The Local Authorities (Code of Conduct) (Local Determination) (Amendment) Regulations 2004

4

Where a meeting of a standards committee or a sub-committee of a standards committee is convened to consider a matter referred under the provisions of section 60(2) or (3), 64(2), 70(4) or (5) or 71(2) of the Act the provisions of Schedule 12A of the 1972 Act shall apply with the addition of the following descriptions of exempt information after paragraph 15 of Part 1 of that Schedule—

16

Information relating to the personal circumstances of any person.

17

Information which is subject to any obligation of confidentiality.

18

Information which relates in any way to matters concerning national security.

19

The deliberations of a standards committee or of a sub-committee of a standards committee established under the provisions of Part III of the Local Government Act 2000 in reaching any finding on a matter referred under the provisions of section 60(2) or (3), 64(2), 70(4) or (5) or 71(2) of the Local Government Act 2000.

3

Any reference in these Regulations to a monitoring officer shall include any person nominated by a monitoring officer as his deputy for the purposes of section 5(7) of the Local Government and Housing Act 19894 and any person nominated under the provisions of section 82A(2) or (3) of the Act to perform any function.5.

2

Section 63(1) of the Act shall be modified by the insertion, after paragraph (a), of the following paragraph—

aa

the disclosure is made for any one or more of the following purposes—

i

enabling a monitoring officer, including any person nominated by a monitoring officer as his deputy for the purposes of section 5(7) of the Local Government and Housing Act 1989 and any person nominated under the provisions of section 82A(2) or (3), to perform any of his functions under this Part, or under Regulations made under this Part, in connection with—

a

the investigation and consideration of an allegation of a breach of an authority’s code of conduct, or

b

any other steps he may be directed to take by an ethical standards officer in connection with an allegation of a breach of an authority’s code of conduct;

ii

enabling a standards committee or sub-committee of a standards committee established under this Part to perform any of its functions under this Part, or under Regulations made under this Part, in connection with the investigation and consideration of an allegation of a breach of an authority’s code of conduct; or

iii

enabling a tribunal drawn from members of the Adjudication Panel to consider any appeal from a finding of a standards committee or sub-committee of a standards committee established under this Part in connection with an allegation of a breach of an authority’s code of conduct.

Matters referred to a monitoring officer by an ethical standards officer5

1

Where a matter is referred to a monitoring officer of an authority under section 64(2) or 71(2) of the Act he shall—

a

send a copy of any report received from the ethical standards officer who has referred the matter to any member who is the subject of such a report; and

b

arrange for the standards committee of that authority to meet to consider that report.

2

Paragraphs (3) to (12) apply where a matter is referred to a monitoring officer of an authority under section 60(2) or (3) or 70(4) or (5) of the Act.

3

The monitoring officer shall, unless otherwise directed by the ethical standards officer—

a

inform

i

any member who is the subject of the allegation of failure to comply with the code of conduct;

ii

the person who made the allegation; and

iii

any parish council concerned

that the matter has been referred to him for investigation;

b

subject to paragraph (6), conduct an investigation into the matter referred to him;

c

give any member who is the subject of the investigation the opportunity to comment on the allegation made; and

d

have regard during the conduct of his investigation to any guidance issued by the Standards Board pursuant to section 57(5) of the Act6 or pursuant to any order made under section 57(3) of the Act7.

4

The monitoring officer may, in conducting any investigation—

a

require any of the authorities concerned to provide such advice and assistance as he may reasonably need to assist him in the investigation;

b

require any of the authorities concerned, other than a parish council, to meet the cost of any advice and assistance provided in accordance with sub-paragraph (a) so far as such cost is reasonable;

c

if any of the authorities concerned is a parish council, require the responsible authority8 to meet any costs incurred by that parish council in accordance with sub-paragraph (a) so far as such cost is reasonable; and

d

require any of the authorities concerned to afford him reasonable access to such documents in the possession of that authority as appear to him to be necessary for the purpose of conducting his investigation.

5

Where a monitoring officer conducts an investigation in accordance with paragraph (3)(b) he may, at any stage prior to the completion of his investigation, by a request in writing to the ethical standards officer concerned ask that the matter be referred back to that ethical standards officer for him to undertake an investigation; and any such request must set out the reasons for making it.

6

Where a matter is referred to an ethical standards officer under paragraph (5) the ethical standards officer must respond to the request within 21 days of its receipt and may—

a

direct that the matter be referred to him for investigation, in which case the monitoring officer concerned shall cease his investigation; or

b

direct that the monitoring officer concerned continue his investigation in accordance with these Regulations, in which case the monitoring officer concerned shall continue his investigation and may not make any further request under paragraph (5) in respect of that matter.

7

Where a monitoring officer of an authority conducts an investigation he shall, following such investigation —

a

make one of the following findings—

i

that he considers that there has been a failure to comply with the code of conduct of the authority concerned or, as the case may be, of any other authority concerned (“a finding of failure”); or

ii

that he considers that there has not been a failure to comply with the code of conduct of the authority concerned or, as the case may be, of any other authority concerned (a “finding of no failure”);

b

prepare a written report concerning his investigation and his findings;

c

send a copy of that report to the member who was the subject of the investigation;

d

where the report concerns a finding of failure, refer that report to the standards committee of his authority for a hearing under the provisions of these Regulations;

e

where the report concerns a finding of no failure, refer that report to the standards committee of his authority.

8

A standards committee which receives a report under paragraph (7)(e) shall consider the report and make one of the following findings—

a

that it accepts the monitoring officer’s finding of no failure (“a finding of acceptance”), or

b

that the matter should be considered at a hearing of the standards committee conducted under the provisions of these Regulations.

9

As soon as reasonably practicable after making a finding of acceptance, the standards committee shall—

a

give written notice of that finding to—

i

the member who is the subject of the finding of no failure;

ii

the ethical standards officer concerned;

iii

the standards committee of the authority concerned, if not the standards committee that made the finding;

iv

the standards committee of any other authority concerned, if not the standards committee that made the finding;

v

any parish council concerned; and

vi

any person who made an allegation that gave rise to the investigation; and

b

subject to paragraph (10), arrange for a notice to be published in at least one newspaper circulating in the area of the authority concerned or, as the case may be, in the area of each of the authorities concerned stating that the standards committee have found that there has not been a failure on the part of the member to whom the finding of no failure relates to comply with the code of conduct of the authority concerned or, as the case may be, with the code of conduct of any other authority concerned.

10

The notice referred to in paragraph 9(b) shall not be published if the member concerned so requests.

11

Where a monitoring officer has been directed by an ethical standards officer to deal with any matter referred to him otherwise than by conducting an investigation, the monitoring officer shall—

a

deal with the matter in accordance with the direction, and

b

within the period of three months beginning on the day on which he received the direction, submit to the ethical standards officer a written report giving details of what action he has taken or is proposing to take to comply with the direction.

12

If the ethical standards officer is not satisfied with the action taken or proposed to be taken he may require the monitoring officer to arrange for a statement to be published in at least one newspaper circulating in the area of the authority concerned or, as the case may be, in the area of each of the authorities concerned giving details of the direction given by the ethical standards officer and the monitoring officer’s reasons for not fully implementing it.