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Ethics in English local government

Dr Gary Hickey

Research and Monitoring Manager

The Standards Board for England

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Introduction

Establishing the ethical framework

Handling complaints

Lessons learnt

Strategic regulation

Making it work at a local level

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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

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Ten principles of public life Selflessness

Honesty and integrity

Objectivity

Accountability

Openness

Personal judgement

Respect for others

Duty to uphold the law

Stewardship

Leadership

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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

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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

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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

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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

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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

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Functions of Standards Committees (2)

Specific functions continued:

Assess and review complaints about members

Determinations’ hearings

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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)

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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

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Case handling

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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

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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?

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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

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Standards committee hearings

Usually 3-5 members of standards committee

Representatives

Witnesses

Evidence

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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

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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

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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

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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

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Key components of an investigation

Planning

Documentary evidence

Interviews

Reports

Confidentiality

Appeals/complaints procedure

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Allegations 2007-8

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Source of allegations 2007-8

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% of allegations referred for investigation

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Nature of allegations referred for investigation

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Completed cases by final findings

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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

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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

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Strategic role of the Standards Board for England

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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

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Why monitor?

Ensure system as a whole is fair

Improve performance

Identify problems

Provide support and guidance

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Our approach to monitoring

Developed in consultation with pilot authorities

Quarterly returns

Annual returns

Light touch

Proportionate

Risk triggered

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What type of information?

Quarterly returns: Number and nature of allegations

Decisions, outcomes and efficiency

Basic standards committee information

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What type of information?

Annual returns: activities/plans of standards committees

wider governance issues

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Other information

Phone calls

Letters

Information from other regulators

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What we will do with the information

Seek clarifications

Help with action plans

Advice on problem solving

Potential withdrawal of powers

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Measuring consistency and quality

Fair and consistent framework

Random sampling of cases

National statistics

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Sharing effective learning

National trends

Learning points

Good practice

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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

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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

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Designing the regulatory framework

On which activities should we focus?

Direction

Detection or measurement

Enforcement

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Support

DvDs

Support and assessment team

Guidance

Helpline

Training

Annual assembly

Research

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Making it work at a local level

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Components of an ethical environment

Leadership

Rules and values

Independent overview

Transparency and openness

Adaptability

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Leaders

Leadership crucial to supporting an ethical

culture within community

Providing a lead and encouraging others to

self monitor and peer review

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Balancing Rules and Values

RULES VALUES

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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)

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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

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Independent overview

Prevents ethics slipping off agenda

Ethical audits

Learning

Provide support

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Adaptability

adaptability is key to sustaining an effective approach

to ethics

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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

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Contact

Dr Gary Hickey

Research and Monitoring Manager

Direct line: +44 161 817 5416

Reception:+44 161 817 5300

Email: Gary.hickey@standardsboard.gov.uk

Standards Board website:

www.standardsboard.gov.uk