Make a complaint about a Councillor

Arrangements for dealing with allegations of breaches of North Northamptonshire Council’s Code of Conduct

The Council has adopted a Code of Conduct for Members, which is at Part 8.2 of the Constitution.

These “Arrangements” set out how you may make a complaint that a Member of this Council has failed to comply with the Council’s Members’ Code of Conduct, or in the case of a Parish or Town Councillor, that Parish or Town Council’s Code of Conduct, and sets out how the Council will deal with it.

These Arrangements include the appointment of at least two Independent Persons, whose views must be sought by the Council before it takes a decision on an allegation which it has decided warrants investigation, and whose views can be
sought by the Council at any other stage, or by a Member against whom an allegation has been made.

1.0  Making a complaint

1.1 If you wish to make a complaint, please write to:

The Monitoring Officer
North Northamptonshire Council
Sheerness House
Kettering
NN16 8TL

or e-mail the Monitoring Officer at: [email protected]

1.2 The Monitoring Officer is a senior officer of the Council who has statutory responsibility for maintaining the Register of Members’ Interests and who is responsible for administering the process in respect of complaints of alleged Member misconduct.

1.3 In order to ensure that we have all the information which we need to be able to process your complaint, we would recommend that you use the complaint form, which is available on request or can be downloaded at the following link:- (Code of Conduct and Complaints).

1.4 You are required to provide us with your name and a contact address or email address, so that we can acknowledge receipt of your complaint and keep you informed of its progress. If you want to keep your name and address confidential, please indicate this in the space provided on the complaint form, in which case we will not disclose your name and address to the Member against whom you make the complaint, without your prior consent. The Council does not normally investigate anonymous complaints, unless there is a clear public interest in doing so.

1.5 The Monitoring Officer will acknowledge receipt of your complaint as soon as possible after receiving it and will keep you informed of the progress of your complaint.

2.0 Initial assessment of complaints received

2.1 The Monitoring Officer will review all complaints received by the Council and must consult with at least one of the Independent Persons (see section 13 below) at this stage. In assessing the complaint, the Monitoring Officer will apply the following ‘public interest’ test:

a) ‘can’ we investigate your complaint?

1. Is the person you are complaining about a Councillor?
2. Is the conduct complained about within the jurisdiction of the Code of Conduct?
3. Did the conduct occur within the last six months?
4. Is the conduct something that is covered by the code?

2.2 If a complaint has been made but does not fall within the scope or intent of these arrangements, the Monitoring Officer may still decide to take informal action in order to resolve the matter.

2.3 If the Monitoring Officer determines the complaint can be investigated, the following test will be applied:

b) ‘should’ we investigate your complaint?

1. Is there evidence which supports the complaint?
2. Is the conduct something which it is possible to investigate?
3. Would an investigation be proportionate and in the public interest?

2.4 If the Monitoring Officer determines the complaint should be investigated, they will then decide whether the complaint:

a) warrants investigation or,
b) may be suitable for alternative resolution without investigation

2.5 For the complaint to be admissible it must be in a legible format and relate to an existing Member of the Council.

2.6 In determining whether or not the complaint should be referred for investigation or to seek alternative resolution the Monitoring Officer and Independent Persons will have regard to a range of factors including the following:

a) Whether there is sufficient information upon which to base a decision.
b) How serious is the alleged complaint.
c) Is the complaint politically motivated, vexatious or tit for tat.
d) Did the action complained about occur recently or not.
e) Do the allegations relate to actions occurring whilst the Member was acting in their official capacity or do they relate to their private life.
f) Whether the matter is considered suitable for alternative resolution and whether either the Member concerned, or the complainant is not prepared to accept this as a solution.

2.7 The initial assessment of the complaint will be held as soon as possible after receipt of your complaint and you will be informed, in writing, of the outcome by the Monitoring Officer. You will be informed on progress throughout the process.

2.8 Unless exceptional circumstances exist that indicate otherwise, the Monitoring Officer will inform the Member concerned of the receipt and nature of the complaint and invite their comments.

2.9 Where the Monitoring Officer requires additional information in order to come to a decision, they may come back to you for such information, and may request information from the Member against whom your complaint is directed.

2.10 If, during the assessment of the initial complaint, it becomes clear that either the Monitoring Officer or the Independent Persons have a conflict of interest in relation to the complaint, they will not play any further role in the assessment of the complaint. In order that the complaint can be assessed, steps will be taken to appoint a Monitoring Officer (or suitably qualified person) or an Independent Person from another authority to assess the complaint and take
any further steps required under this procedure.

3.0 Alternative resolution

3.1 In appropriate cases, the Monitoring Officer may seek to resolve the complaint informally, without the need for a formal investigation. The Monitoring Officer must consult with the Independent Persons about this course of action. Such informal resolution may involve the Member accepting that their conduct was unacceptable and offering an apology, or other remedial action by the Council. Where the Member or the Council makes a reasonable offer of informal resolution, but you are not willing to accept that offer, the Monitoring Officer (and Independent Persons) will take account of this in deciding whether the complaint warrants a formal investigation.

3.2 If your complaint identifies criminal conduct or breach of other regulation by any person, the Monitoring Officer has the power to call in the Police and other regulatory agencies.

4.0 If the Complaint is referred for Investigation how is the investigation conducted

4.1 If the Monitoring Officer decides that a complaint merits formal investigation, they will appoint an Investigating Officer, who may be another senior officer of the Council, an officer of another Council or an external investigator. The Monitoring Officer will agree an investigation plan with the Investigating Officer. The Investigating Officer shall meet or speak to you to understand the nature of your complaint. If so, then you can explain your understanding of events and suggest what documents the Investigating Officer needs to see and who the Investigating Officer needs to interview. The Monitoring Officer will consult with the Independent Persons about the need for a formal investigation.

4.2 The Investigating Officer would normally write to the Member against whom you have complained and provide them with a copy of your complaint. The Member would be asked to provide their explanation of events. The Investigating Officer will identify what documents they need to see and who they need to interview. In exceptional cases, where it is appropriate to keep your identity confidential, or disclosure of details of the complaint to the Member might prejudice the investigation, the Monitoring Officer can delete your name and address from the papers given to the Member, or delay notifying the Member until the investigation has progressed sufficiently.

4.3 At the end of their investigation, the Investigating Officer will produce a draft report and will send copies of that draft report, in confidence, to you and to the Member concerned, to give you both an opportunity to identify any matter in
that draft report which you disagree with or which you consider requires further consideration.

4.4 Having received and taken account of any comments which you may make on the draft report, the Investigating Officer will send it to the Monitoring Officer.

5.0 What happens if the Investigating Officer concludes that there is no evidence of a failure to comply with the Code of Conduct

5.1 The Monitoring Officer will, in consultation with the Independent Person, review the Investigating Officer’s report and, if they are satisfied that the Investigating Officer’s report is sufficient, the Monitoring Officer will write to you and to the Member concerned, notifying you that no further action is required.

6.0 What happens if the Investigating Officer concludes that there is evidence of a failure to comply with the Code of Conduct

6.1 The Monitoring Officer will, in consultation with the Independent Person, review the Investigating Officer’s report and will then either send the matter for local hearing before the Sub Committee made up of Councillors from the Council’s Democracy and Standards Committee or seek an alternative resolution.

6.2 Local Resolution

6.2.1 The Monitoring Officer and Independent Persons may consider that the matter can be resolved without the need for a hearing. Such resolution may include the Member accepting that his/her conduct was unacceptable and offering an apology, and/or other remedial action by the Council. If the Member complies with the suggested resolution, the Monitoring Officer will report the matter to the Democracy and Standards Committee for information but will take no further action.

6.3 Local Hearing

6.3.1 If the Monitoring Officer and Independent Person consider that local resolution is not appropriate or it isn’t possible to achieve, the Monitoring Officer will report the Investigating Officer’s report to the Sub Committee which will conduct a local hearing to decide whether the Member has failed to comply with the Code of Conduct and, if so, whether to take any action in respect of the Member.

6.3.2 In summary, the Monitoring Officer will conduct a “pre-hearing process”, requiring the Member to give their reponse to the Investigating Officer’s report. This is in order to identify what is likely to be agreed and what is likely to be contentious at the hearing.

6.3.3 It is intended that hearings should be conducted in a formal manner but the attendance of legally qualified representative advisors of the complainant and complained against councillor(s) is not encouraged. Accordingly, no assistance will be given towards the cost of any such legally qualified representatives. The Sub Committee will act in an inquisitorial manner, rather than an adversarial manner, seeking the truth in relation to the conduct of the councillor(s) on the balance of the information available to it, and will be able to commission further investigation or information where it needs to do so in order to come to a decision.

6.3.4 The Chair of the Sub Committee may issue directions as to the manner in which the hearing will be conducted. At the hearing, the Investigating Officer will present their report, call such witnesses as they consider necessary and make representations to substantiate their conclusion that the Member has failed to comply with the Code of Conduct. For this purpose, the Investigating Officer may ask you, as the complainant, to attend and give evidence to the Sub Committee.

6.3.5 The Member will then have an opportunity to give their evidence, to call witnesses and to make representations to the Sub Committee as to why they consider that they did not fail to comply with the Code of Conduct. The Sub Committee, with the benefit of any advice from the Independent Persons, may conclude that the Member did not fail to comply with the Code of Conduct and so dismiss the complaint. Alternatively, if the Sub Committee finds that the Member did fail to comply with the Code of Conduct, the Chair will inform the Member of this finding and the Sub Committee will then consider what action, if any, the Sub Committee should take as a result of the Member’s failure to comply with the Code of Conduct. In doing this, the Sub Committee will give the Member an opportunity to make representations to the Panel and will consult the Independent Persons.

6.3.6 If the Member wishes to make representations to the Panel and/or consult with the Independent Persons the Hearing will adjourn, normally for one week, and reconvene to hear any representation or statement from the Member before either confirming or amending their decision. If the Member does not wish to make representations to the Panel, or consult with the Independent Persons, the decision of the Panel will stand as announced.

7.0 What action can the Sub Committee take where a Member has failed to comply with the Code of Conduct

7.1 The Sub Committee must publish its findings in respect of the Member’s conduct;

7.2 The Sub Committee may:

a) Report its findings to the Council for information;
b) Recommend that the Leader/Group Leader or Town/Parish Council, as applicable, remove the Member from Special Responsibilities - i.e. Executive/Committees/Outside Bodies;
c) Instruct the Monitoring Officer to arrange training for the Member;
d) Instruct the Monitoring Officer to mediate between the complainant and the Member;
e) Recommend to Full Council or a Town or Parish Council as applicable, that the Member be removed from any or all outside appointments to which they have been appointed or nominated by the Council where the complaint relates to that appointment and for a specified period of time;
f) Recommend to Full Council or a Town or Parish Council as applicable, the withdrawal of any facilities provided to the Member by the Council that may have been abused or improperly used; or
g) Recommend to Full Council the exclusion of the Member from the Council’s offices or other premises, with the exception of meeting rooms as necessary for attending Council, Committee and Sub-Committee meetings;
h) Recommend that the member concerned makes a formal written or verbal or written and verbal apology to the Full Council and/or the complainant.

7.3 There are no powers that allow the Council or the Democracy and Standards Committee to suspend or disqualify the Member or to withdraw Members’ basic allowances. (Although, removing a Member from the Executive or other Committee would lead to a loss of any Special Responsibility Allowance that position was entitled to for the period of the suspension).

8.0 What happens at the end of the hearing

8.1 At the end of the hearing, the Chair will state the decision of the Sub Committee as to whether the Member failed to comply with the Code of Conduct and as to any actions which the Sub Committee resolves to take.

8.2 As soon as reasonably practicable thereafter and subject to any adjournment as set out in 6.3.6 above, the Monitoring Officer shall prepare a formal decision notice in consultation with the Chair of the Sub Committee and send a copy to you and to the Member. The decision notice will be made available for public inspection after 20 working days have elapsed from the date the decision notice was issued (provided there has not been a request for a review under paragraph 9 of these Arrangements) and the decision reported to the next convenient meetings of the Democracy and Standards Committee and of the Council.

9. Appeals and reviews

9.1 There is no right of appeal for you as complainant or for the Member against a decision of the Monitoring Officer of Sub Committee. A complaint can be lodged with the Ombudsman about process.

10.0 Sub Committees

10.1 The Sub Committees are panels of the Council’s Democracy and Standards Committee. They will comprise three Members of the Democracy and Standards Committee; and for Town and Parish Council complaints a Town/Parish representative who is a member of the Democracy and Standards Committee.

10.2 The Independent Persons are invited to attend all meetings of the Sub Committee and their views are sought and taken into consideration before the Sub Committee takes any decision on whether the Member’s conduct constitutes a failure to comply with the Code of Conduct and as to any action to be taken following a finding of failure to comply with the Code of Conduct.

11.0 Who are the independent persons

11.1 The Council has three Independent Persons.

11.2 A person cannot be “independent” if they:

a) are, or have been within the past five years, a Member, co-opted Member or officer of the Council or of a parish council within the Council’s area; or
b) are a relative or close friend of a person within paragraph 13.1. For this purpose, “relative” means:

1. the other person’s spouse or civil partner
2. living with the other person as husband and wife or as if they were civil partners
3. a grandparent of the other person
4. a lineal descendant of a grandparent of the other person
5. a parent, sibling or child of a person within paragraphs (i) or (ii)
6. the spouse or civil partner of a person within paragraph (iii), (iv) or (v); or
7. living with a person within paragraph (iii), (iv) or (v) as husband and wife or as if they were civil partners.

12.0 Being accompanied at a Sub Committee

12.1 Both you and the Member you complained about may choose to bring another person with them to the Sub Committee meeting (if one takes place) to support them. It shall be a matter for the Chair of the Sub Committee to issue directions as to the manner in which a supporting person may participate in the meeting, to ensure there is a balance between a party’s need to be supported and the need for the Sub Committee and/Review Panel to conduct its business fairly and efficiently.

13.0 Principles of natural justice

13.1 For the avoidance of doubt, it is expressly stated that the procedures in these Arrangements must be conducted in accordance with the principles of natural justice. In summary, in the context of these Arrangements, the principles of natural justice mean that each party has the right to a fair hearing, the right to make their case to an impartial person/group of people, and that the decision makers in this process act without bias or apparent bias, act impartially and do not create any procedural irregularities.

14.0 Service

14.1 Where it is necessary for any documentation to be sent to a member against whom an allegation of breach of the Code has been made, those documents may be sent by recorded delivery post to that members usual address and/or by e-mail to the e-mail address notified to the Council. Any documents sent by such a method are deemed to be served for the purpose of these arrangements.

15.0 Revision of these arrangements

15.1 The Council may by resolution agree to amend these arrangements and has delegated to the Chair of the Sub Committee (and the Chair of the Review Panel in cases where there is a review), the right to depart from these arrangements where they consider that it is expedient to do so in order to secure the effective and fair consideration of any matter.

End of Arrangements for dealing with allegations of breaches of North Northamptonshire Council’s Code of Conduct
August 2022

1.0 Purpose

1.1 This Protocol provides guidance to the Monitoring Officer when determining whether a complaint against a Councillor falls within the scope of the North Northamptonshire Council Members' Code of Conduct and should therefore proceed under the Council's Member Complaints Procedure.

1.2 The Protocol supports the arrangements adopted pursuant to section 28 of the Localism Act 2011 and should be read alongside:

• Part 8.2 of the North Northamptonshire Council Constitution (Members' Code of Conduct)
• Part 8.3 of the Constitution (Member Complaints Procedure)
• The Localism Act 2011
• The LGA Guidance on Member Model Code of Conduct Complaints Handling

1.3 This Protocol provides guidance only and cannot anticipate every factual circumstance. Each complaint shall be considered on its own merits

2.0 Principles

2.1 The Monitoring Officer shall determine whether a complaint is within scope by applying the principles of:

• Fairness
• Proportionality
• Consistency
• Transparency
• Natural Justice
• Public confidence in local government

2.2 The purpose of the initial assessment is not to determine whether a breach has occurred, but whether the complaint is capable of amounting to a breach of the Code of Conduct.

3.0 Initial jurisdiction test

3.1 Before considering the substance of the complaint, the Monitoring Officer should be satisfied that the complaint concerns:

• A serving North Northamptonshire Councillor; or
• A serving Town or Parish Councillor within the North Northamptonshire area

3.2 If the Councillor has ceased to hold office before the complaint is received, the complaint will normally fall outside the Council's arrangements.

4.0 Code of conduct

4.1 The Council's Code of Conduct was in force at the time of the alleged conduct.

5.0 Acting as a councillor

5.1 The conduct complained of occurred when the individual was acting, claiming to act, or giving the impression that they were acting in their capacity as a Councillor.

6.0 Complaints normally outside scope

6.1 The following complaints will normally be outside the scope of the Code of Conduct.

1 Dissatisfaction With a Council Decision

Complaints that challenge:

• A planning decision
• A licensing decision
• A budget decision
• A policy decision

6.2 These matters should normally be addressed through appropriate appeal, review or complaints processes rather than the Code of Conduct process.

2 Complaints About Council Services

• Missed waste collections
• Housing management issues
• Highway maintenance concerns
• Delays in service delivery

6.3 These are operational complaints and should be referred through the Council's corporate complaints process

3 Private Disputes

• Neighbour disputes
• Family disagreements
• Private commercial disputes.

6.4 The North Northamptonshire procedure identifies neighbour disputes where it is evident that the Member is acting in a personal capacity as falling outside the Code.

4 Political Disagreement

• Disagreement with a Councillor's political views
• Decisions made by a political group
• Policy positions advocated by a Councillor
• Participation in lawful political debate

6.5 The Code of Conduct is not intended to regulate legitimate political expression.

5 Complaints About Officers

6.6 Complaints against Council officers are outside the jurisdiction of the Member Code of Conduct and should be dealt with through relevant employment or corporate procedures. This includes complaints relating to Town and Parish Councils as well as North Northamptonshire Council.

7.0 Complaints arising outside formal council settings

7.1 Conduct occurring outside Council premises or meetings is not automatically outside scope. The Monitoring Officer should consider whether there is a sufficient connection between the conduct and the Councillor's official role.

7.2 Relevant considerations include:

• Did the Councillor identify themselves as a Councillor?
• Were they using their position as a Councillor?
• Would an objective observer regard the conduct as connected with the office of Councillor?
• Could the conduct reasonably affect public confidence in the office of Councillor?

8.0 Social media and online conduct

8.1 The Monitoring Officer should consider:

a) Whether the Councillor's profile identifies them as a Councillor.
b) Whether Council business is discussed.
c) Whether the conduct appears connected to their public role.
d) Whether the conduct has potential to bring the office of Councillor into disrepute.

8.2 The fact that communication occurred on a personal account does not automatically place it outside the scope of the Code.

9.0 Repeat, trivial and vexatious complaints

9.1 A complaint may be rejected without further consideration where:

a) The matter has already been determined
b) The complaint is trivial
c) The complaint is malicious or vexatious
d) The complaint is politically motivated and unsupported by evidence
e) The complaint amounts to tit-for-tat allegations

9.2 The complaint arrangements indicate that frivolous, vexatious and politically motivated complaints are liable to rejection.

10.0 Time limits

10.1 The Monitoring Officer may decline to investigate complaints relating to matters that occurred more than six months before submission unless there are exceptional circumstances and a good reason for the delay.

11.0 Vexatious, Tit-for-Tat, persistent and politically motivated complaints

11.1 The standards process exists to maintain high standards of conduct in public life and to promote public confidence in local government.

11.2 The Member Complaints Procedure is not intended to:

a) pursue personal grievances.
b) advance political disputes.
c) challenge lawful political opinions.
d) re-open matters already determined.
e) harass or undermine councillors
f) secure publicity for political purposes.
g) pursue complaints that are repetitive, unreasonable or without substance

11.3 The Monitoring Officer may take into account the nature and history of complaints when determining what action is appropriate.

12.0 Vexatious complaints

12.1 A complaint may be considered vexatious where it appears to be motivated primarily by a desire to:

a) annoy, harass, inconvenience or embarrass a Councillor.
b) abuse the standards process.
c) pursue matters that have already been determined.
d) make allegations without any apparent factual basis.
e) overwhelm the authority through repeated complaints.
f) continue correspondence despite clear explanations or decisions.

12.2 The fact that a complaint is ultimately not upheld does not of itself make it vexatious.

12.3 The Monitoring Officer should consider the substance and circumstances of each complaint individually.

13.0 Tit-for-Tat complaints

13.1 A tit-for-tat complaint may arise where:

a) Councillor A complains about Councillor B and Councillor B subsequently complains about Councillor A.
b) multiple complaints are submitted as part of a continuing personal or political dispute.
c) complaints appear retaliatory rather than genuinely concerned with standards of conduct.

13.2 The existence of reciprocal complaints does not automatically justify rejection

14.0 Politically motivated complaints

14.1 The Monitoring Officer should recognise that local government necessarily involves political debate and disagreement.

14.2 A complaint should not normally proceed solely because:

a) a complainant disagrees with a councillor's political views.
b) a councillor has supported or opposed a particular policy.
c) a councillor has voted in a certain way.
d) a councillor belongs to a particular political group.
e) a councillor has engaged in lawful political debate or criticism.

14.3 However, political motivation does not automatically render a complaint invalid.

14.4 The question remains whether the complaint, if proven, would amount to a breach of the Code of Conduct.

15.0 Habitual (or Persistent) complainants

15.1 A complainant may be regarded as persistent where they repeatedly:

a) submit complaints concerning substantially the same issues.
b) submit complaints previously rejected.
c) submit numerous complaints unsupported by evidence.
d) refuse to accept reasoned decisions.
e) make excessive demands on officer resources.
f) use the complaints process in a manner that is disproportionate to the issues raised.

15.2 The Monitoring Officer may take account of a pattern of behaviour when determining how future complaints should be managed. Each complaint must nevertheless be assessed on its own merits.

16.0 General application for habitual and vexatious matters

16.1 Habitual or vexatious complaints can be a problem for officers and Members.

16.2 The difficulty in handling such complaints is that they are time consuming and wasteful of resources in terms of officer and member time and displace scarce human resources that could otherwise be spent on council priorities. Whilst the Monitoring Officer will endeavour to process all complaints under the local assessment procedure there are times when there is nothing further which can reasonably be done to assist or to rectify a real or perceived problem.

16.3 In this guidance habitual means done repeatedly or as a habit. Vexatious means a complaint brought for the purpose of annoying another person and with no reasonable prospect of success. Schedule A of this document sets out a list of behaviours which may be fall within the definition of habitual or vexatious Complainants.

16.4 Prior to considering its implementation, the Monitoring Officer will send a summary of this policy to the Complainant to give them prior notification of its possible implementation.

16.5 Where complaints continue and have been identified as habitual or vexatious, the Monitoring Officer will consult with the Independent Person to seek agreement to treat the complaint as habitual or vexatious and for an appropriate course of action to be taken.

16.6 The Monitoring Officer will notify Complainants in writing of the reasons why their complaint has been treated as habitual or vexatious and the action that will be taken. The Monitoring Officer will also notify the relevant local Member (if any) that a constituent has been designated as a habitual and vexatious Complainant.

16.7 Once a Complainant has been determined to be habitual or vexatious, their status will be kept under review after one year and monitored by the Monitoring Officer with reports being taken to Democracy and Standards Committee as required. If a Complainant subsequently demonstrates a more reasonable approach, then their status will be reviewed.

16.8 The fact that a complaint is made by a political opponent, frequent complainant, campaigner, councillor or person previously involved in standards complaints shall not, in itself, be grounds for rejecting the complaint. The Monitoring Officer shall consider whether the complaint discloses a potential breach of the Code of Conduct and whether there is sufficient information to justify further consideration. Decisions shall be based upon the evidence and circumstances of the individual complaint rather than the identity of the complainant.

Schedule A - Criteria for determining habitual or vexatious complaints

Habitual or vexatious Complainants are defined for the purpose of this guidance:

The repeated and/or obsessive pursuit of:

a) Unreasonable complaints and/or unrealistic outcomes.
b) Reasonable complaints in an unreasonable manner.

Examples of behaviours which may fall within this category include:

Complainants (and/or anyone acting on their behalf) may be deemed to be habitual or vexatious where previous or current contact with them shows that they meet one of the following criteria. Where Complainants:

a) Persist in pursuing a complaint where the local assessment process has been fully and properly implemented and exhausted.
b) Persistently change the substance of a complaint or frequently raise new issues or seek to prolong contact by frequently raising further concerns or questions whilst the complaint is being addressed. (Care must be taken however not to disregard new issues which are significantly different from the original complaint as they need to be addressed as a separate complaint.)
c) Are repeatedly unwilling to accept documented evidence given as being factual or deny receipt of an adequate response in spite of correspondence specifically answering their questions or do not accept that facts can sometimes be difficult to verify after a long period of time has elapsed.
d) Repeatedly do not clearly identify the precise issues which they wish to complain about despite reasonable efforts of officers to help them specify their concerns and/or where the concerns identified do not fall within the remit of the local assessment process.
e) Regularly focus on a trivial matter to an extent which is out of proportion to its significance and continue to focus on this point. It is recognised that determining what a trivial matter is can be subjective and careful judgement will be used in applying this criterion.
f) Has threatened or used physical violence towards employees at any time. This will itself cause personal contact with the Complainant and/or their representative to be discontinued and the complaint will, therefore, only be continued to be written communication. The Council must determine that any Complainant who threatens or uses actual physical violence towards employees will be regarded as a vexatious Complainant. The Complainant will be informed of this in writing together with notification of how future contact with the Council is to be made.
g) Have in the course of addressing a complaint to the Monitoring Officer had an
excessive number of contacts with the Council, placing unreasonable demands on officers. A contact may be made in person by telephone, letter, or email. Judgment will be used to determine excessive contact taking into account a specific circumstance of each individual case.
h) Have harassed or been verbally abusive on more than one occasion towards officers dealing with complaints. Officers recognise that Complainants may sometimes act out of character in times of stress, anxiety or distress and will make reasonable allowances for this. Some Complainants may have a mental health disability and there is a need to be sensitive in circumstances of that kind.
i) Are known or reasonably considered to have recorded meetings or face to face/telephone conversations without the prior knowledge or consent of the parties involved.
j) Make unreasonable demands on the Council and its employees and fail to accept these may be unreasonable.
k) Make repetitive complaints and allegations that ignore the replies to the Council has supplied in previous correspondence.

1.0 Purpose

1.1 This Protocol establishes a consistent and transparent approach to requests for confidentiality made by complainants in relation to allegations of breaches of the Councillor Code of Conduct.

1.2 The Protocol seeks to balance:

• The rights of complainants to be protected from intimidation, harassment or victimisation
• The rights of subject members to know the case against them and to respond fairly
• The public interest in openness, accountability and transparency in local government
• The requirements of natural justice, data protection legislation and the Council's Member Complaints Procedure

1.3 This Protocol should be read alongside:

• The North Northamptonshire Councillor Code of Conduct (Part 8.2 of the Constitution)
• Member Complaints Procedure (Part 8.3 of the Constitution)
• The Localism Act 2011
• The LGA Guidance on Member Model Code of Conduct Complaints Handling

1.4 The Council's starting position is that complaints will normally be disclosed to the subject member, including the identity of the complainant.

1.5 The Member Complaints Procedure provides that the Council will not withhold a complainant's identity or the details of a complaint unless there are exceptional reasons for doing so. Where the Monitoring Officer does not agree to confidentiality, the complainant will be given the opportunity to withdraw the complaint.

1.6 A resident requests confidentiality because they would rather not become involved in any dispute. Being uncomfortable with the complaint process, without evidence of specific risks, would not usually justify confidentiality.

1.7 Confidentiality is therefore an exception rather than the rule.

2.0 Criteria for considering confidentiality requests

2.1 The Monitoring Officer shall consider each request on its individual merits.

2.2 Confidentiality may be granted where there is credible evidence that disclosure may result in:

a) Risk of Harm - A genuine risk of intimidation, harassment, discrimination, victimisation or threats towards the complainant or witnesses.
b) Safeguarding Concerns - Concerns relating to vulnerable adults, children or protected individuals.
c) Employment Implications - A risk that disclosure may adversely affect the complainant's employment, professional position or contractual relationship with a public body.
d) Sensitive Personal Information - Disclosure of special category personal data or other highly sensitive information.
e) Serious Public Interest Considerations - Circumstances where the public interest in investigating the allegation outweighs the need for full disclosure of identity.

2.3 The following factors will not normally justify confidentiality on their own:

• Concern about political embarrassment
• A desire to avoid criticism
• Mere discomfort with being identified
• General concerns unsupported by evidence.

3.0 Requesting confidentiality

3.1 Where a complainant upon presentation of a complaint requests confidentiality to assist in the assessment of this, they are expected to provide the following:

a) Specify what information they wish to remain confidential.
b) Explain why confidentiality is necessary.
c) Provide any evidence supporting the request.

3.2 The Monitoring Officer will consider the request and will have regard to the following:

• The seriousness of the allegation
• The nature of the confidentiality concerns
• The extent to which the complaint can be fairly investigated without disclosure
• The rights of the subject member
• The public interest

3.3 The LGA guidance emphasises the importance of procedural fairness and enabling councillors to understand and respond fully to allegations made against them. The Monitoring Officer may consult an Independent Person before determining the request. This reflects the Council's complaint arrangements and LGA good practice.

4.0 Factors weighing against confidentiality

4.1 Confidentiality will generally not be appropriate where:

• The allegations cannot be fairly investigated without disclosure of the complainant's identity
• Disclosure is necessary to satisfy principles of natural justice
• The complainant is likely to be a key witness whose identity would inevitably become apparent
• The allegations are already widely known
• The public interest in transparency outweighs the reasons for confidentiality

4.2 The Monitoring Officer shall determine whether:

• Confidentiality is granted in full
• Confidentiality is granted in part
• Confidentiality is refused

5.0 When confidentiality is refused

5.1 Where the Monitoring Officer concludes that confidentiality cannot reasonably be maintained:

• The complainant shall be informed of the decision and the reasons
• The complainant shall be offered the opportunity to withdraw the complaint before disclosure takes place
• If the complaint is withdrawn, the Monitoring Officer shall consider whether there remains a sufficient public interest to continue action

6.0 Where confidentiality is granted

6.1 Access to information shall be restricted to those involved in considering the complaint and information shall be shared only where necessary for the fair conduct of the investigation.

6.2 Documents shall be redacted where appropriate and correspondence shall be marked confidential.

6.3 Witness identities shall be protected wherever possible.

6.4 Confidentiality granted at the assessment stage may be reviewed if circumstances change or if fairness requires further disclosure.

7.0 Confidentiality at standards hearing panels

7.1 In relation to Hearings, the specific arrangements are detailed within the constitution and the associated guidance. The general principle is that Hearings shall normally be conducted openly in accordance with local government transparency requirements. In exceptional circumstances the Hearing Panel may consider exclusion of the public or withholding confidential information where:

• Personal data requires protection
• Witness welfare requires protection
• Safeguarding concerns arise
• Confidential or exempt information is involved under the Local Government Act 1972

8.0 Anonymous complaints

8.1 Anonymous complaints will not normally be investigated. However, the Monitoring Officer may consider an anonymous complaint where:

• The allegations are exceptionally serious
• Supporting evidence is provided
• There is a significant public interest
• There appears to be a realistic prospect of establishing the facts

9.0 Redaction and anonymisation

9.1 Redaction - This means removing, obscuring or blacking out specific information from a document before it is disclosed. The remainder of the document is still shared, but particular details are withheld.

9.2 Key Characteristics

• The document still exists in substantially the same form
• Some information remains identifiable from context
• The original unredacted version is retained by the Council

9.3 Redaction is often used where fairness requires disclosure of the evidence, but personal information does not need to be disclosed.

9.4 Anonymisation - This means removing or altering information so that an individual can no longer reasonably be identified from the information disclosed. The aim is not merely to conceal a specific detail but to prevent identification altogether.

9.5 The Monitoring Officer may use redaction or anonymisation as a proportionate alternative to complete confidentiality where this enables the complaint to be considered fairly whilst protecting personal information. The suitability of either approach will depend upon the particular circumstances of the case and the requirements of natural justice.

10.0 Summary

10.1 In conclusion the legislation does not stipulate a universal approach to adopt. The LGA guidance emphasises the principles of fairness, natural justice, proportionality, transparency and impartiality. It does not prescribe a list of circumstances in which confidentiality must or should be granted.

10.2 This guidance document is intended to support the Monitoring Officer and those considering Councillor Code of Conduct complaint matters alongside the agreed arrangements for North Northamptonshire Council.

1.0 Purpose

1.1 Where the assessment of a complaint, or an investigation undertaken under the Council's arrangements for dealing with allegations of breaches of the Members' Code of Conduct, identifies evidence of a potential failure to comply with the Code of Conduct and informal resolution is not appropriate or has not been successful, the matter shall be referred to a Hearing Panel of the Standards Committee.

1.2 The purpose of the Hearing Panel is to determine:

a) whether the Subject Member has failed to comply with the Code of Conduct; and
b) where a breach is found, whether any sanction should be imposed and, if so, the nature of that sanction.

2.0 Overview

2.1 Where the assessment of the complaint or where an investigation finds evidence of a failure to comply with the Code of Conduct and informal resolution is not possible, the outcome of the assessment or investigation findings will be reported to a Hearing Panel of the Standards Committee.

2.2 The purpose of the hearing is to decide whether or not the Subject Member(s) have failed to follow the Code of Conduct and, if so, to decide whether or not any sanction should be applied and what form any sanction should take.

2.3 If the Complainant(s) or Subject Member(s) is a Member of the Standards Committee, they will not sit on the Hearing Panel.

2.4 The Hearing Panel will usually be convened within three months beginning on the date on which the Monitoring Officer receives the Investigating Officers report or the date of the decision notice recommending that the complaint be referred to hearing.

2.5 The hearing shall not be held until at least fourteen days after the date on which the report or the decision notice recommending that the complaint be referred to hearing was sent to the Subject Member(s), unless they agree to the hearing being held earlier.

2.6 The Hearing Panel will usually aim to complete a hearing in one sitting or in consecutive sittings of no more than one working day in total.

2.7 The Hearing Panel will act in an inquisitorial, rather than an adversarial manner, seeking the truth in relation to the conduct of the Subject Member(s) on the balance of the information available to it. The Hearing Panel can commission further investigation or information where it needs to do so in order to come to a decision.

2.8 It is expected that the Hearing Panel will reach a decision by consensus. In the absence of a consensus, each Member of the Hearing Panel will have one vote, and all matters/issues will be decided by a simple majority of votes cast.

3.0 Composition of the hearing panel

3.1 The Hearing Panel shall be a Sub-Committee of the Standards Committee established in accordance with the Council's Constitution.

3.2 Any member of the Standards Committee who is the Complainant, the Subject Member, or who has a disclosable interest or conflict of interest in the matter shall not participate in the Hearing Panel.

3.3 The Independent Person shall be invited to attend the hearing and provide their views before any finding is made.

4.0 Timescale

4.1 The Hearing Panel will normally be convened within three months of:

a) receipt by the Monitoring Officer of the Investigating Officer's final report; or
b) the issue of a decision notice recommending referral of the complaint to a hearing.

4.2 A hearing shall not normally take place until at least 14 calendar days after the Investigating Officer's report or decision notice has been sent to the Subject Member, unless the Subject Member agrees to an earlier hearing.

4.3 The Hearing Panel will seek to conclude its consideration within a single sitting or consecutive sittings totalling no more than one working day, where reasonably practicable.

Pre-hearing procedure

5.0 Notification to the subject member

5.1 Where a matter is referred to a Hearing Panel, the Administrative Officer shall write to the Subject Member and:

a) propose a hearing date
b) provide a copy of the hearing procedure
c) explain the Subject Member's rights
d) invite the Subject Member to respond within 14 calendar days

5.2 The Subject Member shall be invited to state:

a) whether they disagree with any findings of fact in the Investigating Officer's report and the reasons for any disagreement.
b) whether they will attend the hearing.
c) whether they will be represented and, if so, by whom.
d) whether they wish to give evidence.
e) whether they intend to call witnesses and, if so, provide a summary of each witness's evidence.
f) whether they seek the exclusion of the press and public from any part of the hearing and the reasons for that request
g) whether they seek the withholding of any documents from public inspection and the reasons for that request.

6.0 Response of the subject member

6.1 The Subject Member shall, wherever possible, identify at the pre-hearing stage any disagreement with findings of fact contained in the Investigating Officer's report.

6.2 New challenges to findings of fact will not normally be permitted at the hearing unless the Chair is satisfied that exceptional circumstances exist, including the availability of new evidence.

7.0 Arrangements for the hearing

7.1 Upon receipt of the Subject Member's response, or expiry of the response period, the Monitoring Officer, in consultation with the Chair of the Hearing Panel and, where appropriate, the Independent Person, shall determine the date, time and venue of the hearing.

7.2 At least 14 days before the hearing, the Administrative Officer shall notify:

a) the Subject Member.
b) the Investigating Officer.
c) the Independent Person.
d) all other relevant participants 

of the date, time and venue of the hearing. The notification shall include details of the Hearing Panel membership.

8.0 Distribution of papers

8.1 At least seven days before the hearing, the Administrative Officer shall provide the following documents to the Hearing Panel Members, the Subject Member, the Investigating Officer, the Monitoring Officer and the Independent Person:

a) the agenda.
b) the Investigating Officer's report.
c) any written response submitted by the Subject Member.
d) any response provided by the Investigating Officer.

8.2 Any additional documents upon which a party intends to rely shall be submitted no later than three working days before the hearing.

8.3 The provision of documents may be subject to confidentiality requirements where appropriate.

Confidentiality before the hearing

9.0 Confidential and exempt Information

9.1 There is a presumption that hearings and associated reports will be open to the public.

9.2 Where the Monitoring Officer considers that disclosure of documents may reveal confidential information or exempt information within Schedule 12A of the Local Government Act 1972, those documents shall not be made available to the public before the hearing.

9.3 Requests from Members of the Authority for exempt information shall be dealt with in accordance with the Council's Constitution.

The hearing

10.0 Attendance and representation

10.1 The Subject Member may attend in person and may be represented, accompanied or co-represented by a solicitor, barrister, trade union representative or other person at their own expense.

10.2 Where the Subject Member does not attend:

a) the Hearing Panel may adjourn the hearing; or
b) if satisfied that sufficient notice has been given and it is reasonable to do so, proceed in their absence

10.3 Where the hearing proceeds in the absence of the Subject Member, any representative present may exercise the rights otherwise available to the Subject Member.

11.0 Legal advice

11.1 The Hearing Panel may seek legal advice at any stage of the proceedings.

11.2 Any legal advice shall be given in the presence of the Subject Member (or representative) and the Investigating Officer, unless the advice relates solely to procedural deliberations.

12.0 Order of business

The general order of business which would be adopted is set out below:

12.1 Preliminary Matters

The Chair shall:

a) invite declarations of interest.
b) introduce all participants.
c) determine whether to proceed in the absence of the Subject Member, if applicable.
d) determine any request for exclusion of the press and public.

12.2 Investigating Officer's Presentation

a) The Investigating Officer shall present the report and evidence relating to the alleged breach.
b) Members of the Hearing Panel may question the Investigating Officer and any witness.
c) The Subject Member, or their representative, may question witnesses through the Chair or directly where permitted by the Chair.

12.3 Subject Member's Presentation

a) The Subject Member, or their representative, shall then present their case.
b) The Subject Member may call witnesses and submit relevant evidence.
c) Members of the Hearing Panel may question the Subject Member and any witness.
d) The Investigating Officer may question witnesses through the Chair or directly where permitted by the Chair.

12.4 Disputed Findings of Fact

Where a disputed fact has not been identified during the pre-hearing process, the Chair may:

a) refuse to admit the dispute.
b) admit the dispute and invite further submissions.
c) adjourn the hearing to permit further investigation.

12.5 View of the Independent Person

a) Before making any determination, the Hearing Panel shall invite the Independent Person to provide their views.
b) The Hearing Panel shall take those views into account but shall not be bound by them.

12.6 Deliberations - Determination of Breach

The Hearing Panel shall retire to consider its decision in private.

The Hearing Panel shall determine, on the balance of probabilities, whether the Subject Member has failed to comply with the Code of Conduct.

The Hearing Panel may recall any participant for further questions before reaching a determination.

12.7 Findings

The Hearing Panel may find that:

a) the Subject Member did not fail to comply with the Code of Conduct.
b) the Subject Member failed to comply with the Code of Conduct but no further action is required.
c) the Subject Member failed to comply with the Code of Conduct and a sanction should be imposed. The Panel may invite views on the sanctions and deliberate in private before confirming the sanctions to be imposed.

12.8 Sanctions

Where the Subject Member is no longer a Member of the Authority, the Hearing Panel may issue a formal censure.

Where the Subject Member remains a Member of the Authority, the Hearing Panel may impose one or more of the following sanctions:

a) formal censure.
b) requirement to submit a written apology.
c) requirement to undertake specified training.
d) requirement to participate in conciliation, mediation or other restorative process.
e) recommendation to Full Council or the relevant Town or Parish Council that the Subject Member be removed from one or more committees, sub-committees or outside appointments.
f) restriction of access to, or use of, Council resources for a period not exceeding six months, provided the restriction is reasonable, proportionate and does not prevent the Member from carrying out their role.

13.0 Notification of the decision

13.1 Hearing Panel will normally announce its decision at the conclusion of the hearing. As soon as reasonably practicable thereafter, the Chair shall issue a written decision notice.

13.2 The notice shall include:

a) a summary of the facts.
b) the relevant provisions of the Code of Conduct.
c) the views of the Independent Person.
d) the findings of the Hearing Panel.
e) the reasons for the decision.
f) details of any sanction imposed.

13.3 The decision notice shall be provided to:

a) the Subject Member.
b) the Complainant.
c) the Investigating Officer.
d) the Independent Person.
e) the Standards Committee.
f) any relevant Group Leader.
g) the Clerk to any relevant Town or Parish Council.
h) any other authority of which the Subject Member was a member at the relevant time.

14.0 Publication

14.1 Subject to any legal restriction on disclosure, a summary of the decision shall be published on the Council's website.

15.0 Non-Co-operation

15.1 Where the Hearing Panel determines that any Member or Officer has failed to co-operate with the investigation or hearing process, it may refer the matter to the appropriate body for consideration.

16.0 Costs

16.1 Witness Expenses - The Council may reimburse reasonable expenses incurred by witnesses whose attendance has been requested by the Investigating Officer or Hearing Panel.

17.0 Additional evidence

17.1 The Hearing Panel may adjourn proceedings and direct the Monitoring Officer to obtain further information or undertake further investigation.

17.2 Such an adjournment should only be made where necessary in the interests of fairness and proper decision-making.

18.0 Confidentiality

18.1 No Member or Officer shall disclose information obtained through an investigation or hearing except where:

a) the disclosure is necessary for the proper discharge of functions under these procedures.
b) the disclosure is required by law.
c) the disclosure is made for the purposes of criminal proceedings.
d) the person concerned has consented to disclosure.
e) the information has already been lawfully disclosed.

19.0 Public access

19.1 Hearings shall normally be held in public.

19.2 The Hearing Panel must exclude the press and public where confidential information would otherwise be disclosed.

19.3 The Hearing Panel may exclude the press and public where exempt information, as defined by Schedule 12A to the Local Government Act 1972, would otherwise be disclosed and where exclusion is justified and proportionate.

20.0 Human rights considerations

20.1 The Hearing Panel shall act consistently with:

a) Article 6 of the European Convention on Human Rights, which provides a right to a fair and public hearing.
b) Article 8 of the European Convention on Human Rights, which protects the right to private and family life.

20.2 There shall be a presumption in favour of holding hearings in public unless there are compelling reasons to restrict public access.

21.0 Access to documents

21.1 Public Inspection

a) Agendas, reports and minutes shall be made available for public inspection in accordance with the Local Government Act 1972, subject to the exclusion of confidential or exempt information.
b) Documents shall remain available for the period required by law.