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Ethics in English local government

Ethics in English local government. Dr Gary Hickey Research and Monitoring Manager The Standards Board for England. Introduction. Establishing the ethical framework Handling complaints Lessons learnt Strategic regulation Making it work at a local level. Establishing the ethical framework.

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Ethics in English local government

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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. 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) The Standards Board for England

  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

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