The Standards and Governance Committee met to discuss several key issues, including a review of complaints made to the Local Government & Social Care Ombudsman, procedures for handling breaches of the Code of Conduct, and the introduction of criminal record checks for councillors. The committee agreed to recommend to the council the adoption of updated procedures for dealing with alleged breaches of the Members' Code of Conduct. They also recommended the development of a policy for criminal record checks for councillors.

Criminal Checks for Councillors

The committee considered a report from the Monitoring Officer, Clare Liddle, regarding criminal record checks for councillors, and agreed to recommend to the Executive that a policy be developed.

The report referenced an independent review of the Disclosure and Barring Regime¹ by Simon Bailey, which recommended that:

an enhanced criminal record check is made mandatory for all councillors in Unitary and Upper Tier Authorities who are being considered for appointment to any committee involved in decisions on the provisions of children's services or services for vulnerable adults.

The Minister for Local Government had subsequently written to all council leaders encouraging local authorities to adopt this as best practice.

The report outlined the four levels of Disclosure and Barring Service (DBS) check, noting that while an individual councillor can request a basic check, anything above that level can only be obtained through an employer, regulator, or registered body. The council, as a registered body, must ensure it has the legal ability to submit applications based on eligibility criteria set out in statute.

The report noted that under the Police Act 1997 (Criminal Records) Regulations 2002, members of a local authority are eligible for an enhanced check if the authority discharges any social services functions relating wholly or mainly to adults who receive health or social care services. It further noted that all Cumberland Councillors are 'Corporate Parents' for cared for children.

The report also clarified that a positive DBS certificate would not automatically disqualify a councillor from holding office, unless the information revealed met the criteria for disqualification under section 80(1) of the Local Government Act 1972 or the Local Government (Disqualifications) Act 2022². However, the council could restrict the types of committee or outside body on which they sit.

The proposed policy would include the following:

• All councillors would be required to undergo an enhanced DBS check, given their role as Corporate Parents.
• Any councillor refusing to undergo an enhanced DBS check would not be considered for any role involving the discharge of social services or education functions.
• The council would meet the costs of the DBS checks (£49.50 for the initial application and £16 for each annual update).
• The Monitoring Officer would oversee the applications for DBS checks.
• If a DBS certificate raised issues of concern, the Monitoring Officer, Chief Executive, and relevant political group leader would meet the individual councillor to discuss any concerns relating to safeguarding children and adults.
• Confidentiality would be maintained, in compliance with the Disclosure and Barring Service Code of Practice and relevant data protection legislation.

Standards Procedures and Hearings

The committee reviewed a report detailing proposed updates to the procedures for dealing with alleged breaches of the Members' Code of Conduct and agreed to recommend to the council that the three procedures be adopted as the council's local arrangements. They also agreed to recommend that authority be delegated to the Monitoring Officer to make minor amendments to the procedures as required to reflect legislative or guidance changes.

The report noted that the council has a duty under section 27 of the Localism Act 2011³ to promote and maintain high standards of conduct by its members and to adopt a Code of Conduct that is consistent with the Nolan Principles⁴.

The three updated procedures are:

1. Procedure for Dealing with Alleged Breaches of the Code of Conduct: This outlines the overarching process for handling complaints, with an emphasis on local resolution.
2. Pre-Hearing Procedure: This details the arrangements for cases where complaints cannot be resolved informally and are referred to a Standards and Governance Committee for a hearing following an investigation report.
3. Standards Hearing Procedure: This sets out the process to be followed at a Standards and Governance Committee hearing.

The Procedure for Dealing with Alleged Breaches of the Code of Conduct (Appendix A) provides a four-stage process:

• Initial Assessment by the Monitoring Officer to filter out complaints that are outside the Code or trivial.
• Informal / Local Resolution is the most common way to resolve complaints, including apology, training, or mediation.
• Formal Investigation where informal resolution is unsuccessful or inappropriate. The Monitoring Officer/ Deputy Monitoring Officer or an Investigating Officer gathers evidence and reports findings.
• Standards Hearing if there is evidence of a breach that cannot be resolved informally or where the Monitoring Officer considers the matter unsuitable for local resolution

The Pre-Hearing Procedure (Appendix B) applies when a complaint proceeds to a hearing, and sets out:

• Notification to the subject Member of the allegation, any findings of the Investigating officer and the Member's right to submit representations and attend the hearing.
• The subject Member may seek the views of the Independent Person who has not been involved in the consideration of the earlier stages in the complaints process
• Pre-hearing exchanges to establish which facts are agreed or disputed, whether witnesses will be called, and any procedural matters.
• Preparation of a hearing pack including the complaint, investigation report, representations, and evidence.

The Standards Hearing Procedure (Appendix C) details how a Standards Committee hearing is conducted, and covers:

• Order of proceedings.
• Role of the Independent Person.
• Rights of the subject Member, complainant, and Investigating Officer.
• Decision-making and possible outcomes where a breach of the code is found, including censure, apology, training, or recommendation for removal from committees where relevant.

Local Government & Social Care Ombudsman (LGSCO) Annual Review 2024-25

The committee received a report presenting information relating to complaints made to the Local Government & Social Care Ombudsman (LG&SCO) regarding Cumberland Council for the year ended March 2025, and decisions received in the current financial year to the end of July 2025.

The report included the LG&SCO Annual Review letter for 2024-25, which showed the following outcomes in relation to complaint investigations undertaken:

• 12 complaints upheld in 2024/25, compared to 16 in 2023/24.
• 100% compliance with Ombudsman recommendations.
• No satisfactory remedy provided by the council.

The report provided a breakdown of the Ombudsman's upheld decisions by directorate:

• Children & Family Wellbeing: 7 cases upheld (5 relating to Children & Families, 2 to Education)
• Adult Social Care & Housing: 2 cases upheld (2 relating to Adult Social Care, 0 to Housing)
• Public Health, Customer & Community Wellbeing: 2 cases upheld (1 relating to Benefits & Tax, 1 to Environmental Service & Public Protection)
• Place & Economy: 1 case upheld (Highways)

The report also included details of the 5 cases upheld by the Ombudsman for the period 1 April 2025 – 31 July 2025, broken down by directorate:

• Children & Family Wellbeing: 2 cases upheld (Education)
• Adult Social Care & Housing: 2 cases upheld (1 relating to Adult Social Care, 1 to Housing)
• Place & Economy: 1 case upheld (Waste Management)

The report included appendices providing explanations of the terminology used by the LG&SCO, details of upheld cases, and the council's annual letter from the LG&SCO.

Vacation of Office by Failure to Attend Meeting

The committee received a report detailing the practice note for the vacation of office by a Member for failure to attend meetings.

The report referenced Section 85 of the Local Government Act 1972⁵, which states that if a member of a local authority fails to attend any meeting of the authority for six consecutive months, they shall cease to be a member, unless the failure was due to some reason approved by the authority before the expiry of that period.

The practice note sets out Cumberland Council's interpretation of Section 85 of the Local Government Act 1972, clarifying what counts as attendance at qualifying meetings. It explicitly acknowledges that attendance at a qualifying meeting counts as a qualifying attendance regardless of whether the member has been formally appointed to a committee, sub-committee, or body.

The following are regarded as qualifying attendances for the purposes of Section 85:

1. Attendance as a member of the local authority at a meeting of the Council, any committee or sub-committee of the Council, the Cabinet, or any committee of the Cabinet, whether or not appointed to such body.
2. Attendance as a representative of the Council at any other body to which the Council makes appointments or nominations and to which a member has been appointed or nominated as a full or substitute member.
3. Attendance at any other meeting, the holding of which is authorised by the Council, any committee or sub-committee of the Council, the Leader of the Council, the Cabinet or any committee of the Cabinet including meetings of panels, working groups and task and finish groups.
4. Attendance as a representative appointed by the Council at a meeting of any association of authorities of which the Council is a member.
5. The carrying out of any other duty approved by the authority, or any duty of a class so approved, for the purposes of, or in connection with, the discharge of the functions of the authority or any of its committees or sub-committees.
6. Attendance at training events or briefings in relation to Council business for members organised by the Council.
7. Attendance at conferences and seminars where the Council has been invited to send an official representative or where a member body authorises the attendance.
8. Attendance at appointment panels or other meetings held to short-list candidates for interview.
9. The giving of official evidence on behalf of the Council at judicial hearings or planning inquiries.
10. Attendance of a member of a committee or sub-committee at an official site visit in connection with the discharge of the committee's or sub-committee's functions.
11. Attendance at the Overview and Scrutiny Committee where that committee requires the attendance of that member.

The report noted that for executive members, the provisions are more stringent, with failure to attend the executive or an executive committee or failure to exercise a delegated executive power for six consecutive months rendering an executive member disqualified as a member of the authority.

The report also highlighted that the authority has the ability to approve a reason for absence and to extend the time period, for example, in cases of illness or work-related reasons.