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1
Ethics in English local government
Dr Gary Hickey
Research and Monitoring Manager
The Standards Board for England
2
Introduction
Establishing the ethical framework
Handling complaints
Lessons learnt
Strategic regulation
Making it work at a local level
3
Establishing the ethical framework Committee on Standards in Public Life
Local Government Act 2000
Promote confidence in local democracy through :
Model Code of Conduct
Standards Committees
The Standards Board for England
Adjudication Panel for England
Local Government and Public Involvement in Health Act 2007
4
Ten principles of public life Selflessness
Honesty and integrity
Objectivity
Accountability
Openness
Personal judgement
Respect for others
Duty to uphold the law
Stewardship
Leadership
5
Code of Conduct – Do… Follow the Code of Conduct when representing
your authority
Be aware of what personal and prejudicial interests are
Keep your register of interests up-to-date
Treat others with respect
Register gifts and hospitality, received in your role as member, worth more than £25
6
Code of Conduct – Don’t…
Bring your authority or office into disrepute
Use the authority’s resources for party political
purposes
Compromise the impartiality of people who work
for your authority
Discriminate against people
Bully or intimidate
7
Don’t…
Use your position improperly for personal gain or to
advantage of friends/associates
Attend meetings or be involved in decision-making
where you have a prejudicial interest
Disclose confidential information – except in
exceptional circumstances
Prevent anyone getting information they are entitled to
8
Standards committees
At least 3 people
At least 2 members of authority
At least 1 independent member
Chair must be independent
At least 25% of members must be independent
Impartial
9
Functions of Standards Committees (1)
Main functions
Promote and maintain high standards of conduct for members
Help members to follow the Code of Conduct
Specific functions
Advice on adopting a local Code of Conduct
Monitor the effectiveness of the Code
Train members on the Code or arrange such training
Grant exemptions for politically restricted posts
Grant dispensations for members with prejudicial interests
10
Functions of Standards Committees (2)
Specific functions continued:
Assess and review complaints about members
Determinations’ hearings
11
The Standards Board for England Non-departmental public body
Funded by, but independent of, Government
Works with, but independent of, other agencies
11 Board members
80 staff (Legal, Investigations, Strategy and Guidance, IT,
Communications, Finance, HR)
12
Who do we cover ? 386 local authorities
8,350 parish councils
43 police authorities
31 fire and civil defence authorities
6 national parks and the Broads Authority
6 passenger transport authorities
The Greater London Authority
13
Case handling
14
Complaint handling
The Standards Board received complaints
Complaints were ‘filtered’ by the referrals unit
Standards Board Ethical Standards Officers (ESO) investigated
Standards committees held determinations’ hearings
15
Referrals Unit Is the allegation
- within the Board’s remit?
- have we received it before?
- vexatious or frivolous?
Is it in the public’s best interest for the allegation to be
investigated?
16
Investigations department Ethical Standards Officer (ESO) investigates
ESO can find:
A - No evidence of a breach
B - No further action
C - Refer locally for hearing
D - Refer to the Adjudication Panel for England
17
Standards committee hearings
Usually 3-5 members of standards committee
Representatives
Witnesses
Evidence
18
Findings of the standards committee
Failure to follow Code of Conduct
Failure to follow Code but no action needs to be taken
Failure to follow Code and penalised
19
Standards committee determinations
Censure the member
Restrict the member’s access to resources for up to 3
months
Suspend or partly suspend for up to 3 months
Suspend or partly suspend for up to 3 months on
condition that member apologises or takes part in any
conciliation the standards committee has ordered
20
Adjudication Panel for England and sanctions
Independent judicial tribunal established by Act of UK
parliament
All tribunals have 3 members and have powers to:
- to disqualify the respondent for up to 5 years
- to suspend the respondent
- to partially suspend the respondent
- other sanctions, refer for training, public apology etc
21
Appeals Appeal to Adjudication Panel for England (within 21
days)
Outcomes:
Approve penalty set by standards committee
Dismiss penalty
Require the standards committee to set a penalty if it has not already done so
Require standards committee to set a different penalty to that already set
22
Key components of an investigation
Planning
Documentary evidence
Interviews
Reports
Confidentiality
Appeals/complaints procedure
23
Allegations 2007-8
24
Source of allegations 2007-8
25
% of allegations referred for investigation
26
Nature of allegations referred for investigation
27
Completed cases by final findings
28
Main breaches of the Code
bringing authority into disrepute
using position to confer or secure a advantage or
disadvantage
prejudicial interest
failure to treat others with respect
29
Lessons Set ‘firm and high’ referrals criteria and stick to it
Establish a process for dealing with complaints
Discourage frivolous and politically motivated complaints
Set achievable deadlines for length of time of investigations
Accurate forecasting of number of complaints
Clarity about policeman/supporter
Importance of local context
Importance of legitimacy
Importance of local government experience
Alternatives to sanctions
30
Strategic role of the Standards Board for England
31
Strategic role of the Standards Board for England
Defining the framework
Promoting and championing high standards
Ensuring effective local arrangements
Monitoring effectiveness of local arrangements
32
Why monitor?
Ensure system as a whole is fair
Improve performance
Identify problems
Provide support and guidance
33
Our approach to monitoring
Developed in consultation with pilot authorities
Quarterly returns
Annual returns
Light touch
Proportionate
Risk triggered
34
What type of information?
Quarterly returns: Number and nature of allegations
Decisions, outcomes and efficiency
Basic standards committee information
35
What type of information?
Annual returns: activities/plans of standards committees
wider governance issues
36
Other information
Phone calls
Letters
Information from other regulators
37
What we will do with the information
Seek clarifications
Help with action plans
Advice on problem solving
Potential withdrawal of powers
38
Measuring consistency and quality
Fair and consistent framework
Random sampling of cases
National statistics
39
Sharing effective learning
National trends
Learning points
Good practice
40
What local authorities will be doing Deciding if complaints need to be acted upon
Investigating or taking other action
Working to promote high standards and effective governance
Reporting to the Standards Board
41
Designing the regulatory framework
What should be the nature of the relationship between
ourselves and those whom we regulate?
Key factors:
Size of regulator
Size and number of those we are regulating
42
Designing the regulatory framework
On which activities should we focus?
Direction
Detection or measurement
Enforcement
43
Support
DvDs
Support and assessment team
Guidance
Helpline
Training
Annual assembly
Research
44
Making it work at a local level
45
Components of an ethical environment
Leadership
Rules and values
Independent overview
Transparency and openness
Adaptability
46
Leaders
Leadership crucial to supporting an ethical
culture within community
Providing a lead and encouraging others to
self monitor and peer review
47
Balancing Rules and Values
RULES VALUES
48
Rules and Values 5. National investigation & adjudication – Standards Board and Adjudication Panel
4. Local investigations & adjudications - standards committee
3. Non statutory enforcement - monitoring officer, chief executive, political groups and leader
2. Persuasion and advice – monitoring officer, political groups and leaders, chief executive
1. Day to day – Individual responsibility and peer/colleague challenge
Ref: Greasley et al (2006), adapted from Ayres and Braithwaite(1992)
49
Transparency
Facilitates ‘after the event’ examination of decisions and
decision making process
Can act as an incentive for individuals to behave in a ethical
manner
People may be more likely to behave in a principled manner
when they are subject to oversight
50
Independent overview
Prevents ethics slipping off agenda
Ethical audits
Learning
Provide support
51
Adaptability
adaptability is key to sustaining an effective approach
to ethics
52
Conclusion
Responsibility for standards have been given back
locally where they belong
Local ownership can ensure sensitivity to local issues
Local problems dealt with at a local level
The standards regime in England is evolving
53
Contact
Dr Gary Hickey
Research and Monitoring Manager
Direct line: +44 161 817 5416
Reception:+44 161 817 5300
Email: [email protected]
Standards Board website:
www.standardsboard.gov.uk