STATES OF JERSEY
r
Code of Practice for Scrutiny Panels and the Public Accounts Committee
As adopted by the States as amended 12th March 2008
STATES GREFFE
CONTENTS
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1. |
Introduction............................................................................... |
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2. |
Chairmen’s Committee.............................................................. |
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3. |
Powers of PAC and Panels........................................................ |
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4. |
Scrutiny Panels: remit and membership....................................... |
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5. |
Scrutiny Panels: Expert Witnesses and Advisers.......................... |
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6. |
Scrutiny Panels: Meetings.......................................................... |
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7. |
Scrutiny Panels: Planning the Forward Work Programme............. |
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8. |
Scrutiny Panels: Planning a review.............................................. |
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9. |
Scrutiny Panels: Gathering evidence............................................ |
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10. |
Scrutiny Panels: Public hearings.................................................. |
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11. |
Scrutiny Panels: Reports............................................................ |
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12. |
Scrutiny Panels: Resources........................................................ |
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13. |
Public Accounts Committee....................................................... |
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14. |
Compliance............................................................................... |
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15. |
Appendix 1 – Access to Council of Ministers
Part B background reports: Confidentiality Agreement ............................................. |
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16. |
Appendix 2 – The Rôles of Scrutiny Panels vs
the Public Accounts Committee................................................................................ |
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17. |
Appendix 3 – Standing Orders relating to PAC
and Scrutiny Panels |
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18. |
Appendix 4 – Standing Orders relating to Code
of Practice.......... |
30 |
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Chairmen’s
Committee
Code of
Practice for Scrutiny Panels and PAC
1.1 The
Scrutiny Panels and the Public Accounts Committee (PAC) have been established
by the States as an integral part of the reforms to the machinery of government
in Jersey.
1.2 Scrutiny
Panels exist to hold the Executive to account for its policies and actions and
to undertake reviews into any matters of public importance. The role of the PAC
is to consider the use of public funds and the adequacy of corporate governance
arrangements.
1.3 The
Chairmen’s Committee, in accordance with Standing Order 143(f) and (g),
[Appendix 3(1)] has prepared this code of practice for the proceedings of
the PAC and Scrutiny Panels for approval by the States. Standing Orders 134(6)
[Appendix 3(2)] and 141 [Appendix 3(3)] require the PAC, Scrutiny
Panels, a Sub-Panel of a Scrutiny Panel and any member of a Scrutiny Panel to
comply with this Code.
1.4 It is
recognised that the Code is a “live” document which will need to be updated
from time to time and amended in the light of further experience.
1.5 The
Chairmen’s Committee, in consultation with the Executive and the Privileges and
Procedures Committee (PPC), will keep the Code of Practice under review to
ensure that it meets the needs of the Panels, witnesses and the public and
develops to ensure that the scrutiny function operates as efficiently and
effectively as possible.
2.1 The
Chairmen’s Committee is comprised of six ex officio members, that is: the
Chairmen of the five Scrutiny Panels and the Chairman of the PAC. Two
additional members are appointed by the States on the nomination of the
President of the Chairmen’s Committee (Note: alternative nominations may also
be considered by the States).
2.2 The
President of the Chairmen’s Committee is appointed by the States in the manner
prescribed in Standing Order 121 [Appendix 3(4)].
2.3 The
Chairmen’s Committee has responsibility for oversight, co-ordination and review
of the work of the PAC and the Scrutiny Panels. The full terms of reference of
the Committee are set out in Standing Order 143 [Appendix 3(5)].
2.4 The
Chairmen’s Committee, in liaison with individual Chairmen, will try to ensure
that all non-Executive members of the States who wish to participate in the
Scrutiny function are involved in the work of Sub-Panels.
2.5 The
Chairmen’s Committee is a co-ordinating body, ensuring, with the Scrutiny
Manager, that resources are allocated fairly across the Panels and there is no
unintentional overlap or gaps in the programme of scrutiny over the three year
term of office.
2.6 The
Committee will ensure that the work programme chosen by the PAC and the Panels
can be undertaken within the financial and manpower resources available. The
Committee, however, does not have any sort of ‘veto’ over the programmes drawn
up by the PAC and the Panels.
2.7 The
Chairmen’s Committee will be advised by all Panel Chairmen of any forward work
programme as appropriate, planned reviews, and at the start of each review of
the scoping documents detailing financial and manpower implications and terms
of reference. It will also be advised of any planned work on the Executive’s
strategic priorities.
2.8. The
Chairmen’s Committee, in accordance with Standing Orders will co-ordinate the
preparation of an annual report on the work of the PAC and Scrutiny Panels.
2.9 The
Chairmen’s Committee has an important role in maintaining close contact with
the Council of Ministers to ensure that there is good two-way communication
between the Scrutiny function and the Executive on their respective work
programmes.
2.10 The
Chairmen’s Committee and the Chief Minister will meet on at least a twice
yearly basis in order to discuss the respective work programmes of the
Executive and the Scrutiny function and any other matters which might arise.
3.1 Scrutiny
Panels and the PAC have the power to issue summonses in accordance with the
States of Jersey (Powers, Privileges and Immunities) (Jersey) Regulations 2006.
In accordance with the statutory requirement Panels will nevertheless take all
possible steps to obtain voluntary compliance before using the powers contained
in the Regulations.
3.2 Members
of the States are not covered by the Regulations as they are required to
co-operate with Panels by the Code of Conduct. Panels will nevertheless use the
procedures set out below, that mirror those set out in the Regulations, when
seeking evidence from Ministers, Assistant Ministers and other Members of the
States.
3.3. Every
effort will be made to obtain voluntary cooperation from Ministers and other
Members to provide the documentary evidence required by the Panel and to attend
hearings to give oral evidence. If a Member refuses to co-operate when
requested, a formal letter from the Chairman of the Panel will be sent setting
out the evidence required and, if appropriate, the proposed date and time of
the hearing.
3.4 In
common with members of the public who are able to challenge a summons, Members
of the States will be able to write to the Greffier asking for a review of the
request to provide evidence if they consider –
(a) that the Panel has not taken adequate
steps to seek voluntary cooperation from the Member or to deal with evidence
confidentially if appropriate;
(b) that the evidence is, or the documents
are, not relevant or necessary to the matter that the Panel is investigating;
(c) that the evidence is, or documents are,
legally privileged;
(d) that the prejudice to the Member that
would ensue from appearing before the Panel and giving the evidence and, where
required, producing the documents, so far outweighs the usefulness of the
evidence or documents to the Panel that it would be unreasonable to require the
Member to appear.
3.5 The
Greffier will immediately refer the matter to the Privileges and Procedures
Committee [PPC] which will review the matter and, subject to the preservation
of legal professional privilege and the privilege against self-incrimination, direct
whether or not the Minister or Member concerned should comply with the request.
If a Member fails to comply when directed by PPC to do so he or she will be
regarded as being in breach of the Code of Conduct and the appropriate
disciplinary process will be initiated.
4. Scrutiny Panels – remit and
membership
Terms of reference
4.1 The
formal terms of reference for the Scrutiny Panels are set out in Standing Order
136 [Appendix 3(6)].
Remit
4.2 Standing
Orders stipulate the establishment of five Scrutiny Panels each undertaking
responsibility for scrutinising broad topic areas designed to cover the full
range of ministerial departments. The five Panels and the departments to which
they are related are –
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Panel |
Ministry |
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Corporate Services |
Chief Minister Treasury and Resources |
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Economic Affairs |
Economic Development |
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Education and Home Affairs |
Education, Sport and Culture Home Affairs |
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Health, Social Security and Housing |
Health and Social Services Housing Social Security |
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Environment |
Planning and Environment Transport and Technical Services |
4.3 In
general, each Panel has the freedom to select its own programme of reviews
within its remit. Each Panel has the responsibility of ensuring that a fair
measure of scrutiny is undertaken across the full range of ministerial
departments within its remit during the course of the lifetime of the Panel.
4.4 Panels
may consider matters which are referred to them by the States, the Executive,
the Chairmen’s Committee, individual States members, interest groups or the
general public but they are under no obligation to undertake reviews which are
referred to them by any of these bodies.
4.5 Consideration
will be given to the Executive’s strategic priorities relevant to the Panels’
remit and the relevant Minister advised of Panels’ actions in this respect.
4.6 Panels
will prepare an annual report of the work undertaken during the previous year
for timely submission to the Chairmen’s Committee at the start of each year.
4.7 Panels
will monitor and follow up the Executive’s responses to Panel recommendations
arising from reviews.
Rôle of
Chairman
4.8 The
Chairman of each Panel is appointed by the States in the manner set out in
Standing Order 120 [Appendix 3(7)]. The term of office for each Chairman
is for the duration of the States Assembly until the beginning of the first
States meeting following the next ordinary election.
4.9 The
responsibilities of the Chairman are as follows –
(a)
to develop and provide
strong and fair leadership and clear guidance to members and Officers involved
in the Scrutiny function;
(b)
to develop clear
understanding of the Panels’ terms of reference in Standing Orders and to
ensure these are fulfilled during the term of office;
(c)
to ensure that the Panels
are effective in developing a process that will contribute to the achievement
of the States’ strategic aims and priorities and the continuous improvement in
services and implementation of best practice;
(d)
to agree all agendas for
the Panel’s meetings and take a lead in ensuring that Panels are aware of all
areas of possible review within the Panel’s remit
(e)
to meet on a regular
basis and consult with the other Panel Chairmen and the Chairman of the Public
Accounts Committee through the Chairmen’s Committee;
(f)
to ensure that the
appropriate members of the Executive are briefed about the work of the Panel;
(g)
to develop a clear brief
and Terms of Reference for each review topic;
(h)
to have overall
responsibility for liaison with Ministers and Chief Officers responsible for
services within the Panel’s programme;
(i)
to undertake on behalf
of the Panel all contact with the media including press releases and
interviews. A Panel Chairman will delegate the above responsibilities to a
Sub-Panel Chairman or lead member as appropriate;
(j)
to ensure that requests
for information are fair and reasonable;
(k)
to decide, in
consultation with Panel Members and Scrutiny Officers, which witnesses to
invite to hearings;
(l)
to chair Scrutiny
hearings in public, ensuring fairness to witnesses;
(m)
to conduct an evaluation
of each review to assess the effectiveness of the process and identify
problems.
4.10 The
Chairman may delegate certain functions, for example, chairing a public hearing
or contacting the media, to another member of the Panel.
Membership
4.11 Each
Panel consists of the Chairman and up to four elected States members who are
appointed to the Panel by the States in the manner set out in Standing Order
125 [Appendix 3(8)].
4.12 Each
Panel selects a Vice-Chairman to fulfil the functions of the chairman in
his/her absence.
4.13 The
quorum for each Panel is one half of its membership, rounded up to the next
whole number.
4.14 Without
a quorum, a Panel may not make substantial decisions at a meeting on its work
programme, the terms of reference of specific reviews, appointment of an
adviser or financial expenditure or a report following a review. These
decisions must all be formally minuted. A public or private hearing also
requires a quorum of members.
4.15 In
practice Panels make most of their decisions by consensus without the need to
vote. Where a vote is necessary, each member of the Panel has one vote. The
Panel Chairman does not have a deciding vote in the event of a tied vote. It is
not possible to proceed with a decision on a tied vote.
Sub-Panels
4.16 Under
Standing Order 139 [Appendix 3(9)], the Panels are entitled to set up
sub-Panels to deal with particular issues, such as draft legislation, or to
undertake a review which cuts across the responsibility of more than one Panel.
4.17 Sub-Panels
may contain elected members who are not members of the Panel in question
(provided that they are not Ministers or Assistant Ministers).
4.18 Sub-Panels
operate on behalf of the Panel which has appointed them and only with the
authorisation of that Panel. The appointment, remit and timescale must be
agreed by the full Panel and recorded in the Minutes. The Sub-Panel will
appoint its own Chairman, who will be a Member of the main Panel. It is the
responsibility of the Sub-Panel Chairman to report to the full Panel on a
regular basis. The quorum for a Sub-Panel is one half of its members, rounded
up to the next whole number. The report prepared by the Sub-Panel on its review
will be presented to the States in the name of the full Panel.
4.19 Sub-Panels
may call upon the financial and manpower resources available to the Panel. This
is subject to the other commitments of the Panel and to the agreement of the
Chairmen’s Committee and Scrutiny Manager
4.20 There
is no power of co-option: i.e. a non-Panel Member cannot be co-opted onto the
main Panel as an additional Member for a review.
Rapporteurs
4.21 Under
Standing Order 140 [Appendix 3(10)], the Panels are also entitled to appoint a
single member, or rapporteur, to deal with a specific issue within the Panel’s
remit.
4.22 Rapporteurs
operate on behalf of the Panel, on the same basis as a Sub-Panel, as set out
above. Rapporteurs will progress their investigations on their own initiative
and direction, but ultimately report back to the Panel. Rapporteurs should
liaise with the Chairman on a regular basis.
Declaration of interests
4.23 A
member of the Panel must declare an interest and withdraw from part or all of a
review being conducted by the Panel if he/she considers that this interest would
prejudice, or appear to prejudice, his or her ability to participate in the
Panel proceedings in an impartial manner.
4.24 It is
inappropriate for a Panel member who represents, or is a member of, a
particular interest, stakeholder group or other organisation to participate in
a review of a topic directly related to that group. The member may, however,
give evidence to the Panel as a witness, having withdrawn from the Panel for
the duration of the particular review.
4.25 Questions
about a potential conflict of interest on the part of a member of a Panel
should be referred in the first instance to the Chairmen’s Committee for
consideration who will refer the matter to the Privileges and Procedures
Committee if a satisfactory resolution cannot be achieved.
4.26 If a
witness believes that he/she has a potential conflict of interest, this fact
should be made known to the Panel at the earliest opportunity.
4.27 In the
final analysis, the Panel will determine whether the witness should appear
before it to give evidence, having taken into account the reasons given by the
witness.
4.28 If the
Panel decides that it wishes to proceed with taking evidence from the witness,
it will make a statement in its final report noting that a declaration of
potential conflict of interest had been made by the witness.
5. Scrutiny
Panels: Expert Witnesses and Advisers
5.1 The
Panels may consider the appointment of expert witnesses and advisers to assist
them in their work and offer technical support. The Scrutiny function has a
budget allocation for this purpose, overseen by the Chairmen’s Committee.
5.2 Panels
appoint advisers to assist them in studying Executive policies. Panels have the
freedom to select advisers whom they consider to have an appropriate level of
expertise.
5.3 Advisers
are normally appointed for a specific issue and for a specific period of time.
They always report to a specific Panel. A Panel may wish to appoint a single
adviser or a number of advisers, if it requires a range of expertise or opinion
and has the budget to do so.
5.4 Advisers
may be used for a range of tasks including technical assessment of evidence,
advising on the selection and questioning of witnesses and providing briefing
papers for the Panel. Advisers generally attend oral evidence sessions, and may
ask questions regarding technical matters of witnesses appearing before the
Panel who are not States members. An adviser may also be invited in a hearing
to act as an expert witness.
5.5 In
selecting an adviser, the Panels must adhere to Financial Direction
No. 5.1 on the engagement and use of consultants.
5.6. The
first stage in appointing an adviser is for the Panel to agree, in principle,
that it wishes to appoint an adviser, to define the specification of the task
to be undertaken, to prepare a project brief and to estimate a budget for the
appointment. The selection of an adviser must be agreed by the Panel. In most
cases, the Panels will consider more than one candidate. The Chairmen’s
Committee will be advised of the selection process and appointment.
5.7 The
Panels may search for suitable advisers from a variety of sources. They may,
for example, approach accredited bodies or professional organisations, consult
States departments for lists of professional advisers or take advice from local
interest groups. The Scrutiny Office will endeavour to develop a register of
potential local advisers to support the Panels.
5.8 It is
impossible to be prescriptive about the levels of remuneration for advisers.
Much depends on the individual, their professional background and their
charging structure.
Scheduling of meetings
6.1 The
Panels will agree for each calendar year a schedule of regular meetings which
will be held to plan and consider the progress of enquiries being undertaken by
the Panel. When this schedule has been agreed, it will be published on the
Scrutiny website.
6.2 Panel
meetings will commonly be held in the rooms which have been designated for
Scrutiny (Le Capelain and Blampied). However, a Panel may meet at any location
of its choice.
6.3 The
Panels will publish an agenda at least four working days in advance of each
scheduled meeting. The Agenda will be available on the Scrutiny website and in
the States Bookshop. The Scrutiny Officers will work with the Chairman in
drafting the agenda.
6.4 The
agenda papers will normally be sent to Panel members in hard copy. Agenda
Papers which are related to matters to be discussed in private (see
paragraph 6.7 below), however, will not be published.
6.5 Minutes
of each meeting will be published electronically and in hard copy as soon as
possible after each meeting. The Minutes will be signed by the Chairman once
the Panel has agreed that they represent a true record of the proceedings.
Public and private meetings
6.6 Standing
Order 138(6) [Appendix 3(11)] provides that the public may observe a Panel
meeting, or a hearing, unless the Panel decides otherwise. A States member who
is not a member of a Panel may observe any of its meetings or hearings, provided
that the Panel is not in private session.
6.7 The
Panel may decide to take all or part of a meeting in private. The agenda will
normally indicate in advance of the meeting those items which will be taken in
private session. The Panel may, however, decide in the course of a meeting that
it should continue in private session.
6.8 It is
not possible to give a complete list of reasons why a Panel might consider it
appropriate to meet in private. The decision remains at the discretion of the
Panel. Among the reasons why a Panel might consider it appropriate to meet in
private are –
· Discussion
of the merits of potential advisers
· Discussion
of questions to be put to witnesses
· Discussion
of draft Panel reports.
6.9 States
members and members of the public who are admitted to a Panel meeting or
hearing will be expected to comply with the conditions of behaviour determined
by the Chairman. Their attendance will be on the basis of an observer. No
intervention into the meeting or hearing will be permitted, except with the
express permission of the Chairman.
6.10 The
Chairman may request that any member of the public who does not observe these
conditions be removed from the meeting room and excluded from the remainder of
that meeting or hearing. In the event that a member of the public refuses to
leave the meeting, the Chairman may close the meeting.
7. Scrutiny
Panels: Planning the Forward Work Programme
7.1 At the
start of each year the Panels will consider their forward work programme based
on the work programme of the relevant Departments and any other areas of public
interest. They will endeavour to identify topics for review and develop a draft
forward programme.
7.2 As
part of this initial planning, the Panels will invite Ministers relevant to their
remit to discuss the business plan and forward priorities of their Departments.
Good communication and information from Ministers about the Department’s
forward work plan at this stage should enable Scrutiny to develop a work
programme which will co-ordinate appropriately with the Executive’s legislative
and strategic business plans.
7.3 Panels
and their respective Minister(s) should meet at least every quarter to update
the other on respective work programmes.
7.4 The
Panels may also invite interest groups and stakeholders relevant to their remit
to make presentations on possible future topics for review.
7.5 The
Panels will also consider suggestions for reviews from other States members and
from members of the public. Proposal forms are available from the Scrutiny
Office for this purpose. Scrutiny Officers will advise anyone wishing to make a
proposal on the current priorities of the Panel.
7.6 The
Panels will take account of the Executive’s ‘Discussion Papers’ and ‘Draft
Policy Papers’ in planning its work programme. These consultation papers should
enable the Panels to have a clear view of the planning process for a major
policy proposal or important new legislation and should help the Panels to
determine the most appropriate opportunity to conduct a review.
7.7 The
Panels will seek to be co-operative in the planning process and will determine
how best to participate in public consultation. Once the Executive has
completed its consultation, the Panels will not normally commence a separate
investigation into a policy proposal unless there is evidence that significant
factors have been ignored by the Executive.
7.8 Communication
is a two-way process and the Panels will seek to give good notice to the
Executive of their intention to scrutinise a policy in development so that the
scrutiny process does not unduly delay the programme set out by the Executive
in its business plan.
7.9 In
developing a balanced work programme, the Panels will take account as far as
possible of the four main roles of scrutiny, namely –
· Policy
· Primary/subordinate
legislation
· Annual
Business Plan/Budget
· Matters
of public interest.
7.10 In
selecting topics for review, the Panels will consider if they –
· are
linked to States strategic objectives;
· are a
community/corporate priority area;
· are a
key issue for the public;
· are
likely to result in an improved service to the public;