If the monitoring officer decides that a complaint merits formal investigation, they will appoint an investigating officer or officers, who may be another senior officer of the Authority, an officer of another authority or an external investigator.
However, investigators external to the Authority will only be used in a very limited number of circumstances. Occasions such as these will be when an investigation requires someone who is completely independent of either Devon County Council or any local authority.
The monitoring officer will need to make a judgement balancing the resources of the Council and the scale and nature of the complaint.
The investigating officer will decide whether they need to meet or speak to the complainant to understand the nature of the complaint and so the complainant can explain their understanding of events and suggest what documents the investigating officer needs to see, and who the investigating officer needs to interview.
The investigation will be completed in accordance with the protocol for dealing with investigations into standards allegations under the Localism Act 2011.
The investigating officer would normally write to the subject member against whom the complaint has been made and provide them with details of the complaint, within five working days of being appointed.
The subject member has the opportunity to provide an explanation of events, identify any documents they believe the investigating officer needs to see and who should be interviewed. This should be done within 10 working days of receiving the details of the complaint from the investigating officer.
In exceptional cases, where it is appropriate to keep the complainant’s identity confidential or disclosure of details of the complaint to the subject member might prejudice the investigation, the monitoring officer can delete the complainant’s name and address from the papers given to the subject member.
The investigating officer may ask the subject member to attend an interview about the complaint. The subject member may be accompanied if they chose to bring someone to support them.
The interview may be audio recorded or recorded on Teams if the meeting takes place remotely. Agreement on recording such meetings, by either party, will be sought in advance.
The disclosure of any evidence to anyone involved in the investigation at any stage is a matter for the investigating officer. However, the investigating officer must have regard to the rules of natural justice and ensuring fairness to all parties concerned.
Any concern about the disclosure of evidence, particularly to the subject member, must be discussed with the monitoring officer, and the subject member informed.
If at any point during the investigation, the investigating officer forms the opinion that the investigation should cease, they will consult with the monitoring officer, who may consult the independent person and take a decision to stop the investigation at any stage.
The investigating officer will endeavour to complete their investigation within eight weeks (40 working days). However, they may, if they consider it to be in the interests of natural justice and fairness, extend the timetable based upon factors such as:
- medical reasons relating to the subject member – the investigating officer may wish to see evidence which specifically addresses why the subject member cannot engage in the investigation (the investigating officer will also maintain the confidentiality of personal health matters)
- to allow the subject member to seek legal advice and representation
- in consideration of any personal or family circumstances of the subject member that impacts on their availability or ability to engage at the initial stage
- in other exceptional circumstances determined on a case-by-case basis, for example, the availability of a key or material witness
Any extension will be determined by the investigating officer who will confirm the new timetable and notify the relevant parties.
The investigating officer reserves the right to proceed with the investigation in the absence of engagement of the subject member if they are satisfied that reasonable opportunity has been given to the subject member to engage in the process.
At the end of their investigation, the investigating officer will produce a draft report and will send a copy of that draft report, in confidence, to the monitoring officer. The monitoring officer, if satisfied with the report, will then send the draft report to the complainant and the subject member normally within five working days.
The background evidence gathered during the course of the investigation should be listed as background papers or evidence within the report. These do not usually form part of the report in their raw form, unless the contents are deemed essential to understanding the investigation and outcome. These are not usually disclosed to the complainant or the subject member at this stage, but a request can be made to view them, subject to any confidentiality issues being observed.
The complainant and the subject member will be given a period of 10 working days to comment on the draft report. All comments should be directed to the investigating officer for consideration.
The investigating officer, having received and taken account of any comments made on the draft report and undertaking any further investigation they consider relevant and appropriate. The investigating officer will send their final report to the monitoring officer, within 10 working days.