far as
appropriate a!d #ith a!* !eessar* ha!"es. It ma* %e that the Committee
#ould like to revie# the mem%ership of the Parish Cou!ils Su%<Committee i!
the future o!e a!* "uida!e is issued %* the Sta!dards 1oard0 %eari!" i!
mi!d that there are urre!tl* 1& mem%ers of the Parish Cou!ils
Su%<Committee.
9. Com#laints about a breac" of t"e Code of Conduct for $embers referred
direct to t"e $onitorin Officer 0Part 312
The $o!itori!" Offier is !ot u!der a dut* to refer a!* omplai!ts a%out a
%reah of the Code of Co!dut for $em%ers to the Sta!dards 1oard. The
proedure to %e follo#ed #he! a omplai!t a%out a %reah of the Code of
Co!dut is referred diret to the $o!itori!" Offier %* a mem%er of the
pu%li is set out i! Part +.
A. (ocal Protocol for investiatin com#laints aainst Councillors 0Part 41
A.1 The draft protool at Part 7 of the draft Protool sets out the proedure to %e
follo#ed #he! a omplai!t is reeived a%out a %reah of a loal protool.
The e)isti!" protool i! Part 8: of the Ne#astle Charter has %ee! revie#ed0
taki!" aou!t of the role of the Sta!dards 1oard0 a!d a! ame!ded protool to
replae the e)isti!" protool i! the Ne#astle Charter is set out i! Part 7.
I! partiular0 it is !o# proposed that the $o!itori!" Offier #ill !o lo!"er
i!vesti"ate a!d make the deisio! as to #hether or !ot there has %ee! a
%reah. I!stead0 the $o!itori!" Offier #ill !o# i!vesti"ate a!d the! for#ard
her report to the Committee for the Committee to make the deisio! as to
#hether there has %ee! a!* %reah0 a!d #hether atio! is to %e take!.
A.& O!e the !e# protool is adopted0 up to date i!formatio! #ill !eed to %e
provided for the pu%li. The urre!t leaflet e)plai!i!" the proedure #ill %e out
of date a!d should %e revised as soo! as possi%le %* the :ead of -e"al
Servies a!d :ead of Demorati Servies.
=. 3uture Procedure - +nvestiation by $onitorin Officer 0Part 51
The ODP$ pla!s to issue further re"ulatio!s to allo# a! ESO to refer a matter
to the $o!itori!" Offier for i!vesti"atio!. The $o!itori!" Offier #ould the! %e
respo!si%le for i!vesti"ati!" the matter %efore refere!e to the Committee.
O!e those further re"ulatio!s are issued0 it is i!te!ded that the releva!t
proedure 2#he! a"reed3 #ill %e i!luded at Part 8 of the Protool.
The ommittee is therefore reomme!ded to !ote that offiers #ill su%mit a
report o! the further re"ulatio!s o!e the* are issued.
@. +ssues of confidentiality and dealins !it" t"e media 0Part 41
@.1 The Committee has previousl* o!sidered the issues of o!fide!tialit* a!d
deali!"s #ith the media #he! deali!" #ith omplai!ts.
@.& The draft Protool i!ludes a su""ested $edia Protool at Part 9. This offers
"uida!e for $em%ers of the Cou!il o! deali!" #ith the media i! respet of
omplai!ts a!d i!vesti"atio!s. The "uida!e i!ludes provisio!s that all press
releases a!d media stateme!ts are o!l* to %e issued throu"h the Press Offie
a!d have to %e authorised first.
@.+ The "uida!e also differe!tiates %et#ee! press releases #hih are issued
pro<ativel* a!d those issued re<ativel*.
1/. A##roval of Protocol
1/.1 The Committee is re'uested to approve the draft Protool.
1/.& If the Committee a"rees the Protool0 it #ill %e su%mitted to Cit* Cou!il at the
8 Novem%er &//+ meeti!" a!d i!luded i! the Charter.
1ak"rou!d Papers; < 2held %* :ead of -e"al Servies o! File BBS////93
1. The -oal (uthorities 2Code of Co!dut3 2-oal Determi!atio!s3 Re"ulatio!s &//+
&. Sta!dards 1oard for E!"la!d < 4Sta!dards Committee Determi!atio!s .uida!e for
$o!itori!" Offiers a!d Sta!dards Committees5 < 6ul* &//+
+. :ak!e* -1C < 4Proedure for -oal determi!atio! of alle"atio!s a%out the perso!al
o!dut of Cou!il $em%ers5
7. Part 8: < Protool for I!vesti"ati!" Complai!ts a"ai!st $em%ers < Ne#astle Charter
8. -eeds Cit* Cou!il < Sta!dards Committee $edia Protool
9. Bra""e C Co < 4Sta!dards Committee (lle"atio!s of $iso!dut %* Cou!illors.
Proedure for -oal Determi!atio! of (lle"atio!s a"ai!st Cou!illors 2follo#i!" I!vesti"atio!
%* a! Ethial Sta!dards Offier35
Co!tat Offier; < :ele! Bilso! 2e)t. &A1&&3
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