6. The Investigations Manual of the Ethical Standards Commissioners office Consultation AC Final
North Ayrshire Council · 29 November 2022
Back to Cabinet — 29 November 2022 and its agenda
Text extracted from the council's PDF. Layout and reading order may differ from the original.
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NORTH AYRSHIRE COUNCIL 29 November 2022 Cabinet Title: The Investigations Manual of the Ethical Standards Commissioner’s office – Consultation Purpose: To advise Cabinet that the Ethical Standards Commissioner is consulting on the content the draft Complaints Investigation Manual and to seek approval for the proposed North Ayrshire Council submission to the consultation. Recommendation: That Cabinet (i) notes the draft consultation document and (ii) approves the submission of the proposed consultation response provided at Appendix 3. 1. Executive Summary 1.1 The Ethical Standards Commissioner, (ESC), established by statute, investigates complaints against Councillors, MSPs, members of Public Bodies and complaints about public appointments. The process manual for investigation of complaints was previously an internal document for use by the office of the ESC only. The ESC has determined that in the interests of transparency and good governance, this document should now be publicly available. 1.2 The draft investigations manual has been published and a consultation launched. The draft manual is provided at Appendix 1. The office of the ESC is seeking views on the document and it has been agreed that the submission of North Ayrshire Council can be submitted once Cabinet has determined the response. 1.3 A draft response to the questions asked has been prepared for consideration by Cabinet and is attached at Appendix 3. Cabinet is asked to consider the draft response and approve its submission to the office of the ESC, subject to any required amendments.
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2. Background 2.1 The Ethical Standards Commissioner (ESC) is responsible for investigating allegations that local authority Councillors have breached the Councillor’s Code of Conduct. The ESC is also responsible for investigating complaints about MSPs, lobbyists, board members of public bodies and complaints relating to public appointments. 2.2 Once the ESC has completed the investigation into a complaint, a final report is prepared and sent to the Standards Commission for Scotland (SCS). The SCS is responsible for making the final decision as to whether a Councillor has breached the Code of Conduct. If the ESC considers that a Councillor has breached the Code of Conduct then the case will likely proceed to a Hearing before the SCS. At the Hearing, the ESC has an opportunity to present the findings of their investigation. The Councillor has the opportunity to be heard and put forward a defence. If the SCS finds that there has been a breach of the Code of Conduct it may impose a sanction on the Councillor. 2.3 The draft Investigations Manual is a codification of the ESC’s internal complaints handling process. Previous editions of the Manual were available for internal use only: this is the first time that the ESC’s Manual has been made public. The Manual consolidates the complaint handling, investigatory and reporting processes of the different types of complaint the ESC can investigate and sets out processes and target timescales for completion of complaint assessments and investigations and production of reports. Proposed targets are as outlined in Appendix 2 for further Information. It should be noted that provision is made for operating a triage system to screen complaints, particularly when the ESC is operating with a backlog, as is currently the case. The website of the ESC advises that at present, it may take up to 9 months for the initial assessment to be completed. It is understood that the Commissioner is taking steps to have this addressed as a matter of urgency. 2.4 Proposed changes to the ESC’s processes have been introduced in this edition of the Manual. These changes are set out in the Consultation document. There are some other changes which are being considered by the ESC which have not yet been included in the Manual. The procedures set out in the draft Manual are currently being applied pending the outcome of the consultation. 2.5 The following is a summary of the changes introduced in the Manual which are of relevance to local authority Councillors: • Where the ESC decides that a complaint is inadmissible and will not be investigated, they will now send a copy of the dismissal letter to the Councillor about whom the complaint was made, provided the Councillor was already aware of the complaint and has contacted the ESC to request an update. Previously, dismissal letters were only sent to the complainer in these circumstances. • The Manual now allows the ESC to accept a complainer’s request to withdraw their complaint but then continue to pursue the complaint in the ESC’s name, if this is considered to be in the public interest. The previous
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practice was that the ESC had only two options if a complainer wished to withdraw their complaint: either refuse such a request (in which case the complaint proceeded in the complainer’s name against their wishes) or allow the complaint to be withdrawn, in which case the investigation would stop. • The Manual now allows the investigating officer to prepare a witness statement from what is discussed during interviews carried out as part of the investigation, or to contact interviewees in writing to confirm any substantive statements made during the interview. The interviewee will be invited to respond to the investigating officer to confirm or correct the substantive interview statements or witness statement. The interviewee may also be invited to review an interview or witness statement based on the interview, and to sign it to confirm it is accurate. It is anticipated these measures would only be used in serious cases, for example those involving bullying or harassment. • The Manual now provides that the ESC’s final report will in all cases be shared not only with the SCS, but also with the complainer, respondent (i.e. the Councillor) and the monitoring officer. Previously, if the ESC found that there had been no breach then the report would only be sent to the Commission, not to all parties. • Section C13 of the manual sets out proposed target timescales for completing the complaint process. The ESC proposes to publish the extent to which these targets are met at least annually. Under the relevant legislation, an investigation should normally be completed within 3 months of the date when the investigation began. Assessment may take up to two months: if likely to take longer a letter will be issued to the complainer explaining why. Provision for triaging complaints is also included. 2.6 The following further changes are being considered by the ESC and are of relevance to Councillors: • Where the ESC decides that a complaint is inadmissible and will not be investigated, consideration is being given to sending a copy of the letter of dismissal to the Councillor about whom the complaint was made whether or not they were previously aware of the complaint. • Consideration is being given to increasing the frequency with which the ESC’s investigative team contacts parties for information to progress the investigation and to provide an update. Currently updates are given every 3 months from the date a complaint is accepted. 3. Proposals 3.1 That Cabinet notes that the ESC is updating the Complaints Investigations Manual which will become a public document and approves the submission of the proposed consultation response provided at Appendix 3.
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4. Implications/Socio-economic Duty Financial 4.1 None Human Resources 4.2 None Legal 4.3 None Equality/Socio-economic 4.4 The ESC will assess the outcomes of the consultation exercise for equality, diversity and socio-economic outcomes Environmental and Sustainability 4.5 None Key Priorities 4.6. None Community Wealth Building 4.7 None 5. Consultation 5.1 The ESC has consulted with the Society of Local Authority Lawyers & Administrators in Scotland (SOLAR) and in particular with the Monitoring Officers’ working group prior to publication of the draft manual. The comments of SOLAR have been taken into account and incorporated in the current draft. The ESC is now consulting publicly and will consider responses prior to finalisation of the document. The document and proposed responses to the consultation questions have been circulated to Members for consideration. Aileen Craig Head of Democratic Services For further information please contact Claire Cochrane, Solicitor, by email to clairecochrane@north-ayrshire.gov.uk.
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Background Papers Appendix 1: Draft Manual Appendix 2: Proposed target timescales for completing the complaint process Appendix 3: Proposed consultation response
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Appendix 2
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Appendix 3 Issues on which Views are Invited Complaints about Councillors and Members Q1 – When a complaint is received by the Commissioner’s office, the complaint is assessed against certain criteria for admissibility. If a complaint is assessed and considered inadmissible, a dismissal letter is prepared setting out the reasons why and sent to the Complainer. Should Councillors and Members also be notified when a complaint against them is dismissed because it has been assessed and considered inadmissible? Yes. Q2 – If so, would a copy of the dismissal letter sent to the Complainer (with contact details redacted in accordance with data privacy protection rules) be sufficient notification? The details of the complaint and reasons of inadmissibility should also be sent to the person complained about. Q3 – Please provide reasons for your responses to Q1 and Q2. The proposal is welcomed to increase transparency and provide elected members with an opportunity to understand the type of conduct that led to a complaint being made against them. It is noted that a complaint may be inadmissible if it is made more than a year after the alleged conduct and in such cases, it could be anticipated that a dismissal letter for reasons of time alone may not provide sufficient detail to enable Councillors to understand why a complaint has been made. The Commissioner is invited to ensure that any notification of dismissal to Councillors contains sufficient detail of the complaint and advisory comment to be of practical benefit to the elected member. Q4 – At times, the Commissioner’s office may receive a complaint which the complainer subsequently requests to withdraw. Should the Commissioner take forward complaints which are withdrawn, if there is a public interest in investigating and reporting on the complaint? This may be appropriate in circumstances where the alleged breach is of a serious nature – for example, bullying /harassment or in circumstances where it can be reasonably established that there has been undue pressure on a complainant to withdraw the complaint which is of a serious nature. The Commissioner should ensure that “frivolous” or “malicious” complaints are not pursued when the complainer withdraws. The Commissioner is also invited to implement appropriate safeguards to ensure that such measures do not lead to inappropriate interference in democracy where a member of the public has withdrawn a complaint against an individual who has been elected into office. Q5 – If so, what considerations should the Commissioner account for when deciding a complaint is in the public interest to investigate and report, even where that complaint has been withdrawn?
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Consideration should be given to the seriousness of the allegation and the reasons for a complaint being withdrawn. Where there are concerns that an individual has been put under pressure to withdraw a complaint, or where an individual feels unable to pursue a complaint due to their own personal circumstances, then it may be appropriate for the Commission to pursue the complaint. Guidance, including examples, should be compiled and made available on the “public interest test” and the type of complaints to which this process would be applicable. Q6 – Please give reasons for your responses to Q4 and Q5. Included within the responses provided above. Q7 – Investigations take time and require cooperation from the Complainer, Respondent and any witnesses. The Commissioner’s investigative team will contact parties for information to progress with the investigation and will provide an update, currently every 3 months, on the progress of the investigation. (a) How often should the investigative team be in touch with parties to update on the progress of investigation? Being the subject of a complaint can be a stressful experience for Councillors and regular updates should be provided to inform of progress. Similarly, it is only reasonable that a complainer is kept regularly advised of progress. It is considered that contact every 3 months is too infrequent and more regular updates should be provided as a matter of good practice. (b) How much time should the investigative team provide for parties to respond to the investigative team’s requests for documentary or other relevant evidence? Each party should be given sufficient time to collate and provide responses. A general rule of perhaps 3 weeks for response would be reasonable subject to suitable provision/allowance being made for personal circumstances. (c) At times, no response is received despite repeated requests. Where no response is received for a prolonged period of time and after repeated requests for information, should the Commissioner’s office proceed to conclude the investigation without the requested input? Yes. It is important that matters are not inordinately delayed. Non-compliance with reasonable requests for information should not frustrate or protract the process. Q8 – Please given reasons for your responses to Q7(a), (b) and (c) Reasons are incorporated within the answers given above. Q9 – Interviews can be an integral part of the investigative process. The Manual proposes that an interviewee may be contacted in writing by the Investigating Officer in order to confirm any substantive statements shared during the interview or a witness statement prepared from what is discussed at the interview. The interviewee will be invited to respond to the Investigating Officer to confirm or correct the accuracy of such substantive interview statements or witness statements. The interviewee may also be invited to review an interview or witness statement based on the interview, and to sign it to confirm that it is a
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true reflection of what was said during the interview. Should this proposed approach form a part of the investigative process and are there circumstances in which it should be essential, rather than optional? Yes. It is important that statements taken from witness interviews are verified with the interviewee for their accuracy. Q10 – If so, should all other witnesses be provided with a copy of the interview or witness statement? In line with court practice, no witness should be given access to the evidence of other witnesses before giving their own, with the exception of a witness who is also a party to the case. This is considered necessary in the interests of justice. Q11 – Please give reasons for your responses to Q9 and Q10. Reasons are provided within the responses provided above. Q12 – At the end of an investigation, the Commissioner’s office will produce an investigative report (the Report) setting out the background to a complaint, the investigation, the investigative outcomes and an explanation of the Commissioner’s views as to whether a breach of the Code has taken place. The Manual proposes that all Reports, either breach or no breach, are shared with all parties to a complaint (specifically, the complainer, the respondent and the local authority/public body). Should this proposed approach be taken? Yes. Q13– Please give reasons for your views. This approach will increase transparency, understanding of the investigative process and should facilitate learning and development in cases where improvements to practice have been identified. Q14 – The Manual proposes a set of proposed timescales and targets for each stage of complaint handling. Should these proposed timescales and targets be adopted or do you feel that others are more appropriate for consideration? Yes. Whilst it is considered that some of the timescales could be shortened, it is recognised that there are pre-existing workload challenges within the ESC’s office and proposals that are realistic should be set in the meantime. Targets for timescales can thereafter be reviewed at an appropriate juncture. Q15– Please give reasons for your views. It is important that complaint handling is dealt with as expeditiously as possible to achieve resolution and closure for both complainer and responder. Q16 – Are there any other issues relating to Councillors / Members’ complaints handling processes which you wish to raise? It is noted that the Acting Commissioner is taking steps to address a historical backlog of complaints and that timescales for resolution are currently lengthy. The Council welcomes that steps are being taken to address the backlog.
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Further and more detailed guidance on the application of the public interest test would also be welcomed.