Complaints Procedure
The rules set out some explicit requirements for The People’s Independent Party (PIP)councillors.
The rules set out some minimum requirements in respect of procedures if the failure to abide by the rules by an individual councillor leads the committee to believe that a recommendation to withdraw party membership is appropriate. Details on how to conduct investigations and other disciplinary and related procedures are covered in this guidance note.
The committee of PIP has a responsibility to the party for investigating allegations of breaches of the party’s rules, and for taking the appropriate action. In the event of the allegation being in respect of a member of the committee’s conduct, the member in question should stand down whilst the investigation is in place.
The highest standards of behaviour and conduct are expected from elected representatives of the party at all times.
Within the rules, the committee has a specific responsibility in relation to members as councillors, not as party members in general. However, there are occasions when a councillor’s conduct in her/his private life seriously undermines her/his public credibility and standing such that a failure to act, by the party, would bring the party itself in to disrepute. In such circumstances it is competent for the committee to initiate disciplinary action against members for alleged breaches of the rules. Group discipline is a matter for the committee and has a responsibility for ensuring that PIP councillors abide by the rules of the party and for taking the appropriate action in relation to any allegation or information about a breach of the rules.
The committee should at all times expect the active support of the councillors in undertaking this responsibility. It is the committee’s job, to determine the appropriate action. One of the most important tasks of the committee is to set out from the very start clear expectations of behaviour and conduct for the PIP councillors individually. Prevention is better than cure. The committee must also ensure that all disciplinary issues are approached in an even handed manner, with no favour granted on the basis of personal friendship or political perspective.
In situations where a PIP councillor is informed s/he has been reported to the relevant standards body then s/he should inform the committee immediately. The procedure for dealing with such cases is provided by the relevant standards body and the councillor should seek guidance from the committee in the first instance. This raises questions of how PIP should react both while an investigation is underway and if disciplinary action has been taken against a PIP councillor, either by the relevant standards body or the local standards committee. If a councillor is under investigation for a minor breach of the Code of Conduct or another minor complaint, then no action should be taken by the committee until the relevant standards body or committee has decided what action to take. However, if the complaint relates to either financial impropriety, allegations relating to the misuse of council resources such as the downloading of pornography from the internet, or charges relating to criminal activity being pursued by the police, then the committee should consider an administrative suspension. In such serious cases, once the local standards committee, police or any other authority has reported on their decisions and the councillor concerned is found guilty, s/he will remain under (or be placed under) an administrative suspension until the party’s internal disciplinary procedures are concluded. If the councillor concerned is successful at the appeal stage then the councillor’s suspension will be lifted and s/he will be readmitted.
Similarly, with the emphasis placed upon quality public services and continuous improvement, the committee will need to be aware of the potential for disciplinary action in the event of serious failures in political management or councillor competencies.
Abuse of office or position to cover mismanagement or incompetence will not be tolerated and will be considered a serious breach of rule and subject to direct intervention by the committee
Investigation procedure
Whilst the committee should seek to play a preventative role by using firm group management techniques and effective member development to encourage sociable behaviour within the group, to enable political development and to promote high standards of public life, there will be times when the committee will need to undertake disciplinary action. The committee, alert to the functioning of the group and the performance of individual councillors, can act quickly and informally to prevent breaches of the rules and the need for formal action. However, when the committee receives information or an allegation suggesting a breach of the rules, it is in no-one’s interest for investigations and, where appropriate, disciplinary action to be delayed. The committee should always act promptly to investigate the matter; always having first given careful thought as to the sensitive and appropriate way to proceed.
In normal circumstances:
· The committee should seek to establish, as accurately as possible, the nature and extent of the allegations of breaches of the rules and to identify and secure any evidence supporting the allegations
· The committee should request the individual to meet her/him at a mutually convenient time within the next (say) seven days. If the individual prevaricates, it is important to establish that the individual understands clearly that the committee is following the obligations placed upon them in accordance with the party’s rules; that the individual is expected to comply with the proper procedures; and that, if there is a failure to cooperate, the procedures will be followed regardless
The request to arrange a mutually convenient time should preferably be done by personal contact (meeting, phone), followed by a confirmatory letter. If there is a failure to establish personal contact, then a written invitation should be sent as soon as possible by special delivery to the member(s) home address(es)
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It is a requirement that the individual be given an indication of the nature (but not the details) of the complaint or incident about which the committee wishes to see the individual
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The committee should take notes of the interview. A verbatim note is obviously the most useful, but is not a requirement. It is, however, essential to make an accurate note of the key questions and answers
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The individual should be advised that s/he is entitled to have a friend present. It is not advisable for that friend to have been a “witness” to the relevant events, or someone who is subject to disciplinary proceedings arising from the same issues.
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In advance of the meeting, the committee should identify the questions that need to be answered and the information that needs to be established, and determine whether s/he needs to see any other individual or secure any written documentation
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The task of the meeting is to establish:
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the facts
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whether there has been a breach of the party’s rules
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whether there are any mitigating circumstances.
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The notes of the meeting should be written up and, if necessary, the individual asked to sign them as an accurate summary of the interview.
After the interview, the committee should analyse the information and write a brief report which again sets out the facts, identifies the breach(es) to the party’s rules and notes any mitigating circumstances, and then, where appropriate, come to a view about the nature of the disciplinary action to be followed (see below).
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In certain circumstances, it may be appropriate to make another PIP member (eg the party leader) aware of the findings, and seek her/his views on the course of disciplinary action to be taken. But the responsibility for determining the nature of the disciplinary action rests with the committee.
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In coming to her/his judgement about the appropriate action to be taken, the committee should take into account the previous disciplinary record of the individual.
It would normally be appropriate to arrange to see the individual again to advise her/him of the disciplinary action proposed; the timing of this may be dependent upon the nature of the action to be taken.
It is important that all the relevant documentation, copies of correspondence, the notes of interviews and the committee’s summary report and analysis are kept together and filed in a secure place.
Disciplinary procedure If some form of disciplinary action is considered to be appropriate or necessary then the following procedures should be adopted.
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Warning
If a warning as to the behaviour and future conduct of the councillor concerned is appropriate, this may be issued by the committee. The warning could be a verbal warning (“You’ve broken the rules; don’t do it again”), or it could be a written warning. Either could be linked to a requirement to provide written assurances to abide by the rules in future, for example, or to apologise to the party for the breach of rule, or if appropriate, apologise to the council or another body. The decision as to whether such warnings are reported to the PIP membership or not is a matter for discretion. If not automatically reported, the committee should respond accurately to questions from members about the action taken following a particular event or complaint. A record of the warning should be kept and may be used as evidence in future disciplinary proceedings should the improper behaviour recur, or taken into account in assessing the appropriate action to be taken in future disciplinary proceedings in relation to other matters. Information should be made available when information is sought in the committee’s report prior to the next set of selections involving the sitting councillor, should s/he seek to stand again.
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2. Removal from positions within the province of the group
Where it is felt that some action should be taken by committee which would remove a councillor from positions s/he holds which are in the determination of PIP, or the council via PIP, by virtue of the 1989 Local Government and Housing Act (eg membership of committees, chairs and vice-chairs of committees) and the 2000 Local Government Act (e.g. executive and scrutiny posts) this must be dealt with by the full PIP councillor’s group. The committee should report to a full meeting of the group and make the proposed action a notified agenda item. No vote should be taken until the councillor/s concerned have had the opportunity to make a case to the meeting in response to any charges. A straight vote should be taken on the committee's proposal and any amendments moved. All members of the group are entitled to vote and any decision takes immediate effect, subject to any procedures required by the council. There is no appeal against such decisions which are in the province of the group (they are, in effect, questions of no confidence in the office holder). No decision, however, may be taken which would prevent a councillor seeking re-election to such posts when they come up for election in the normal manner. Only the council can give effect to the instructions of the group to change the composition of committees. The group decision has to be enacted through the council before it legally takes effect. Therefore, when the group has made a decision to remove a member from a/all committee(s), the group will also have to decide on the replacement member(s), and the committee will need to table an appropriate resolution at the next council meeting to give effect to the group decision if so required by the council constitution or inform the appropriate council officer
3. Removal from positions within the province of the council
If the committee believes that the appropriate disciplinary action would include removing the individual from outside bodies to which s/he has been appointed by the council, then the committee should seek legal advice from the council’s solicitor before seeking to implement any such recommendation, as this can only be done by the council itself and it may be legally required to undertake its own investigation of the matters which have been the subject of complaint first.
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4. Withdrawal of PIP membership
Where it is felt that some action should be taken which might lead to withdrawal of the membership for a fixed period or indefinitely, the committee needs to ensure that the following procedures are carried out. At the earliest opportunity, the committee should convene a full meeting of the councillors and advise them:
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briefly, of the nature of the disciplinary investigation that has taken place; this report should be confined to an outline of the complaint/incident which led to the investigation, and a report that the committee has established a prima facie case of a breach of the rules
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that s/he has concluded that the appropriate disciplinary action requires the withdrawal of the membership
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that these matters are not discussed in any group or party meeting pending the outcome of the hearing. This is to ensure natural justice and prevent the proceedings being prejudiced.
The meeting should be convened with seven days (except in exceptional circumstances), and written notice must be sent to all who are entitled to attend with information about the business to be conducted clearly indicated. In regard to the individual(s) who the committee has deemed to have breached the rules then their notice(s) should be posted by special delivery to their home address(es). This is a special meeting called to make a determination on questions for which due notice has been given. No quorum is required, there need be no fixed time constraints and only those who have been present throughout the discussion on an item may vote on the matter. The group chair should preside and has a responsibility to ensure that the issues are heard and dealt with properly and that the meeting is seen to be conducted in a fair and impartial manner.
The procedure to be followed is as follows:
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the committee presents their report and recommendations which should include a proposal to withdraw the membership, either for a specified time or an unlimited time
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if there is more than one councillor recommended for disciplinary action, the cases must be dealt with separately from this point on
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the councillor concerned should be asked if s/he wishes to comment on the committee’s report at this stage (s/he will have a further opportunity later)
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meeting members should be asked if they wish to put specific questions to the committee and s/he should be allowed to respond
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the councillor who is subject to the disciplinary recommendation should then be asked to speak, either by way of rebutting the particular findings of the chief whip or in mitigation
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meeting members should be asked if they wish to put specific questions to the councillor and s/he should be allowed to respond
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meeting members should be permitted to comment on the committee’s recommendations and to move amendments if they are seconded
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before the chair moves to a vote, first the committee and then the councillor concerned should be allowed to briefly restate their case and address any amendments (by way of mitigation if appropriate)
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all members of the group and executive present throughout the discussion (including the councillor concerned) may take part in the vote which should be by secret ballot.
Once the vote is taken any disciplinary action agreed is effective from the end of the meeting. A decision to withdraw the membership (with or without a time limit) is subject to appeal (see below) but remains in force pending that appeal being heard. A decision to impose lesser disciplinary action such as a reprimand or removal from positions within the province of the group is not subject to appeal.
Any member who has had the membership removed, whether for a fixed period or indefinitely, must be informed of their right to appeal to the Party leader. Such appeal must be made in writing within 14 days of the decision. The Party leader will hear the appeal within 14 days of receiving it
Where the membership has been withdrawn without a time limit being set, the councillor concerned shall be eligible to apply to the PIP committee for re-admission after a period of six months. The PIP committee will consider the application for re-admission as it sees fit and may interview the councillor concerned if they wish. The committee alone will be responsible for taking a decision on a vote on the restoration of the membership