Model code of conduct for members of devolved public bodies: consultation

Annex A: Breaches of The Code

Introduction

1. The Ethical Standards in Public Life etc. (Scotland) Act 2000 (the 2000 Act) provided for a framework to encourage and, where necessary enforce, high ethical standards in public life. The 2000 Act, as amended, established the Standards Commission for Scotland (Standards Commission) and also gave a Public Standards Commissioner powers to investigate and report to the Commission. The Commissioner for Ethical Standards (ESC) was established by the Scottish Parliamentary Commission and Commissioners Act 2010 and took over the functions of the Public Standards Commissioner.

2. The Standards Commission and ESC are separate and independent, each with distinct functions.  Complaints of breaches of a public body’s Code of Conduct are investigated by the ESC and adjudicated upon by the Standards Commission.

Investigation of Complaints

3. The ESC is responsible for investigating complaints about members of devolved public bodies. It is not, however, mandatory to report a complaint about a potential breach of the Code to the ESC. It may be more appropriate in some circumstances for attempts to be made to resolve the matter informally at a local level. Further guidance on how alleged breaches can be dealt with informally as well as formally can be found here [insert link]

4. Following investigation, the ESC will report the matter to the Standards Commission if it is considered that a breach of a Code of Conduct has occurred.

Hearings

5. On receipt of a report from the ESC, the Standards Commission can choose to:

• Do nothing;
• Direct the ESC to carry out further investigations; or
• Hold a Hearing.

6. Hearings are held (usually in public) to determine whether the member concerned has breached their public body’s Code of Conduct.  The Hearing Panel comprises of three members of the Standards Commission.  The ESC will present evidence and/or make submissions at the Hearing about why it is considered that the member has contravened the Code.  The member is entitled to attend or be represented at the Hearing and can also present evidence and make submissions.  Both parties can call witnesses.  Once it has heard all the evidence and submissions, the Hearing Panel will make a determination about whether or not it is satisfied, on the balance of probabilities, that there has been a contravention of the Code by the member.  If the Hearing Panel decides that a member has breached their public body’s Code of Conduct, it is obliged to impose a sanction.

Sanctions

7. The sanctions that can be imposed following a finding of a breach of a Code of Conduct are as follows:

• Censure: A censure is a formal record of the Standards Commission’s severe and public disapproval of the member concerned.
• Suspension: This can be a full or partial suspension (for up to one year). A full suspension means that the member is suspended from attending all meetings of the public body.  Partial suspension means that the member is suspended from attending some of the meetings of the public body. The Commission can direct that any remuneration or allowance the member receives as a result of their membership of the public body be reduced or not paid during a period of suspension.
• Disqualification:  Disqualification means that the member is removed from membership of the body and disqualified (for a period not exceeding five years), from membership of the body. Where a member is also a member of another devolved public body (as defined in the Ethical Standards in Public Life etc. (Scotland) Act 2000), the Commission may also remove or disqualify that person in respect of that membership. Full details of the sanctions are set out in section 19 of the 2000 Act.

Interim Suspensions

8. Section 21 of the 2000 Act provides the Standards Commission with the power to impose an interim suspension on a member on receipt of an interim report from the ESC about an ongoing investigation. In making a decision about whether or not to impose an interim suspension, a Panel comprising of three Members of the Standards Commission will review the interim report and any representations received from the member and will consider whether it is satisfied:

• That the further conduct of the ESC’s investigation is likely to be prejudiced if such an action is not taken (for example if there are concerns that the member may try to interfere with evidence or witnesses); or
• That it is otherwise in the public interest to take such a measure.  A policy outlining how the Standards Commission makes any decision under Section 21 and the procedures it will follow in doing so, should any such a report be received from the ESC can be found here.

9. The decision to impose an interim suspension is not, and should not be seen as, a finding on the merits of any complaint or the validity of any allegations against a member of a devolved public body, nor should it be viewed as a disciplinary measure.