This page is currently being updated. If you have any further queries please contact webmaster@havant.gov.uk
PART 5
SECOND ANNEX TO CODE OF CONDUCT
A Guide to Conducting A Local Investigation
(NB The primary responsibility for undertaking an
investigation under this annex lies with the Council's Monitoring
Officer (MO). As situations may arise where the conduct of an
investigation by the MO may result in a possible conflict of
interests for the MO, this guidance note must be read in
conjunction with paragraph 4 of the Annex to the Code of Conduct
("the role of the Monitoring Officer - Various Matters))
A. PLANNING
(1) Introduction
1.1 Effective planning is a key component of any
successful investigation: it will help to
define the parameters of the investigation and keep the focus on
what is relevant. There should be a standard investigation plan at
the start of every investigation, capturing the key issues and
structuring the actions of the MO.
1.2 It is impossible to ever predict with certainty what
direction an investigation will take.
During the course of the investigation, the MO may uncover issues
that require further
research and consideration, and could result in significant
revisions to the plan. Even so,
the plan will help to reduce the disruption of unforeseen
circumstances and keep
the investigation focused.
1.3 Appendix A to this guide sets out a sample
plan.
(2) The Allegation
1.4 A good investigation plan starts with a precise
definition of the allegation. Knowing exactly what the MO is trying
to establish will help focus. Ambiguity about the exact nature of
the allegation may cause difficulties later on in the
investigation.
1.5 If clarification is needed on any facts of the
allegation the MO can approach the complainant. The MO is required
to tell the complainant that they have received the matter for
local investigation, so this might be a good time to check any
details.
(3) Relevant parts of the Code
1.6 It is useful to list the parts of the Code of
Conduct that may have been broken, to help the MO focus the
investigation in the right areas. One of the greatest dangers is
becoming distracted by issues that only serve to muddy the waters
and increase the amount of time and effort spent on an
investigation.
(4) Information
1.7 The complaint can come with a great deal of
documentary information which the MO has to sift through, recording
the relevant parts in the plan.
1.8 From this, the MO can work out what further information or
evidence is needed to determine whether the alleged conduct
occurred. Being as focused and precise as possible, being clear
about what needs to be known at this stage, will help avoid delays
and distractions later on. It is helpful to produce a checklist of
the elements that need to be proved.
(5) Action Plan
1.9 The MO will set out how they intend to obtain the
information they need. The plan will include the witnesses to be
interviewed, the order in which the interviews will be conducted,
the questions to be asked and the areas needed to be covered. It
should also include any documents, the MO needs to obtain and any
site visits the MO thinks would be useful.
1.10 All relevant documents will be secured before the
interviews begin as they may have an impact on the questions to be
asked. Consideration will be given to what documents if any, may be
given to the interviewee before the interview.
(6) Resources and Targets
1.11 The MO will have a reasonable idea about the resources
needed to complete the investigation, such as time and expenses.
They will be recorded on the plan. It will include target dates for
completion of the various stages of the investigation and an
overall target date for completion of the final report.
B. ESTABLISHING FACTS
(1) Gathering Documents and Background Information
1.1 The MO will obtain the background information and
other documentary evidence they
have identified as relevant to the investigation. They will get
written statements from witnesses, (although these will usually
only be successful where the information sought is very
straightforward). They will not be wholly relied on where the MO
needs to probe the answers given for further information, test an
individual's responses, or where there is some doubt about the
credibility of an individual's account of events.
1.2 Requests for information will:
- be made in writing
- explain the reasons for the request
- be precise about the information needed
- set a deadline for responding
1.3 At this stage the MO will ask people to let them know
if they are likely to be late
responding. Those asked for information will be requested to
explain any delays and agree a new deadline. A copy of the letter
requesting information and giving a deadline (or deadlines) will be
copied to the Managing Director, in case the MO needs their help
persuading people to co-operate.
1.4 The MO will contact anyone who missed the deadline
straight away to ask them
when the information will be provided. Vague promises will not be
accepted; the MO will insist on a precise date. The MO may offer to
have it collected and agree a date and time for this.
1.5 The Council and other local authorities have a
statutory duty to provide information required by the MO and
ethical standards officers (ESOs) are unlikely to refer cases to
the MO for local investigation if they believe the MO will need
information from other sources.
1.6 In some cases the MO may need information from other
sources, and obtaining that information is dealt with in the same
way as any other. If the people approached refuse to
co-operate and obstruct the investigation, the MO may be able to
refer the case back to The Standards Board for England.
(2) Conducting Interviews
1.7 The MO will have identified the people they need to
interview and the areas they need to cover for the investigations
plan, and settled the order in which they are approached. As a
rule, the order of interviews will be such that each witness is
interviewed only once, although repeat interviews are sometimes
unavoidable.
1.8 The member who is the subject of the investigation may
be interviewed first as this may save a lot of time if, for
example, they admit to the alleged breach of the Code of Conduct.
That way, it may also help establish which facts, if any, are
disputed. However, things learnt during other interviews that need
to be discussed with the subject member, may require a second
interview. If this is likely, the MO may wish to leave the subject
member's interview until last. Alternatively, to help manage the
subject member's expectations, the MO could explain at the start of
the first interview that there may be a need for further
interviews.
(3) Types of Interview
1.9 Interviews may be conducted in person or on the
telephone. Each method has its advantages and disadvantages, and is
best suited to certain circumstances.
1.10 Face-to-face interviews are the
only way to observe a person's whole range of reactions to
questions. They may be the best option when they involve little or
no travel for the MO and the interviewee. They can be particularly
useful if:
- the subject matter is sensitive
- the interviewee is the member being investigated
- the facts are clearly disputed and can only be resolved by
witness evidence
- the MO needs to assess the credibility of the witness
- the interviewee is a vulnerable person
- the case involves a lot of documentary evidence that the MO
needs to discuss with the interviewee
1.11 Telephone interviews may be a
speedy and effective way of obtaining information from witnesses
where there are no communication problems, such as hearing
difficulties, and in certain circumstances may be ideal - for
example, where the complaint is straightforward or the MO only
needs to check simple facts. Clearly, if the MO's resources are
stretched and the interviewee is a considerable distance away, a
face-to-face interview may not be practicable.
1.12 The MO also needs to consider whether to conduct
the interview in person or over the telephone. With face-to-face
interviews, the MO will agree a time, date and venue for the
interview in advance, and confirm these details in writing. The MO
will use this letter to remind members being investigated that they
may wish to have legal representation, and advise interviewees if
the interview is to be recorded. Some interviewees may prefer to be
accompanied by a friend or colleague. This should not present a
problem as long as the companion is not connected with the
investigation in any way - for example, someone the member is
accused of trying to secure an advantage for. For telephone
interviews, people may be happy to talk when the MO first calls,
but the MO is aware that it might not be convenient or they might
need time to prepare. It might also be seen as unfair to spring an
interview on someone without warning. The MO will ordinarily always
check with the interviewee first, and where appropriate agree a
convenient time to call them back. The MO will keep the appointment
as punctually as a face-to-face interview. The details of the
interview will be confirmed in writing and will explain if it will
be recorded.
(4) Recording Interviews
1.13 If the MO intends to tape record an interview, they
will ask permission of the person being interviewed in advance of
the interview, and never start to record and then ask permission.
Once the MO begins recording, they will get the interviewee to
confirm for the record that they have given their permission to be
recorded. In face-to-face interviews, the MO can ask a colleague to
take notes if the MO is unable to record it. This enables the MO to
maintain eye contact with the interviewee and concentrate on their
responses to questions.
1.14 At the end of an interview, the interviewee will be
offered a copy of any tapes made and told that they will be given
the chance to approve or dispute the transcript or notes of the
interview. The tape will be provided straight away unless there is
a specific reason not to - for example, if the MO is concerned
the tape may be passed to other interviewees or the press. All
statements will be confirmed promptly with the person who gave it,
while the interview is still fresh in their mind.
(5) Condientiality
1.15 The statutory guidance asks MOs to treat the
information gathered during an investigation as confidential, to
ask interviewees to maintain confidentiality, and remind members of
their obligations around confidentiality under the Code of Conduct.
This will be done both before and after the interview. However, it
will also be made clear to the person being investigated that they
are allowed to discuss the case with a friend, adviser or
solicitor.
(6) The Interview Process
1.16 The MO will explain the interview process to the
interviewee. The process of being interviewed can be a stressful
experience for some people. A clear explanation of the process can
help to allay the concerns and avoid misunderstandings that could
potentially compromise the value of their evidence.
1.17 The MO will consider what documents, if any, should
be made available to the interviewee in advance of the
interview.
1.18 Before interviews commence, the MO will tell the
person being interviewed how long the interview is likely to take,
and, during the interview, offer regular breaks.
1.19 The MO will ensure that the interview is adequately
recorded, either by taping with the interviewee's prior consent or
by taking adequate notes.
1.20 The MO may have an interview plan with either
specific questions or general topics to be explored.
1.21 The MO will be aware of the benefits of both open
and closed questions in interviews.
C. EVALUATING
1.1 The MO will review all the evidence gathered to
determine if there are any gaps in it. They will take a view on all
disputed relevant matters. Whilst absolute certainty is desirable,
it is not necessary. It is sufficient to form opinion based on the
balance of probabilities. If the MO cannot do this, they may need
to seek further information.
1.2 The MO will weigh up all the evidence and decide if
the alleged conduct occurred. They do not need absolute certainty -
it is acceptable to come to a conclusion based on the balance of
probabilities. If the MO decides that the subject member acted as
alleged, the MO will consider whether his or her conduct involved a
failure to comply with the Code of Conduct.
1.3 In cases where the MO has difficulty deciding
whether the Code of Conduct was breached, it is permissible for the
MO to refer to The Standard Board for England's Case
Reviews, case summary archive, FAQs on the Board's website,
and The Adjudication Panel for England's website.
D. REPORTING
(1) Introduction
1.1 When the MO has concluded their investigation, they
will write up their findings in a report to the Standards
Committee.
1.2 The MO has the option of producing a draft version
of their report first, giving key parties opportunity to review and
comment on the findings and enabling the MO to check facts and
ensure all aspects of the case have been explored sufficiently. A
draft report may be particularly suitable if the facts are complex,
ambiguous or disputed, or if the parties expect one. But it is not
always necessary, and going straight to a final report will save
considerable time.
1.3 Draft reports will be sent for comment to the
complainant and the member who is the subject of the allegation.
Ordinarily the MO does not need to send the draft to other
witnesses or parties interviewed but they will have confirmed their
statements first. However, there will be occasions when the MO will
need to disclose extracts of a draft report to any potential
witnesses, especially if the report is critical of their
actions.
1.4 Members may respond in whatever manner is most
convenient for them. Responses to the draft may reveal the need for
further investigation, or they may add nothing of relevance. There
may be occasions when responses reveal a need for further
investigation and result in such significant changes to the report
that the MO may consider whether to issue a second draft.
1.5 Once the MO has considered whether the responses add
anything of substance to the investigation, they will make their
final conclusions and recommendations.
(2) Confidential Information
1.6 Before issuing draft or final reports the MO will
consider whether the report contains any confidential information
that should not go into the public domain, such as financial or
medical details. All information of this kind will be deleted from
any copies of the report before they are made public.
(3) Report Checklist
The MO's report will include:
- a 'confidential' marking (draft reports only)
- the date
- the legislation under which the investigation is being carried
out
- a summary of the allegation
- the relevant sections of the Code of Conduct
- evidence
- the MO's findings of fact
- the MO's reasoning
- background documents and interview records (final reports
only)
1.8 In addition, the MO will attach the evidence, such as
background documents and interview records, to the final
report.
1.9 Draft reports will state that the
report does not necessarily represent the MO's final finding, and
explain that they will present a final report to the Standards
Committee once they have considered any comments received on the
draft report.
1.10 Final reports will state that the
report represents the MO's final finding and will be presented to
the Standards Committee.
| Sample Title |
Reference |
| Date Received |
Target Completion Date |
| Subject Member |
| Date Notified of investigation |
| Complaint |
| Standards Board contact |
|
Allegation
Define the allegation and list the key issues
State if clarification was required from the complainant
Relevant parts of the Code of Conduct
List the sections of the Code involved and identify the elements
to be proved.
Information
Include
- all relevant information on file
- any additional information required
Action Plan
List where and how you could obtain outstanding information
(documents, interviews etc)
Resources and targets
List the resources you will need to complete your investigation
and set out a schedule of key targets, such as:
- planned dates for securing documents
- planned dates for completing interviews
- planned date for issuing draft and final reports
- planned date for presentation to the Standards Committee
|
Back to Index