/ Commissioner for Ethical Standards
in Public Life in Scotland

Minutes of the

Meeting of the Management Team

held on

9 August 2017 from 10.00 to 12.00

at Thistle House, 91 Haymarket Terrace, Edinburgh

Present:

Bill Thomson, Commissioner for Ethical Standards in Public Life in Scotland, (BT)

Ian Bruce, Public Appointments Manager (IB)

Karen Elder, Business Manager, (KE)

Helen Hayne, Investigations Manager, (HH)

Apologies:

  • MINUTES

1.1Approval of previous minutes

Decisions

  1. The minutes of the meeting held on 20 June 2017 were approved.

1.2Matters arising

All actions were completed except for the following:

Actions

  1. KE has developed the structure of the FOI request database and is currently populating the tables. Due for completion in October 2017.
  2. KE has reviewed the relevant legislation and the Commissioner does not require a witness expenses agreement with the SPSO. This applies to the Standards Commission for Scotland.
  3. Revised Holidays and Annual Leave policy has been issued to staff for consultation. The meeting confirmed that the main telephone line should be covered 9am – 5pm Monday to Friday. KE to publish policy w/c 21 August.
  4. KE reviewed the current Subject Access Request procedures. These are currently fit for purpose but will be reviewed as part of the GDPR project.
  5. SPCB considering their role in office-holder whistle-blowing procedures w/c 6 February. Following SPCB response, KE to issue Whistle-blowing policy for staff consultation and then publish and IB to arrange training on the Whistle-blowing policy.
  6. KE to update policies in line with ACAS guidance and consider amending further to reflect SPCB policy formats.
  7. BT to pursue additional assistance with policy drafting and review.

Commissioner for Ethical Standardsin Public Life in Scotland
Thistle House 91 Haymarket Terrace Edinburgh EH12 5HE
T: 0300 011 0550 E: W: / Page 1 of 4
  • POLICIES AND PLANS

2.1.Governance matters

  • The Advisory Audit Board (AAB) will meet on 14 August
  • BT asked the meeting if there were any governance matters giving concern. No matters were raised.

2.2.Policies

2.3.Strategic Plan and Business Plan

  • Public appointments report – 1 April to 3 August 2017
  • 24 rounds brought forward from 2016/17 (Prior year: 27). Fourteen complete and five incomplete.
  • 43new rounds were started during the year to date, with nil completed.20 are ‘early engagement’ rounds.
  • Currently 53 ‘live’ rounds (PY: 43).
  • 31 reappointments notified to us (PY: 27).
  • 183 substantive issues raised(PY: 161).
  • No reports of a material breach of the Code of Practice have been made to the Scottish Parliament (PY: 0).
  • A PAA/PAT Communication took place on 18 July 2017.
  • IB has provided comments to the new head of PAT on the draft proposalsfor reinstating work on the appointments improvement programme.
  • IB met with a representative from the DG HSC’s office to discuss their plans for values based recruitment.
  • Public standards report – 1 April to 31 July 2017
  • Complaints about LA councillors/member of public bodies.
  • 30 complaints /23 cases received (PY: 47/27)
  • 58 complaints /37 cases completed (PY: 87/36)
  • 27/20 complaints/cases in progress
  • 7 hearings concluded
  • 1 hearing scheduled
  • Complaints about MSPs
  • 11 complaints/9 cases received (PY: 7/7)
  • 12 complaints /10cases completed (PY: 4/4)
  • 2complaints in progress
  • 2 breaches reported to the Scottish Parliament
  • Revised Investigation Guidelines drafted and awaiting approval.
  • Currently reviewing whether to continue publishing web summaries.
  • Service standards drafted.
  • Preparation for registration of the interests of MSPs and introduction of a lobbying register ongoing.
  • The meeting approved the risk register to 2017/18.

2.4.Continuous improvement

  • Since the previous MTM, one consultation (regarding the Parole Board) has been received. No responses have been issued.
  • The meeting discussed how best to record referrals to and decisions by the SPSO regarding our work. Referrals and decisionsrelating to our functions investigating conduct complaints will be recorded in the new CMS and reported at this meeting. Referrals and decisions regarding public appointments and office management will be reported to this meeting. As a result, the Complaints About Us database is no longer required and the procedures should be updated.
  • Five FOI requests have been received. Responses have been or will be issued in good time.

Actions

  1. IB to draft response to Parole Board consultation.
  2. Investigations Managers to ensure that all standards referrals to and decisions by the SPSO are recorded in the CMS and reported to this meeting. KE and IB to ensure all other referrals to and decisions by the SPSO are reported to this meeting. IB to amend ‘Complaints About Us’ procedures.
  • RESOURCES AND PERFORMANCE

3.1.Finance

  • Expenditure in 2017/18 is predicted to be £928K. This is over-budget. However, following the introduction of Initial Office Assessment (IOA), IO costs are reducing, and subsequently the predicted over-spendshould also reduce.
  • The budget bid for 2018/19 has been drafted. This is based on actual costs. It will be refined and submitted at the end of August.

3.2.Staffing

  • An internal recruitment exercise to fill the Senior Investigating Officer post is currently underway. Applications close on 9 August.
  • One of the Casework Co-ordinators has resigned. A recruitment exercise for a replacement has begun.

3.3.Accommodation

KE asked the meeting if there were any issues regardingaccommodation. No issues were raised.

3.4.IT

  • The SPCB has approved a bid for contingency funding for a replacement complaints management system. Work to procure, develop and implement the system will now proceed.SG Procurement assisting with purchase – they recommend a review of the specification. The UK procurement system will be used.
  • Meeting held on 13 July to discuss website redevelopment. A rough outline of the tender method and content was agreed. A further meeting on 21 July identified the brand values to be included in the tender.

Actions

  1. KE to draft website tender with aim to issue in October.

3.5.Other active projects

  • All content for the annual report and accounts has been finalised and a draft prepared for discussion and approval at the AAB meeting on 14 August. Draft formats and content for the interactive PDF has been prepared. Further visual designs are awaited.
  • The General Data Protection Regulation (GDPR) appliesfrom May 2018.KE attended the SPCB’s Office-holder GDPR Group meeting on 28 July. The primary aims of the group are to appoint/contract a Data Protection Officer and share knowledge. The Commissioner will also set up a GDPR working group.
  • Records management will be reviewed at the next two meetings.

Actions

  1. KE to provide designer with final annual report content and provisional layout by end August.
  2. KE to arrange the first meeting of the Commissioner’s GDPR working group.
  3. Each Record Manager to provide an update on records management at the next meeting.
  • AOB
  • The Commissioner’s 0300 number transferred on 18 July.
  • Replacement photocopier installed 13 July.
  • FUTURE MEETINGS
  • 10.00 Tuesday, 3 October (BM)
  • 10.00 Wednesday, 13 December (HH)
  • 10.00 Wednesday, 14 February (HH)
  • 10.00 Wednesday, 11 April (BM)

3 October 2017

Chair of meetingDate of Approval

Bill Thomson, Commissioner for

Ethical Standards in Public Life in Scotland

Commissioner for Ethical Standardsin Public Life in Scotland
Thistle House 91 Haymarket Terrace Edinburgh EH12 5HE
T: 0300 011 0550 E: W: / Page 1 of 4