NSROC Regional Code of Conduct Review

Hornsby Shire Council

Attachment to Report No. GM12/08 Page 0

Northern Sydney Regional Organisation of Councils

REGIONAL CONDUCT REVIEW
COMMITTEE/SOLE REVIEWER
TOOL KIT

Standard Forms

October 2008

STANDARD LETTER TO THE COMPLAINANT

Dear …,

RE: COMPLAINT CONCERNING …

I refer to your complaint alleging a breach of the …………. [INSERT NAME OF COUNCIL] Code of Conduct by …………. [INSERT NAME OF PERSON SUBJECT OF THE COMPLAINT] of …………. [INSERT NAME OF COUNCIL].

Your complaint was referred to the NSROC Regional Conduct Review Committee by …………. [INSERT NAME OF GENERAL MANAGER] of …………. [INSERT NAME OF COUNCIL] on …………. [INSERT DATE].

The members of the Conduct Review Committee which enquired into the complaint were …………. [INSERT NAMES OF MEMBERS OF COMMITTEE].

The Conduct Review Committee has now completed its deliberations into the complaint and has made the following findings:

………….. [INSERT FINDINGS].

The reasons for those findings are as follows:

………….. [INSERT REASONS FOR FINDINGS].

Yours faithfully,

Chairperson

STANDARD LETTER TO THE PERSON SUBJECT OF THE COMPLAINT

Dear …,

RE: COMPLAINT CONCERNING …

I refer to the complaint alleging a breach by you of the …………. [INSERT NAME OF COUNCIL] Code of Conduct.

The complaint was referred to the NSROC Regional Conduct Review Committee by …………. [INSERT NAME OF GENERAL MANAGER] of …………. [INSERT NAME OF COUNCIL] on …………. [INSERT DATE].

The members of the Conduct Review Committee which enquired into the complaint were …………. [INSERT NAMES OF MEMBERS OF COMMITTEE].

The Conduct Review Committee has now completed its deliberations into the complaint and has made the following findings:

………….. [INSERT FINDINGS].

The reasons for those findings are as follows:

………….. [INSERT REASONS FOR FINDINGS].

Yours faithfully,

Chairperson

NOTES.

1. Where the conduct review committee makes findings, the committee must report its findings, and the reasons for those findings, in writing to the council, the complainant and the person subject of the complaint.

2. This letter will need to be altered where there is a sole conduct reviewer and also where the Committee/reviewer determines not to make enquiries into the complaint, in which case the complainant must be given the reason/s in writing as provided in cl.13.1 of the Model Code of Conduct.

3. The letter to Council should enclose a copy of the report, which should also contain recommendations. The latter need not, and ought not, be included in the letters to the complainant and the person subject of the complaint.

STANDARD LETTER TO THE COMPLAINANT AT THE PRELIMINARY STAGE

Dear …,

RE: COMPLAINT CONCERNING …

Your complaint has been referred to the NSROC Regional Conduct Review Committee by …………. [INSERT NAME OF GENERAL MANAGER] of …………. [INSERT NAME OF COUNCIL] on …………. [INSERT DATE].

The Conduct Review Committee is responsible for making enquiries into complaints made alleging breaches of the code of conduct by Councillors or the General Manager of a member Council of NSROC and may determine either to:

a) not make enquiries into the complaint and give you the reason/s in writing, and those reasons may include, but are not limited to, the fact that the complaint is trivial, frivolous, vexatious or not made in good faith, or

b) resolve the complaint by use of alternative and appropriate strategies such as, but not limited to, mediation, making recommendations to the General Manager, informal discussion or negotiation and give you advice on the resolution of the matter in writing, or

c) make enquiries into the complaint, or

d) engage another appropriately qualified person to make enquiries into the complaint, or

e) not make enquiries or discontinue making enquiries where it becomes evident that the matter should be referred to another body or person, and refer the matter to that body or person as well as advising you in writing of the same.

In the event that the Conduct Review Committee conducts enquiries or causes enquiries to be made the Committee or the person engaged to do so is required to follow the rules of procedural fairness and must:

· provide the person the subject of the complaint with a reasonable opportunity to respond to the substance of the allegation,

· provide the person the subject of the complaint with an opportunity to place before the Committee or person undertaking the enquiry any information the person considers relevant to the enquiry,

· provide the person the subject of the complaint with an opportunity to address the Committee in person,

· hear all parties to a matter and consider submissions before deciding the substance of any complaint,

· make reasonable enquiries before making any recommendations,

· act fairly and without prejudice or bias,

· ensure that no person decides a case in which they have a conflict of interests, and

· conduct the enquiries without undue delay.

Where the Conduct Review Committee conducts enquiries or causes enquiries to be conducted, the Conduct Review Committee must make findings on whether, in its view, the conduct referred to it comprises a breach of the Code of Conduct.

Where the Conduct Review Committee makes findings, the Committee:

· may recommend that the Council take any actions provided for in the Code of Conduct that it considers reasonable in the circumstances, and

· will report its findings, and the reasons for those findings, in writing to the Council, yourself and the person subject of the complaint.

The Conduct Review Committee will report its findings and any recommendations to the Council only when it has completed its deliberations. When making any report to the Council, the Committee is mindful that there may be a need to protect the identity of the person making the complaint.

The whole process outlined above may take up to 2 months or more, depending upon the complexity of the matter, but you may rest assured that the matter will be dealt with as expeditiously as possible.

For your information attached are salient excerpts from the Model Code of Conduct. [ATTACH A COPY OF ALL OF PART 3 OF THE MODEL CODE OF CONDUCT].

I will be in touch with you as soon as the Committee has made a determination as to how to deal with the complaint.

In the meantime, should you have any queries or require any further information please do not hesitate to contact me on …………… [INSERT TELEPHONE NUMBER].

Yours faithfully,

Chairperson

Attach.

STANDARD LETTER TO THE PERSON SUBJECT OF THE COMPLAINT
AT THE PRELIMINARY STAGE

Dear …,

RE: COMPLAINT CONCERNING …

A complaint has been made alleging a breach by you of the …………. [INSERT NAME OF COUNCIL] Code of Conduct. The substance of the complaint is as follows:

……………. [INSERT A SHORT BUT OTHERWISE COMPLETE DESCRIPTION OF THE ALLEGED BREACH].

The complaint has been referred to the NSROC Regional Conduct Review Committee by …………. [INSERT NAME OF GENERAL MANAGER] of …………. [INSERT NAME OF COUNCIL] on …………. [INSERT DATE].

a) not make enquiries into the complaint and give the complainant the reason/s in writing, and those reasons may include, but are not limited to, the fact that the complaint is trivial, frivolous, vexatious or not made in good faith, or

c) make enquiries into the complaint, or

d) engage another appropriately qualified person to make enquiries into the complaint, or

· provide you with a reasonable opportunity to respond to the substance of the allegation,

· provide you with an opportunity to place before the Committee or person undertaking the enquiry any information the person considers relevant to the enquiry,

· provide you with an opportunity to address the Committee in person,

· hear all parties to a matter and consider submissions before deciding the substance of any complaint,

· make reasonable enquiries before making any recommendations,

· act fairly and without prejudice or bias,

· ensure that no person decides a case in which they have a conflict of interests, and

· conduct the enquiries without undue delay.

Where the Conduct Review Committee makes findings, the Committee

· may recommend that the Council take any actions provided for in the Code of Conduct that it considers reasonable in the circumstances, and

· will report its findings, and the reasons for those findings, in writing to the Council, the complainant and yourself.

For your information attached are salient excerpts from the Model Code of Conduct. [ATTACH A COPY OF ALL OF PART 3 OF THE MODEL CODE OF CONDUCT].

I will be in touch with you as soon as the Committee has made a determination as to how to deal with the complaint.

In the meantime, should you have any queries or require any further information please do not hesitate to contact me on …………… [INSERT TELEPHONE NUMBER].

Yours faithfully,

Chairperson

Attach.

STANDARD LETTER TO THE PERSON SUBJECT OF THE COMPLAINT
AT THE ENQUIRIES STAGE

Dear …,

RE: COMPLAINT CONCERNING …

I refer to my letter of …………. [INSERT DTAE OF PREVIOUS LETTER] relating to the complaint that has been made alleging a breach by you of the …………. [INSERT NAME OF COUNCIL] Code of Conduct, and which has been referred to the NSROC Regional Conduct Review Committee by …………. [INSERT NAME OF GENERAL MANAGER] of …………. [INSERT NAME OF COUNCIL].

As previously advised, the substance of the complaint is as follows:

……………. [INSERT A SHORT BUT OTHERWISE COMPLETE DESCRIPTION OF THE ALLEGED BREACH].

The Conduct Review Committee has determined to make enquiries into the complaint.

As previously indicated, where the Conduct Review Committee conducts enquiries the Committee is required to follow the rules of procedural fairness and must:

· provide you with a reasonable opportunity to respond to the substance of the allegation,

· provide you with an opportunity to place before the Committee or person undertaking the enquiry any information the person considers relevant to the enquiry,

· provide you with an opportunity to address the Committee in person,

· hear all parties to a matter and consider submissions before deciding the substance of any complaint,

· make reasonable enquiries before making any recommendations,

· act fairly and without prejudice or bias,

· ensure that no person decides a case in which they have a conflict of interests, and

· conduct the enquiries without undue delay.

You are now invited to respond to the substance of the allegation by one or other or both of the following means:

· in writing, in which case anything you may wish to place before the Committee should reach me no later than ……. [INSERT DATE THAT IS REASONABLE IN ALL THE CIRCUMSTANCES, SAY, IN 21 OR 28 DAYS TIME]

· orally, that is, by addressing the Committee in person.

In the event that you elect to meet with the Conduct Review Committee, you are entitled to bring a support person or legal adviser. However, that person may only act in an advisory and support role to yourself, and is not allowed to speak on your behalf.

If you would like to address the Committee in person would you kindly advise me of your desire so to do by no later than ……. [INSERT DATE THAT IS REASONABLE IN ALL THE CIRCUMSTANCES, SAY, IN 7 DAYS TIME]. If you advise that you desire to address the Committee in person, I will write back to you as soon as practicable thereafter advising of the date of the hearing.

If I do not hear from you by the above mentioned date I will assume that you do not wish to address the Committee, and the Committee will proceed to deal with the matter in accordance with the Code of Conduct in the manner previously advised.

In the meantime, should you have any queries or require any further information please do not hesitate to contact me on …………… [INSERT TELEPHONE NUMBER].

Yours faithfully,

Chairperson

MINUTES OF NSROC REGIONAL CONDUCT REVIEW COMMITTEE MEETING HELD ON ……………………. [INSERT DATE]

NAME OF COUNCIL:

……………………………………………………………………

NAME OF COUNCILLOR/GENERAL MANAGER THE SUBJECT OF COMPLAINT:

………………………………………………………………………

PRESENT:

APOLOGIES:

Meeting commenced: …

1. Introduction by Chairperson

The Chairperson thanked everyone for their attendance.

2. Adoption of Minutes from the meeting of …………..

3. Business Arising from Previous Minutes

4. New Business

5. Correspondence

6. Next meeting: ……………

Meeting closed at …………….

……………………..
Chair
Date: …….

NSROC REGIONAL CONDUCT REVIEW COMMITTEE/REVIEWER
REPORT TO ………………….. COUNCIL

NAME OF COUNCIL: ………………………………………………………………………………………………………

NAME OF COUNCILLOR/GENERAL MANAGER THE SUBJECT OF COMPLAINT:

………………………………………………………………………………………………………

NAMES OF MEMBERS OF CONDUCT REVIEW COMMITTE/NAME OF REVIEWER:

………………………………………………………………………………………………………

DESCRIPTION OF THE COMPLAINT ALLEGING A BREACH OF THE CODE OF CONDUCT:

………………………………………………………………………………………………………

DATE REFERRED TO REGIONAL CONDUCT REVIEW COMMITTEE/REVIEWER:

………………………………………………………………………………………………………

PROCEDURAL HISTORY:

………………………………………………………………………………………………………

ISSUES FOR DETEMINATION:

………………………………………………………………………………………………………

MEETING DATES (WITH NAMES OF PERSONS IN ATTENDNACE):

………………………………………………………………………………………………………

FACTUAL BACKGROUND AND DETAILS OF ENQUIRIES MADE:

………………………………………………………………………………………………………

NOTE. The conduct review committee/reviewer may determine not to make enquiries into the complaint and give the complainant the reason/s in writing as provided in clause 13.1 of the Model Code of conduct (and those reasons may include, but are not limited to, the fact that the complaint is trivial, frivolous, vexatious or not made in good faith), or may resolve the complaint by use of alternative and appropriate strategies such as, but not limited to, mediation, making recommendations to the general manager, informal discussion or negotiation and give the complainant advice on the resolution of the matter in writing, or engage another appropriately qualified person to make enquiries into the complaint, or not make enquiries or discontinue making enquiries where it becomes evident that the matter should be referred to another body or person, and refer the matter to that body or person as well as advising the complainant in writing. (Clause 12.19, Model Code of Conduct.)

NAMES OF WITNESSES AND OTHER PERSONS INTERVIEWED/QUESTIONED:

………………………………………………………………………………………………………

FINDINGS OF MATERIAL FACT:

………………………………………………………………………………………………………

REASONS FOR FINDINGS OF MATERIAL FACT:

………………………………………………………………………………………………………

RECOMMENDATIONS:

………………………………………………………………………………………………………

NOTE. Where the conduct review committee/reviewer determines, in its view that the conduct referred to it comprises a breach of this code of conduct it may, in its report to the Council, make recommendations, that the Council take any of the following actions:

a) censure the councillor for misbehaviour

b) require the councillor or general manager to apologise to any person adversely affected by the breach

c) counsel the councillor or general manager

d) make public findings of inappropriate conduct

e) prosecute for any breach of the law

f) revise any of council’s policies, procedures and/or the code of conduct. (Clause 14.9, Model Code of Conduct.)

REASONS FOR RECOMMENDATIONS:
………………………………………………………………………………………………………

………………………………………………………………………………………………………

VOTING: Unanimous / By majority*
NOTE. If the vote on a matter is not unanimous, then this needs to be noted in any report to Council on its findings. (See clause 14.5, Model Code of Conduct.)

SIGNED:

………………………………………………………………………………………………………

DATE OF REPORT: ………………………….