Transcript Code of Conduct for Councillors

Code of Conduct for
Councillors
Overview and Issues
Legislative Background
• Local Government Act 2014
– Mandatory Code of Conduct
– Mechanisms to investigate and adjudicate; BUT
– Minister to lay a further Bill regarding Adjudication
– Sanctions
– Appeals
• Effective Date:
– 26 May 2014
– Subject to Assembly approval of Code
Application to Councillors
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All Councillors elected from May 2014 onwards
Any person co-opted from May 2014 onwards
Non-voting Members of Committees
Non-councillor members of overview/scrutiny
Committees
• Existing Councillors up to 31 March 2015
• Planning Section applies from 1 April 2015
Requirements of Councillors
• Councillors must recognise Public expectations
• Councillors must sign a declaration prior to
taking office – this has been removed from the
Local Government Bill, for now...
• Councillors must ensure familiarity with the
Code and any future amendments
When it must be Observed
• Council and Committee meetings
• When acting, or giving impression acting, as
Councillor
• When acting, or giving impression acting, as
representative of council
• At all times, in any capacity, regarding conduct
which may bring you or Council into disrepute
Serving on Outside Bodies
• Bodies which DO have their own Code – you must
comply with their Code
• Bodies which do NOT have their own Code – you
must comply with this Code
• Appointments not arising from your position
as a Councillor – you must not conduct
yourself in a manner which may bring
you or Council into disrepute
Principles
Nolan Principles of
Public Life
• Selflessness
• Integrity
• Objectivity
• Accountability
• Openness
• Honesty
• Leadership
NI Assembly Further
Principles
• Public Duty
• Equality
• Promoting Good Relations
• Respect
• Good Working
Relationships (Councillor
/Councillor & Councillor
/Staff)
Behaviour
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Show respect and consideration for others
Not bully or harass any person
Not do anything to compromise impartiality of Officers
Report any suspected criminal behaviour
Not make vexatious or frivolous complaints
Promote the Code and its Principles
Report anyone suspected of breaching Code
Be familiar with Equality legislation
Reaching Decisions at Meetings
• Do so on basis of the merits of the circumstances
• Do so in the public interest
• Have regard to advice from officers or legal
advisors
• Be able to give reasons for your decisions
Disclosure of Information
• Do not disclose confidential information
• Do not disclose information reasonably regarded as
being confidential
• Permissible only:
– with the express consent of a person authorised to
give such consent; or
– If required by law
• Information provided in
“Closed Session”???
Use of Your Position
• You must not attempt to use your
position improperly
• Do not seek to create an advantage
for yourself or any other person
• Do not seek to create or avoid a
disadvantage for yourself or any other
person
Use of Council Resources
• You must not use council resources:
– Imprudently
– Unlawfully
– In breach of council requirements
– Improperly for political purposes
– Improperly for private purposes
• You must use council resources in a manner which
facilitates the discharge of council functions or your
office
Dealings with your Council
• You must not seek preferential treatment
• You must avoid any action which may lead the
public to believe that such treatment is sought
• Also applies to family, friends, colleagues and your
employees
Expenses, Gifts and Hospitality
• You must obey the law and your council’s rules on
claiming expenses and allowances
• Do not accept any gift, hospitality, material benefit or
service for yourself or others which might place you,
or appear to place you, under an improper obligation
• Report any such items to Council within 28 days
• Discourage gifts/hospitality to family members
Personal Interests
• Chief Executive must maintain a Register
of Members’ Interests
• You have an interest in Council business related to:
– Your business/employment or person/firm you work
for
– Any person who has made a payment to you in
respect of your election or expenses in carrying out
your role as a Councillor
Personal Interests (cont.)
– Any company in your district in which you hold
securities worth over £25,000 or 1/100th of the share
capital
– Any contract between council and you or a firm in
which you are a partner or director
– Any land in the council’s district in which you have a
beneficial interest
– Any body to which you have been elected,
nominated or appointed to by your Council
– And more..........
Financial Interests
• Must be declared to Chief Executive
within 28 days of appointment to office
• Any changes to be notified within 28 days
• Does not apply to “sensitive information” –
information which, if publically available, may create a
serious risk that you, or someone who lives with you,
may be subjected to violence or intimidation
Disclosure of Interests
• Declare any pecuniary interest you or spouse have in
any matter coming before Council
• Declare any significant personal non-pecuniary interest
in any matter before Council
• Withdraw from meeting during discussion
• You may speak and vote on issues related to an
organisation Council has appointed you onto
• Declare interests when dealing with staff and other
Councillors
Provision of Indemnities
• Local Government (Indemnities for Members and
Officers) Order 2012
• Department Proposes to amend to require repayment
of sums expended if a Member is found to be in
breach of the Code
• Proposals are similar to those operating in other
jurisdictions
• Insurers’ views may differ – so check with your broker
Decision Making
• Need to avoid bias or perception of bias
• Applies to planning and all quasi-judicial and
regulatory decisions e.g. licensing and enforcement
• Use specified statutory criteria, if appropriate
• Avoid impropriety, or appearance of improper
conduct
• Have regard to formal council policy
Decision Making (cont.)
• Ensure decisions are properly taken
• Ensure that parties involved in the process are dealt
with fairly
• Act fairly, and be seen to act fairly
• Don’t prejudge or demonstrate bias or be seen to…
• Only take into account relevant and material
considerations – discount irrelevant or immaterial
considerations
Planning Matters
• Role of the Councillor
– To represent the views and aspirations of your
community through development of the local plan,
discussions with developers and council planning
officers or deciding on planning applications.
– Balancing interests by applying local knowledge and
guidance from planning officers in a fair, impartial
and transparent way
Planning Matters (cont.)
• Development Management
– Lobbying is a normal and proper part of the process,
BUT
– Lobbying can lead to the impartiality and integrity of
a councillor being called into question
– Be careful! – Expressing an opinion (as a member of
a planning committee).This may be taken as
indicating you have already made up your mind.
– You must NOT state your voting intentions before
the committee meeting has taken place
Lobbying
• When you have a role in a quasi-judicial decision, and
are lobbied about it, you must NOT:
– Declare support for or against the matter
– Organise support for or against the matter
– Lobby other Councillors about it
– Comply with political group decisions if they differ
from your own views
• You should direct representations to a Council
Department
Planning Decisions
• Can only be made on valid planning grounds – within
a local and regional policy framework
• Need to strike a balance between competing interests
in an impartial and transparent way
• Where you will be participating in making the
decision, you must NOT
– Organise support for, or opposition
– Lobby other councillors
– Act as an advocate
Planning Decisions (cont.)
• You must NOT act or take planning decisions to gain
financial or other material benefits for yourself, family,
friends or associates
• You must NOT seek to apply undue pressure
towards planning officers to provide a particular
recommendation on any decision
• If you go against the officer recommendation you
MUST have valid planning grounds
Planning Decisions and Policy
• If you vote for a decision contrary to the
development plan you MUST have valid planning
grounds – need to be able to demonstrate these.
• You have a valid role in encouraging communities
to contribute to the development plan-making
process, and in stating your views during this
process, including production of guidance.
Planning – Other Interests
• If you have substantial land, property or other
interests which would prevent you from voting on a
regular basis, you must NOT sit on a decisionmaking committee that deals with planning
applications.
• You must NOT act on behalf of or as
agent for an applicant
Planning – Other Interests (cont.)
• If you work as a lobbyist or developer you MUST
declare this, and must NOT take part in decisionmaking related to that developer
• you make an application for yourself, family or
friends, you must NOT take any further part in the
process for that application
Planning – Unauthorised Development
• If you are made aware of an unauthorised
development and you refer to council for possible
enforcement, you MUST direct all queries to the
officers. You must NOT lobby re the outcome.
• Where you have an interest in the outcome of a
planning committee decision on enforcement action,
you MUST disclose that interest and not take part in,
or seek to influence the decision.
Investigating Complaints:
the Northern Ireland Local
Government Code of Conduct for
Councillors
Northern Ireland Commissioner for
Complaints (the NI Ombudsman)
Overview
 Overview of my role as NI Ombudsman/
Commissioner for Complaints
 Essential Characteristics of a Classical
Ombudsman
 NIPSO Bill
 Context for today’s event
 Key features of the Local Government Bill
as they relate to my investigation role
 Questions for today?
The Role of the Northern Ireland
Commissioner for Complaints
 Commissioner investigates complaints of
maladministration about local government , HSC
bodies, NIHE and Housing Associations
 Investigates complaints and seeks to improve
Public Service
 Makes non-binding recommendations
 Reports to NI Assembly
 Office of last resort – judicial review is remedy for
his decisions
Investigating Maladministration
 Office in operation since 1969
 Wealth of investigative experience
 Investigative procedures refined over the 40+ years of
service
 Maladministration is not defined in the legislation
 Therefore, making fine and balanced judgements and
articulating the reasoning behind those judgements is
the ‘bread and butter’ of Ombudsman work
 Investigative expertise can be applied to any subject
matter e.g. I investigate matters of clinical judgement,
even though neither I nor my Officers are clinicians. I
am, however, assisted by Clinical Advisors but it is my
investigators who pose the initial questions to the
clinicians and who maintain overall responsibility for the
investigation.
Essential Characteristics of an
Ombudsman
 Independence
– Established in a jurisdiction’s constitution or solely in law
– Free from functional control by the legislature or government
leaders
– Legislation designed to ensure Ombudsman focuses resources
on receiving and investigating complaints rather than diverted to
litigation
– The merits of an Ombudsman’s decision cannot be reviewed by
a Court –only the way in which the decision was taken amenable
to judicial review, specifically:
 Was it lawful
 Was it procedurally proper
 Were irrelevant considerations taken into account or relevant
considerations ignored; or
 Was it unreasonable (ie perverse or irrational)?
Essential Characteristics of an
Ombudsman
 Impartiality and Fairness
– The appointed Ombudsman must be widely viewed
as fair and impartial
– Fairness, due process, natural justice and other
characteristics Ombudsmen seek in agencies under
their jurisdiction are followed by Ombudsmen in their
investigations
– The Ombudsman is not an advocate for any individual
or group although he may advocate for
recommendations flowing from his/her investigations
Essential characteristics of an
Ombudsman
 Credibility of the review process
– Jurisdiction is broadly defined; this breadth means that
Ombudsmen can follow the investigation where the
evidence leads
– Few limitations exist about the types of grievances the
Ombudsman can investigate
– Ombudsmen have impressive fact finding powers
including subpoena powers to compel individuals to give
information or produce documents
– Ombudsmen findings and reports are final and not
subject to appeal
NIPSO Bill
 Main features of new legislation
– Merger of two offices into one NI Public Services
Ombudsman
– Removes need for sponsorship
– Wider jurisdiction including schools, and further and
higher education
– Own initiative investigations
– Reports published in the public interest
 Timescale for legislation – royal assent early next
year
Cycle for High Ethical Standards
1.
6. CEOs certify annually
in annual report adequacy
of arrangements for
safeguarding standards
Infrastructure to
support high
Standards
Staff
Code of Practice
Public
Measurable
Embedded into
Organisation
External
Scrutiny
Maintenance
of High
Benchmarking
Standards
Improvements
5. Standards risks
feature regularly on
risk registers
2. Embedded into
Organisational
Processes and
internalised by
individuals
Robust sanctions
3. Regularly review
and monitor
performance in
ethical governance
against best
practice
4. Standards issues
should feature
regularly on Board
agendas
March 2014
39
Context for today
 DOE’s consultation document- my Office
listed as a ‘consultee’
 Involvement for the purposes of ensuring
the draft code was amenable to
investigation
 Sought feedback from my Office on drafts
through a pre consultation exercise
 My Office will be providing a response to
the Consultation by 30 April 2014
Context for Today
 My role in investigating complaints received under
the code
 Minister has given commitment to bring forward a
further bill to provide for a separate adjudication
process
 I will still be responsible for receiving and
investigating complaints
 New Independent body with responsibility for
adjudications
 The bill will specify the manner in which the
adjudication process will be undertaken.
The Code of Conduct
 Mandatory rather than voluntary Code of
Conduct
 Complaints to the Commissioner
 Consistent application of my processes from
commencement date of the CODE
 NO ‘honeymoon period’
Key features of the bill as they relate
to my investigation role
 What can I investigate?
– Any written allegation made to me by any person that a
councillor (or former councillor) has failed, or may have
failed, to comply with the code of conduct
– Other cases which come to my attention as a result of
an investigation that a Councillor or former councillor
has failed, or may have failed, to comply with the code
of conduct
– Instead of, or in addition to, conducting an investigation
under this section, I may take such action as appears to
me to be desirable to deal with any particular case
My Investigation Role
 How will I Investigate?
 Investigation procedures
 Investigation involves skilled professional judgement of
the individual circumstances of a case
 As with all my investigations I am committed to providing
open, fair and proportionate investigation
 Everyone who is the subject of an investigation will be
informed of the allegation(s) and given the opportunity to
comment at an early stage in the process
 Interviews may be necessary
 Write to Councillors at their Council address
 I can cease an investigation at any stage before its
completion
Assessment of cases
 I won’t accept every complaint for investigation
 Admissibility criteria
– Named councillor?
– Complaints concerns conduct that falls within the scope of the code
– Complaint made within 6 months of the date on which the alleged conduct
occurred
– Has the complaint been considered previously or is it currently the subject
of consideration or investigation?
– Consideration of what supporting evidence available
 Therefore, highly unlikely that the subject of an unfounded complaint
will make it past the assessment process
 Our focus will be the substance of the complaint and the supporting
evidence rather than any underlying motivation of the complainant
 I will also consider matters such as the public interest and
proportionality in determining whether a complaint should be
investigated. Frivolous complaints should therefore fail to make it
through the assessment process.
Key features of the Bill as they relate
to my investigation role
The purpose of an investigation is to determine
which of the findings is appropriate:
(a) There is no evidence of any failure to comply
with the code of conduct
(b) No action needs to be taken in respect of the
matter which are the subject of the investigation
(c) [The Commissioner] should make an
adjudication on the matters which are the subject
of the investigation
Key features of the Bill as they relate
to my investigation role
 Where I conduct a investigation this will not
affect:
– any action taken by the council concerned; or
– Any power or duty of the council concerned to
take further action with respect to any matters
which are the subject of the investigation
My legislative powers
 Every investigation conducted shall be in private
 Ability to certify offences of obstruction and contempt to
the High Court
 Lay an annual report before the Assembly in relation to
my functions carried out in respect of investigating LGES
 Absolute privilege from the law of defamation in respect
of publications under the legislation
 I can disclose information to the Information
Commissioner in certain circumstances
 Neither myself or my Officers can be called to give
evidence in any proceedings unless:
– related to the official secrets act
– Proceedings for an offence of perjury alleged to have been
committed in the course of an investigation under the legislation
Publishing my findings
 Where I find that there is no evidence of any
failure to comply with the code of conduct or that
no action needs to be taken in respect of the
matters which are the subject of the investigation, I
MAY
 Produce a report on the outcome of the
investigation
 Provide a summary on any such report to any
newspapers circulating in the district of the council
concerned- complainant to be named
 Take other steps to publicise the summary
Publishing my findings
 Where I decide to produce a report as described in
the previous slide I must send a copy of the report
to the clerk of the council concerned and to the
councillor
 Where I do not produce a report I must inform the
clerk of the council concerned and the councillor of
the outcome of the investigation.
 I must take reasonable steps to inform the
‘complainant’ of the outcome of the investigation.
Timescales for handling complaints
 To be agreed for Northern Ireland
 Wales:
Decision on whether or not to investigate:
 In 95% of cases, this decision was made within 4
weeks of the receipt of complaint
Outcome of investigation:
 56% of investigations were concluded within 9
months of the date of the decision to investigate.
 97% of investigations were concluded within 12
months of the date of the decision to investigate.
Timescale for handling complaints
 Scotland
Decision on whether or not to investigate:
In all cases, this decision was made within 2
months of the receipt of complaint
Outcome of investigation:
95% of investigations were concluded within 9
months of the date of the decision to
investigate.
Timescales for handling complaints
 When our timescales for handling
complaints are agreed we will produce a
‘service standards leaflet’ and a ‘guide to the
investigation process’ which will be provided
to the complainant and the councillor
 Also available on our website
Ensuring efficient complaints
handling and investigation
 Experience has shown that the speed of any
investigation is significantly aided by:
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Co-operation of the individuals involved
Meeting timescales for response
Providing accurate information
Identifying in advance of having to be asked the need
for explanation where the information provided is
obviously ambiguous or incomplete, and providing
such explanation
– Availability of Councillors and Witnesses
– Non defensive attitudes
– Ongoing insight and reflection about their actions and
behaviours on the part of those central to the
complaint
The Guidance
 Aid you in your personal understanding of the
scope and expectations of the code
 DOE to produce Planning Guidance
 Develop as far as possible a common
understanding of what is involved in meeting
the code
 Through the provision of examples from other
jurisdictions help you reflect on your behaviour
in a given circumstance
 However, remember it is your individual
responsibility to internalise the code
 Timescale for guidance?
Questions for today
 A lot of questions can only be answered through
time and the experience/learning gleaned from
casework
 Amendment regarding alternative action only
added on 18 March therefore still working out
what that means for my complaint
handling/investigation processes
 Want to hear NILGA Members views:
– What if any mechanisms within councils could be
utilised for dealing with minor complaints?
– What alternative action to conducting an investigation
do councillors envisage as being useful?
– What about circumstances where alternative action
fails to ‘resolve’ the matter?
– What do you think the guidance should cover?
Core Challenge for local government
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Stronger with a greater range of functions
Successfully delivering new functions role
Providing civic leadership
Sustaining services whilst implementing
major change
 Managing staff and developing leadership
and capacity will be central
And Finally…Organisational and
Individual responsibility for ethical
standards
‘Many of the requirements for high standards
require action at an organisational level. But
high standards also require individuals to
take personal responsibility by observing
high standards themselves, by
demonstrating high standards to others
through their own behaviour and by
challenging inadequate standards when
they see them.’ (Committee on Standards in
Public Life)