Complaints and Investigations

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How long will the investigation take?

The time taken to complete an investigation will vary depending on the facts of each case. We aim to conduct our investigations as swiftly as possible without compromising on quality. We believe that being thorough and fair is an absolute priority.

For these reasons, we aim to complete 40% of investigations within four months, 90% within six months, and 97% within nine months. Based on our experience so far, we anticipate that the final 3% will involve significant delays that are beyond our control.

These timeframes are calculated from the point when the allegation is referred to an ethical standards officer, and include the time taken to conduct the investigation, evaluate the evidence, prepare a detailed report, receive and consider comments from relevant parties, and finalise the report.

What are members told about the allegations against them?

During all investigations, the ethical standards officer will put in detail, to the member concerned, the allegations made against him or her, and provide the member with the opportunity to respond to them.

When will the ethical standards officer contact the member being investigated?

This depends on the circumstances of each case. It is often more effective for the ethical standards officer to seek information from the person making the allegation, and others involved, before contacting the member concerned.

However, in certain circumstances it may be appropriate for the ethical standards officer to contact the member at the beginning of the investigation. It may also be necessary to conduct an interview on more than one occasion.

Does the ethical standards officer have the right to demand information?

Yes. The ethical standards officer has a right of access to all relevant information that is necessary to conduct the investigation. The gathering of information is vital in order to enable them to reach a fair and proper finding on an allegation.

The ethical standards officer may make enquiries of any person believed to have information relevant to the investigation. This may include:

• the member alleged to have breached the Code of Conduct
• the person who made the allegation
• other members of the authority
• any relevant third parties, such as witnesses

Such persons can be required to provide information and attend an interview.

How will the ethical standards officer obtain information?

The manner will vary depending on the individual case. They may seek information by way of correspondence or by interview.

Many interviews will be conducted on the telephone in order to ensure an efficient use of public funds. While requests for a face-to-face interview will be considered on a case-by-case basis, we are unable to interview everyone in person.

The ethical standards officer will attempt to arrange interviews at a time and place convenient for those concerned.

Can a legal adviser or other person attend or participate in the interview?

A member is always entitled to be accompanied or supported by a legal adviser upon request. However, the ethical standards officer will expect the member to answer any questions posed — not the legal adviser. Members are personally responsible for any legal costs incurred during the process; the Standards Board for England has no power to meet the cost of a member's legal representation.

The ethical standards officer may also allow someone who is not a lawyer to accompany the member, but it is not appropriate if that person is a potential witness in the investigation.

Will interviews be recorded?

Some interviews will be recorded in order to save time and ensure an accurate record of the interview. This technique is used for both face-to-face and telephone interviews. However, we do not record interviews without first gaining consent from the person we are interviewing.

Notes of the interview will be taken irrespective of whether consent is given for the interview to be recorded.

What happens if a person refuses to provide information?

It is a criminal offence to fail to comply with the ethical standards officer's requests without a reasonable excuse. If a member refuses to provide information or attend an interview, the ethical standards officer may conclude the investigation based upon other information he or she has obtained, and without the benefit of the member's comments. The member will still be provided with a copy of the ethical standards officer's draft report.

Does the member being investigated get the opportunity to comment on the findings?

Yes. The member will be given a draft report containing the ethical standards officer's findings and given the opportunity to comment on it.

If the draft report finds the matter should be referred to the Adjudication Panel for England or standards committee, the member will also be sent copies of the evidence relied upon by the ethical standards officer in reaching their decision.

Who else can comment on the draft report?

The person who made the allegation and the monitoring officer of the relevant authority will also receive the draft report and have the chance to comment on it. The ethical standards officer will take comments into account when producing the final report.

The ethical standards officer may also give other relevant people the opportunity to comment on the draft report, or extracts from it, if they think it will assist the investigation or in circumstances where their conduct may be directly referred to in the report.

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