Please Contact: Emma Denny Please email: emma.denny@north-norfolk.gov.uk Please Direct Dial on: 01263 516010 01 September 2014 A meeting of the Standards Committee of North Norfolk District Council will be held in the Council Chamber at the Council Offices, Holt Road, Cromer on Tuesday 09 September 2014 at 2.00 p.m. Members of the public who wish to ask a question or speak on an agenda item are requested to arrive at least 15 minutes before the start of the meeting. It will not always be possible to accommodate requests after that time. This is to allow time for the Committee Chair to rearrange the order of items on the agenda for the convenience of members of the public. Further information on the procedure for public speaking can be obtained from Democratic Services, Tel: 01263 516047, Email: democraticservices@north-norfolk.gov.uk Anyone attending this meeting may take photographs, film or audio-record the proceedings and report on the meeting. Anyone wishing to do so must inform the Chairman. If you are a member of the public and you wish to speak on an item on the agenda, please be aware that you may be filmed or photographed. Sheila Oxtoby Chief Executive To District Members: Mrs H Cox, Mr B J Hannah, Mr P W Moore, Ms B Palmer, Mr J Savory, Mr R Stevens, and Mr P Williams Co-opted Members: Mr G Allen, Mr R Barr, Mr A Bullen, Mrs M Evans, Mr H Gupta, Mr A Nash, Mrs A Shirley Members of the Management Team, appropriate Officers, Press and Public. If you have any special requirements in order to attend this meeting, please let us know in advance If you would like any document in large print, audio, Braille, alternative format or in a different language please contact us Chief Executive: Sheila Oxtoby, Corporate Directors: Nick Baker & Steve Blatch Tel 01263 513811 Fax 01263 515042 Minicom 01263 516005 Email districtcouncil@north-norfolk.gov.uk Web site northnorfolk.org AGENDA 1. TO RECEIVE APOLOGIES FOR ABSENCE 2. PUBLIC QUESTIONS 3. MINUTES (attached – p. 1) To approve as a correct record, the minutes of the meeting of the Committee held on 05 August 2014. 4. ITEMS OF URGENT BUSINESS To determine any items of business which the Chairman decides should be considered as a matter of urgency pursuant to Section 100B (4) (b) of the Local Government Act 1972. 5. DECLARATIONS OF INTEREST Members are asked at this stage to declare any interests that they may have in any of the following items on the agenda. The Code of Conduct for Members requires that declarations include the nature of the interest and whether it is a pecuniary interest. 6. PARISH AND DISTRICT MEMBERS’ REGISTER OF INTERESTS AND OFFICER REGISTER OF GIFTS AND HOSPITALITY Members are reminded that the Parish and District Members’ Register of Interests and Officer Register of Gifts and Hospitality are available for inspection in the Democratic Services section. 7. PARISH COUNCILS AND STANDARDS: MOVING FORWARD To discuss the opportunities for closer working with the Planning Service to further engage with Parish and Town Councils. The Head of Planning will be in attendance for this item. 8. STANDARDS AND TIMESCALES (page 6) (Appendix A – p.11) Please note this item was presented to the Committee at the meeting on 5th August 2014. It is coming back for further consideration at the Committee’s request. Summary: At the request of the Chief Executive, the Monitoring Officer has prepared a report regarding the process and timescales for dealing with complaints. This reports sets out the process and timescales for the Monitoring Officer dealing with Standards complaints following the changes of the regime. Conclusions: The Council’s “Arrangements” under the Localism Act 2011 are its protocols and procedures for receipt and determination of Standards and Ethics complaints. The Arrangements serve this purpose both for complaints against District Councillors and against Parish Councillors of parish councils within the District. The Arrangements have now been in place since mid-2012 and members may wish both to review their operation and consider whether some further detail might usefully be added in terms of procedures and timescales. I therefore set out below some suggestions based upon our experience to date of the operation of these arrangements. Recommendation: 9. 1. To consider changes to the complaints form 2. To consider changes to the Criteria for the receipt and assessment of complaints that is set out on page 97 of the constitution, as detailed in the below report. MONITORING OFFICER’S ANNUAL REPORT 2013/14 Please note that this item is to follow To receive the Monitoring Officer Annual Report 2013 – 2014 (Source: David Johnson, Monitoring Officer, 01603 222313) david.johnson@norfolk.gov.uk 10. EXCLUSION OF PRESS AND PUBLIC To pass the following resolution: “That under Section 100A(4) of the Local Government Act 1972 the press and public be excluded from the meeting for the following items of business on the grounds that they involve the likely disclosure of exempt information as defined in paragraphs 1 and 3 of Part I of Schedule 12A (as amended) to the Act” 11. STANDARDS AND CONDUCT CASES To receive an oral update from the Monitoring Officer regarding Standards complaints and general themes therein. Agenda Item 3 STANDARDS COMMITTEE Minutes of a meeting of the Standards Committee held on 5 August 2014 in the Council Chamber, Council Offices, Holt Road, Cromer at 2.00pm. Members present: 1. District Councillors: Mr B Hannah Mr P Moore Miss B Palmer Mr R Stevens Mrs H Cox (Chairman) Mr P Williams Co-opted Members: Mr G Allen Mr R Barr Mr A Bullen Mr H Gupta Mrs M Evans Mr A Nash Officers in Attendance: The Independent Person The Democratic Services Team Leader The Democratic Services Officer (TGS) TO RECEIVE APOLOGIES FOR ABSENCE None received 2. PUBLIC QUESTIONS None 3. MINUTES The Minutes of the Meeting of the Standards Committee held on 10 June 2014 were approved as a correct record of the meeting and signed by the Chairman. 4. ITEMS OF URGENT BUSINESS None 5. DECLARATIONS OF INTEREST None Standards Committee 1 05 August 2014 6. PARISH AND DISTRICT MEMBERS’ REGISTER OF INTERESTS AND OFFICER REGISTER OF GIFTS AND HOSPITALITY The Chairman informed the Committee that the Registers were open to display and were available for inspection in the Legal Services area. 7. PARISH COUNCILS AND STANDARDS: MOVING FORWARD. The Democratic Services Officer introduced this item. She explained that the individual events which had run over the last two months had gone successfully, and that there were a number coming up in September who had also requested individual engagement sessions. Mr R Stevens queried if it was just those who had requested individual sessions that members and officers were attending. The Democratic Services Officer replied that yes, they would only be in attendance if the parish had requested it. The Chairman also provided a brief update on the events. She thanked Mr H Gupta for his attendance at two of the events and hoped that in the future other members and co-opted members would also be in attendance. She thanked the Democratic Services Officer for her work as they had successfully engaged with approximately 53 parish councils so far. She concluded that in her view, she wanted to maintain the engagement events to keep standards high. Mr A Bullen queried if there was a common theme which had been pulled out of the meetings and the Chairman replied that yes there was and she would talk about this later. Mr H Gupta discussed his attendance and explained that he saw it as an opportunity to be proactive and prevent issues within parish councils. He explained the events covered the salient issues and interaction with the parishes had been beneficial. The Chairman explained that there were four more dates upcoming for standards events, and the Democratic Services Officer would circulate these. The Chairman then discussed the general theme which had become apparent during the individual events, and suggested for many in parish councils the light touch regime was becoming a frustration, particularly due to the lack of sanctions. She explained that it may be useful for the committee to think about this, particularly as there was an upcoming government consultation regarding the new regime. She then went on to discuss issues around planning which had been raised at a number of the events, and commented that she would have a discussion with Democratic Services around introducing planning engagement into standards events. The Democratic Services Team Leader commented that the Head of Planning had acknowledged this and would be attending the following meeting to allow members to have a discussion around planning issues and understanding. Mr T Nash also discussed a meeting he had attended with the Chief Executive and representatives of NALC, in which there was discussion around training and development events for parish councils on planning issues. The committee went on to discuss other issues with regards to planning, and parish council understanding. Mr G Allen commented that it was imperative that parish councils understood that they were a consultee and not the decision Standards Committee 2 05 August 2014 making body, and also that officers could only advise on a decision, and not make the decisions which were left to councillors. Mr P Moore agreed and commented in parishes there were always strong views which had to be balanced by district councillors, but that parish councils should be aware that they were a material consideration. He also commented that he would be happy to attend any such event involving standards and planning. Mr H Gupta commented that it was important that parish councils had the decision making process for planning decisions explained to them and that they were communicated with effectively. The Independent Person commented that he had seen the frustration of parishes at their perceived level of impotence, and particularly since the Localism Act there had been an expectation of change and more power at a local level, which had not come through. He explained that officers often considered what the planning inspectorate would say, and that planning policy was key to allowing councillors significant power and flexibility in their decision making. The Chairman thanked members for all their comments and commented that Democratic Services seemed to have the issue in hand. The Democratic Services Team Leader commented that it would be possible to investigate broader sessions involving planning and standards further down the line, but that these events may need to be put on hold until following the restructure in the planning department. Mr P Moore commented that there needed to be further liaison between the district and parishes with regards to parish plans, in order to fully explain to parishes that these would be considered a material consideration. 8. STANDARDS AND TIMESCALES The Democratic Services Team Leader introduced this item in the Monitoring Officers’ absence. She explained that this report had come about following a request for timescales to be applied to the complaints procedure, which were included within the report. She explained that the timescales would be more helpful for complainants to provide them with guidance at the time of making a complaint. She then outlined where they could build in these timelines, and also explained that where a case went forward for investigation it would not be possible to apply timescales, but the complainant would be kept informed of progress of the investigation. She also explained that where forms were emailed in, complainants would now receive acknowledgement of receipt. The report requested for the committee to agree to these changes which could then be input into the form and the website. Mr P Moore commented that it was not possible to deal with this item when the Monitoring Officer was not in attendance and requested for this item to be deferred until his return as he had a number of questions regarding the purple papers. The Chairman explained that the current item was just the timescales report which contained no exempt information, but it was proposed to have the timescales approved in order to allow changes to the constitution around the criteria for the receipt and assessment of complaints. Mr P Williams commented that it was important for complainants to of their complaint back to them along with acknowledgement particularly if these complaints were sent by post and written by Independent Person commented on some of the issues raised in Standards Committee 3 get a copy of receipt, hand. The the report, 05 August 2014 and suggested those involved should be immediately informed once a complaint is raised. Mr P Moore queried if complainants were kept anonymous, and the Democratic Services Team Leader replied that no, they were informed who made the complaint. Mr T Nash also expanded on this, explaining that the complaints form included a section for complainants who wished to remain anonymous. The Independent Person explained this was ultimately at the Monitoring Officer’s discretion. Mrs M Evans requested that there be included within the changes a clear statement regarding the acknowledgement of complaints and a user friendly flow chart which showed the progression of the complaint. Democratic Services agreed that this could be included. Mr A Bullen queried if other members for example, in a parish council, were made aware if a complaint was made about one of their members. The Democratic Services Team Leader replied that whilst they wouldn’t be automatically informed, if there were significant governance issues raised in the complaint then David could informally talk to the committee. The Chairman asked members of the committee if they were happy to progress and approve changes to the complaints form and to complaints guidance. Members commented that they believed this item needed more discussion and that it may be useful to have this discussion once the Monitoring Officer was available. Mrs M Evans commented that officers should take into account suggestions made during the meeting, including acknowledgement of complaint and a flow chart for complainants, which could then be incorporated for discussion at the following meeting. The Democratic Services Team Leader asked if it would still be appropriate to make changes to the complaints form and to the complaints guidance. Mr P Williams commented that he still needed clarification and other members agreed. The Democratic Services Team Leader commented that she would hold off on any changes. The Independent Person noted his concern around the complaints guidance which stated that the Monitoring Officer ‘may’ contact the Independent Person rather than that he had to. Members agreed that there seemed to be an issue with regards to the entire process and asked for a review of the process. The Democratic Services team agreed that they would notify the Monitoring Officer of the requested changes and inclusions for his report and would discuss options for a review process to be considered at the following meeting. 9. EXCLUSION OF THE PRESS AND PUBLIC The Committee passed the following resolution: ‘That under Section 100A(4) of the Local Government Act 1972 the press and public be excluded from the meeting for the following items of business on the grounds that they involve the likely disclosure of exempt information as defined in paragraphs 1 and 3 of Part I of Schedule 12A (as amended) to the Act’ 10. STANDARDS AND CONDUCT CASES Standards Committee 4 05 August 2014 Members considered current standards cases and the general themes prevalent within them. 11. STANDARDS COMPLAINTS The Monitoring Officer reported on the complaints received, the type of breaches alleged and the status of matters. The meeting concluded at 15.45 pm __________________ Chairman Standards Committee 5 05 August 2014 Agenda Item No_____8_______ Standards and Timescales Summary: At the request of the Chief Executive, the Monitoring Officer has prepared a report regarding the process and timescales for dealing with complaints. This reports sets out the process and timescales for the Monitoring Officer dealing with Standards complaints following the changes of the regime. Conclusions: The Council’s “Arrangements” under the Localism Act 2011 are its protocols and procedures for receipt and determination of Standards and Ethics complaints. The Arrangements serve this purpose both for complaints against District Councillors and against Parish Councillors of parish councils within the District. The Arrangements have now been in place since mid2012 and members may wish both to review their operation and consider whether some further detail might usefully be added in terms of procedures and timescales. I therefore set out below some suggestions based upon our experience to date of the operation of these arrangements. Recommendations: 1. To consider changes to the complaints form 2. To consider changes to the Criteria for the receipt and assessment of complaints that is set out on page 97 of the constitution, as detailed in the below report. LIST OF BACKGROUND PAPERS AS REQUIRED BY LAW (Papers relied on to write the report, which do not contain exempt information and which are not published elsewhere) Cabinet Member(s) Ward(s) affected All Contact Officer, telephone number and email: David Johnson Monitoring Officer, 01603 22313, david.johnson@norfolk.gov.uk 6 1. Introduction Standards Arrangements 1.1 The Council’s “Arrangements” under the Localism Act 2011 are its protocols and procedures for receipt and determination of Standards and Ethics complaints. The Arrangements serve this purpose both for complaints against District Councillors and against Parish Councillors of parish councils within the District. 1.2 The Arrangements have now been in place since mid 2012 and members may wish both to review their operation and consider whether some further detail might usefully be added in terms of procedures and timescales. I therefore set out below some suggestions based upon our experience to date of the operation of these arrangements. 2. Receipt of Complaints 2.1 The first part of the system is the provision for receiving complaints. Complainants are directed to the Council’s website on which there is a standard form for completion. The form is useful in that it directs the complainant’s attention to identifying precisely the Councillor, the particular Council, the behaviour about which the complaint is made and the date on which it happened. 2.2 A sample form is attached. The form appears to have worked well in practice and enables key information to be identified for assessment purposes. I would nevertheless welcome any views of members on the use of the form. In view of the experience of the cases set out in my other report to today’s Committee I would ask members to consider the following:(a) I believe it would it be useful to include on the form two warnings along the following lines: “Please note that the Code of Conduct only applies to members and co-opted members when they are acting in their capacity as Councillors. If you complaint relates to conduct of a Councillor in his or her private or personal capacity then it is outside these arrangements. Please consider carefully and if you are in any doubt please contact the Monitoring Officer on 01603 223247 to discuss.” “These Standards Arrangements are put in place to regulate the individual conduct of Councillors. If it appears that your complaint more properly concerns the Council as a whole (whether it is North Norfolk District Council or one of the Parish Councils within its area) then you should take the matter up with that Council by writing in the case of North Norfolk District Council for the attention of the Chief Executive Officer and in the case of a Parish Council a letter addressed to its Clerk, or if it does not have a Clerk, to its Chairman.” 7 3. Assessment 3.1 The complaint once received is sent, for information only, to the Subject Member. It is important to emphasise that the Subject Member must not make any response or any representations at this stage. There is no requirement for any action on the part of the Subject member until assessment is completed. The complaint is then assessed by the Monitoring Officer in accordance with adopted criteria. During this phase of the process the Monitoring Officer has considerable flexibility in deciding how a complaint may best be tackled. It may be that a discussion with the complainant and with the subject member might achieve some resolution of the matter. Otherwise, the seriousness of the complaint is gauged by reference to the adopted criteria (attached). The outcome could be either: “other action” such as that described above no further action required refer for investigation. This assessment stage should not usually involve any further information gathering or investigation and in terms of a timescale would suggest that 21 days from receipt of the complaint would enable the Monitoring Officer to read the complaint and any supporting documentation, consider the issues, research any previous reported cases and other useful information and draft and send out an assessment notice. Each case will depend very much on its own circumstances and some cases will be able to be assessed well within this timescale. If the matter involves difficulties or the Monitoring Officer decides to seek the views of the Independent Person in relation to the assessment then the matter may exceed the 21 days. In such a case the Monitoring Officer will write to the complainant and the subject member informing them of this and setting out a revised timescale. 3.2 If the decision is “other action” or “no further action” then the formal part of the process ceases at that point and in the case of “no further action” the matter is recorded as closed. This is then reported to the next following meeting of the Standards Committee. In the meantime I would send a copy of the assessment to the Subject Member and to the Head of Democratic Services of NNDC or to the Parish Clerk of the Subject Member’s council. If the decision is for “other action” then the timescale will very much depend upon what that action is. In this case I would keep the Chairman informed of events and if a resolution is reached report that to the next meeting of Standards Committee. If the decision is that the matter is referred in whole or in part for investigation then the next step is to appoint an investigator. This can be any person as long as they are suitably skilled and available to conduct an investigation into the particular case. My first recourse is to the Council’s Head of Legal Services to ascertain whether she is able to provide an investigator from the Council’s in-house Legal Team. If for some reason it would not be appropriate for the investigator to be appointed in this way the likely next step 8 would be to identify an investigator (possibly a Solicitor but not necessarily so) from another Local Authority. Local Authorities in Norfolk and Suffolk have developed networks for supplying resources to each other in this way and it will not usually be a problem to find a suitable investigator. 3.3 In terms of timescale I would suggest that appointing an investigator should normally take no more than 14 days. I will write to the Subject Member and the Complainant and the Parish Clerk confirming the details of the investigator. I would write formally with a copy of the assessment to the Subject Member and to the Head of Democratic Services of NNDC or to the Parish Clerk of the Subject Member’s council. 3.4 3.5 Once an investigator is appointed that person will usually prepare an investigation plan and timetable. This could be along the following lines:(a) Consider complaint and supporting documentation as submitted; (b) Contact the complainant and, if appropriate, arrange to take a statement; (c) Contact subject member and arrange for interview and statement; (d) Interview other persons as appropriate; (e) If the complaint concerns a Parish Councillor contact the Parish Clerk to inform them of the investigation and if necessary to involve the Clerk in making interview arrangements; (f) Acquire the relevant Code of Conduct for the Subject Member’s Council. The time that each of the above steps will take is very much dependent upon the seriousness of the case, the availability of members and many other factors. As an investigator I always offer the subject member and any other interviewee the opportunity to have someone present with them at the interview as I believe this to be good practice. Again, this adds to the issue of availability if another party has to be added to the diary check. We could consider that for investigations the investigator is instructed to report back to the Monitoring Officer after six weeks to submit a final report or to submit an update to the Monitoring Officer and to Standards Committee Chairman as to the progress of the investigation. At the point that the investigation report is submitted to the Monitoring Officer, the Monitoring Officer must at that stage refer the report and its conclusions to the Independent Person. This is a statutory requirement of the Localism Act 2011. Depending upon the complexity of the case it would be reasonable to ask the IP for his view within 14 days – or to notify the MO if that timescale will be extended. If the report’s conclusion is that there has been a breach of a Code then the matter will be placed upon the agenda for the next Standards Committee. 9 If the matter is relatively straightforward then it could be dealt with at that next meeting. If the hearing requires attendance of witnesses and others then it will likely need to be deferred to the next scheduled meeting or to a special meeting with only that item on the agenda. Depending on how soon this falls after the report is received by the Monitoring Officer it may be that a hearing will have to be deferred to the next following Standards Committee in order for the parties to arrange availability and for a report to be drafted by the Monitoring Officer introducing the case and explaining how the matter is then to proceed. Once a hearing has taken place then the next step will depend upon whether it is a District Council case or a Parish Council case. In the case of a District Council case members will have usually made their findings and in the case of a finding of breach of the Code, will have considered and imposed a sanction upon the subject member. It will remain thereafter only for the subject member to be formally notified of the decision and for any subsequent action to be noted. If the Standards Committee finds that there has been no breach of the Code the matter is at an end. If it is a Parish Council case and the Standards Committee makes a finding of breach of the Code then the report together with findings and a recommendation as to sanction is referred to the Parish Council. The Monitoring Officer will write to the Clerk to the Parish Council asking for the matter to be placed upon the next available agenda for Parish Council members to consider the Standards Committee’s recommendation. The decision of the Parish Council will be reported back to the next available Standards Committee for information. The matter is then at an end. 4. Conclusion 4.1 Members should consider the above information and consider how they wish to proceed. 10 MEMBERS’ CODE OF CONDUCT COMPLAINT FORM Your details 1. Please provide us with your name and contact details Title: First name: Last name: Address: Daytime telephone: Evening telephone: Mobile telephone: Email address: We will tell the following people that you have made this complaint: the member(s) you are complaining about the monitoring officer of the authority the parish or town clerk (if applicable) ______________________________________________________________ If you need this document in large print, audio Braille, alternative format or in a different language, please contact our Customer Services Team, Telephone 01263 513811 11 We will tell them your name and give them a summary of your complaint. We will give them full details of your complaint where necessary or appropriate to be able to deal with it. If you have serious concerns about your name and a summary, or details of your complaint being released, please complete section 6 of this form. 2. Please tell us which complainant type best describes you: Member of the public An elected or co-opted member of an authority An independent member of the standards committee Member of Parliament Local authority monitoring officer Other council officer or authority employee Other ( ) 3. Equality monitoring The Race Relations Act 2000 requires us to monitor ethnic or national origin to ensure that we do not inadvertently discriminate against members of a particular group. It would, therefore, be helpful if you would complete the ethnic monitoring section of the form, although this is not compulsory. The answers will be removed and kept entirely separate from your complaint and will be completely confidential. They will be used for statistical purposes only, in which individuals will not be identified. your ethnic origin Asian or Asian British Chinese White Black or Black British Mixed Other Making your complaint 4. Please provide us with the name of the member(s) you believe have breached the Code of Conduct and the name of their Council: Title First name Last name 12 Council name 5. Please explain in this section (or on separate sheets) what the member has done that you believe breaches the Code of Conduct. If you are complaining about more than one member you should clearly explain what each individual person has done that you believe breaches the Code of Conduct. It is important that you provide all the information you wish to have taken into account by the Standards Committee when it decides whether to take any action on your complaint. For example: You should be specific, wherever possible, about exactly what you are alleging the member said or did. For instance, instead of writing that the member insulted you, you should state what it was they said. You should provide the dates of the alleged incidents wherever possible. If you cannot provide exact dates it is important to give a general timeframe. You should confirm whether there are any witnesses to the alleged conduct and provide their names and contact details if possible. You should provide any relevant background information. Please provide us with the details of your complaint. Continue on a separate sheet if there is not enough space on this form. 13 Only complete this next section if you are requesting that your identity is kept confidential 6. In the interests of fairness and natural justice, we believe members who are complained about have a right to know who has made the complaint. We also believe they have a right to be provided with a summary of the complaint. Please note that requests for confidentiality or requests for suppression of complaint details will not automatically be granted. The assessment sub-committee will consider the request alongside the substance of your complaint. We will then contact you with the decision. If your request for confidentiality is not granted, we will usually allow you the option of withdrawing your complaint. However, it is important to understand that in certain exceptional circumstances where the matter complained about is very serious, we can proceed with an investigation or other action and disclose your name even if you have expressly asked us not to. Please provide us with details of why you believe we should withhold your name and/or the details of your complaint: Additional Help 7. You can make your complaint in the following ways; In writing to the Monitoring Officer, North Norfolk District Council, Council Offices, Holt Road, Cromer. 14 Electronically to david.johnson@norfolk.gov.uk If you would like any document in large print, audio, Braille, alternative format or in a different language please contact us. Further information to help you complete this form can be found on the accompanying guidance notes. 15