22 April 2025
Official information request 8140015535
(Please quote this in any correspondence)
William Foster
By email
: [FYI request #30247 email] Tēnā koe William
Local Government Official Information and Meetings Act 1987 (LGOIMA)
Complaint Statistics
Thank you for your information request dated 27 February 2025, for information about the
Auckland Council Elected Members Code of Conduct (Code) complaints statistics. The
specific details of your request are:
(i)
statistics we hold on the number of complaints received about the conduct of
elected members - on an annual basis for as many years as we hold the data
(since 2010)
(ii)
for each year please show how many complaints were lodged by members
and how many by members of the public and how many were lodged by staff
(iii)
for each category please indicate how many were found in favour of the
complainant and how many were dismissed, and
(iv)
separately how many were decided after being referred to an Independent
Commissioner for consideration and in those cases how many were found in
favour of the complainant and how many were dismissed
We have attempted to provide the information requested in (i) to (iv) in the table attached
to this letter.
You also asked if there have been, since 2010,
(v)
any cases where action was taken against an elected member as a result of
any complaint found in favour of the complainant. If so, please advise what
action was taken (no personal details to be provided).
Actions taken against elected members
The current Code outlines the type of sanctions that can be imposed by a Conduct
Commissioner where a material breach of the Code is found. In addition, if an investigator
undertaking a preliminary assessment finds a non-material breach, they can (and often do)
make any non-binding recommendations, as appropriate.
Private Bag 92300, Auckland 1142 |
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When looking across the cases where sanctions or non-binding recommendations were
issued, we can advise that:
• In the majority of cases involving a breach of the respect principle, particularly those
where the conduct caused offence or distress to a complainant, respondents were
required to issue an apology to the complainant
• in some of the cases, elected members were encouraged to undertake training or
seek guidance on how to manage future situations.
• in all cases of complaints about conflicts of interest (which constitute a breach of
the trust principle), elected members were offered advice on the management of
conflicts of interests.
I want to also point out that the Code recommends that less formal methods for addressing
breaches, if available, should be pursued (clause 4.1). Essentially, this means that the
Code's complaints process is focused on resolution rather than punishment.
Information Relevant to Table/Statistics provided
There are a few other matters to clarify in relation to the information provided to you in the
table.
Changes to the Code and Complaints Process Over the Last 14 Years
Prior to May 2021, the Elected Members’ Code of Conduct established an Independent
Conduct Review Panel to conduct full investigations into serious conduct matters referred
to it. The Chief Executive, acting as the secretariat for the Code complaints process, could
consult with the convenor of the Independent Conduct Review Panel when making decisions
on complaints and could also make joint decisions with the convenor when dismissing
complaints.
We can confirm that the panel was activated only a handful of times during this period. In
most cases, decisions were made by the Chief Executive (through dedicated staff) following
consultation with the convenor of the Independent Conduct Review Panel.
Following revisions to the Code in May 2021, the requirement for a panel was replaced with
a single independent Conduct Commissioner, selected from a pool of Conduct
Commissioners approved by the Governing Body.
The revised Code stipulates that only complaints involving a material breach or complex
matters be referred to the Conduct Commissioner, while other complaints can be handled
by investigators appointed by the Chief Executive.
The Code also allows investigators to consult with a Conduct Commissioner, if necessary,
during preliminary assessments and when making decisions about non-material breaches of
the Code. We can advise that staff investigators regularly consult the Principal Conduct
Commissioner, Professor Ron Paterson, in the assessment of complaints.
Like the current Code, earlier versions also emphasised resolving issues constructively.
Additionally, the current Code grants the Conduct Commissioner the discretion to
determine whether a matter should first be resolved through mediation before proceeding
with a full investigation. These provisions reinforce the resolution-focused principles
integral to the Code.
Private Bag 92300, Auckland 1142 |
aucklandcouncil.govt.nz |
Ph 09 301 0101
Involvement of Conduct Commissioners not accurately reflected The table provided indicates the number of formal referrals (including under clause 4.9 of
the current Code) to Conduct Commissioners. Referrals to a Conduct Commissioner (or
panel pre-2021) are triggered by an assessment that a complaint may constitute a material
breach. Therefore, the table does not fully capture the broader involvement of Conduct
Commissioners (or panel convenors in prior years) in other complaints. We can confirm that
conduct Commissioners are frequently consulted during preliminary assessments, and in
some instances the Chief Executive has directly engaged appointed Conduct Commissioners
to act as investigators to undertake preliminary assessments.
Dismissals
Complaints classified as "dismissed" in the table include complaints that were not taken
further for various reasons, such as:
• Preliminary assessment did not indicate a potential breach of the Code
• Complaints were unsubstantiated. According to the Code, complainants are required
to provide evidence to support their allegations
• Complaints were outside the scope of the Code. The Local Government Act 2002
mandates that Codes of Conduct set out understandings and expectations for
members conduct while acting in their capacity as members (clause 15 Schedule 7
LGA 2002). Therefore, complaints related to an elected member's conduct or
activities in their private capacity are generally deemed outside the council’s
jurisdiction to investigate or adjudicate
• Dismissal grounds outlined in clause 4.6 of the Code:
o Complaints deemed trivial, frivolous, vexatious, or not made in good faith
o Complaints that are without substance or do not appear to breach the Code
o Relatively minor complaints where further action was unnecessary
o Conduct that occurred so long ago as to be impractical to investigate or
resolve
o Complaints that are outside the scope of the Code and should be redirected
or dismissed.
Resolved complaints Complaints that have the potential to be resolved constructively are addressed
accordingly. This approach often means that we do not need to reach a formal finding of
breach or no breach. These complaints have been noted as resolved in the table.
A note about our records
Please be aware that the statistical information provided has been compiled from records
maintained by different teams over the years, as our complaints records were not
centralized in the earlier years. While every effort has been made to ensure accuracy, we
acknowledge that some historical data may be incomplete or lack sufficient detail regarding
findings or outcomes. In cases from earlier years where outcomes are not explicitly
Private Bag 92300, Auckland 1142 |
aucklandcouncil.govt.nz |
Ph 09 301 0101
documented, we have assumed that the approach taken was in line with the resolution-
focused principles encouraged by the Code.
The decision by Auckland Council to release the information contained in this response was
made by Manoj Ragupathy, Acting General Manager Governance and Engagement.
You have the right to complain to the Ombudsman if you believe we have not responded
appropriately to your request. Information about how to make a complaint is available at
www.ombudsman.parliament.nz or freephone 0800 802 602.
Please contact me if you have any questions.
Ngā mihi
Joanne Kearney
Senior Business Partner, Privacy & Official Information
Te Wheako ā-Kirihoko me ngā Ratonga Matihiko | Customer Experience & Digital
Services
Private Bag 92300, Auckland 1142 |
aucklandcouncil.govt.nz |
Ph 09 301 0101
