Shadow Scrutiny - arrangements and appointment of Chairmen and Members

STATES OF JERSEY

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SHADOW SCRUTINY: ARRANGEMENTS AND APPROVAL OF CHAIRMEN AND MEMBERS

Lodged au Greffe on 9th December 2003 by the Privileges and Procedures Committee

STATES GREFFE

PROPOSITION

THE STATES are asked to decide whether they are of opinion

(a ) to agree that Presidents of Committee and members of the Privileges and Procedures Committee

should be precluded from serving on Shadow Scrutiny Panels and on the Shadow Public Accounts Committee;

(b ) to agree that the States should, subject to the restriction in paragraph  (a) above, appoint forthwith

by ballot 2 members to be Chairmen of the 2 Shadow Scrutiny Panels for an initial period of 12 months;

(c ) to agree that the States should, subject to the restriction in paragraph  (a) above, appoint forthwith

by ballot a member to be the Shadow Chairman of the Shadow Public Accounts Committee for an initial period of 12 months;

( d ) t o appoint the following as members of the Shadow Scrutiny Panels, and to agree that the

Chairmen appointed in accordance with the provisions of paragraph (b) above shall rotate membership of the Panels over the initial 12 month period ensuring all the members appointed are able to participate in the shadow scrutiny process –

Senator J.A. Le Maistre;

Senator P.V.F Le Claire;

Senator E.P. Vibert ;

Connétable of St Brelade;

Connétable of St Mary;

Connétable of St Helier;

Connétable of Grouville ;

Deputy R.C. Duhamel of St. Saviour ; Deputy of St. John;

Deputy G.C.L. Baudains of St. Clement; Deputy J.L. Dorey of St. Helier;

Deputy L.J. Farnham of St. Saviour ; Deputy G.P. Southern of St. Helier ; Deputy S.C. Ferguson of St. Brelade ; Deputy J.A. Hilton of St. Helier;

(e ) to approve the protocols and guidelines for the operation of shadow scrutiny as outlined in the

Appendix of the report of the Privileges and Procedures Committee dated 4th December 2003;

(f ) to charge the Privileges and Procedures Committee, in accordance with its terms of reference –

(i ) t o m aintain an oversight of the shadow scrutiny process to ensure that the process is used

to develop a robust scrutiny framework after the introduction of ministerial government; and

(i i ) t o re port to the States on the operation of the shadow scrutiny process, after consultation

with the Chairmen and members of the Shadow Scrutiny Panels, at not less than 5 months before the introduction of ministerial government.

PRIVILEGES AND PROCEDURES COMMITTEE

REPORT

1. Introduction

1.1 I n adopting P.79/2003 – "Machinery of Government: Establishment of Scrutiny Panels and Public Accounts Committee", the States approved a trial period of shadow scrutiny. The Privileges and Procedures Committee subsequently presented its plans for the shadow scrutiny process in its report to the States (R.C.45/2003). In the report, the Committee described the purposes of the shadow scrutiny process as –

• C re a ting opportunities for training both members and officers – in particular developing new skills.

• I n c lu ding a wide range of members in the shadow scrutiny process.

• P r o v iding a learning experience.

• D ev e loping the practical arrangements for a system of scrutiny appropriate for Jersey.

• D ev e loping guidelines governing the scrutiny process.

• A ss e ssing the resource requirements for scrutiny.

• D ev e loping awareness of the scrutiny function.

T h e f irst stage of the process is to appoint the Chairmen and members of the Shadow Scrutiny Panels.

2. P r e clusion ofCommittee Presidents andMembersof the Privileges andProceduresCommittee

1. A s theshadow process is intendedtobe a training anddevelopment exercise, the Privileges Procedures Committee initially felt that there shouldbeno restriction onwhichmemberscouldserveon a Shadow Scrutiny Panel,as long as safeguards were put into placeto ensure that members of Panelscouldnotcarry out investigations into subjectswithin the purview ofany Committee ofwhich they were a member.
2. A f ter receivingcomments from the meeting ofCommitteePresidents, the Privileges and Procedures Committee agreed that the Assembly should beasked to decide whether it was appropriate forCommittee Presidents to sit onShadow Scrutiny Panels.TheCommitteealsoagreed that, to enable it to monitor the process independently and transparently,it would be inappropriate formembersof the Privileges and Procedures Committee tobemembersoftheShadowPanels.Anymember of the Committeewishingto take part in the process would need to resign from the Committeeifandwhenappointedto a panel.
   3. A  p pointmentoftheChairmen of Shadow Scrutiny Panels

1. T h e Assembly is requested toappoint 2 Chairmenfor the Shadow Scrutiny Panels.The Privileges and Procedures Committee,afterreceivingcomments from the meetingofCommitteePresidents, agreed that nominations for the Chairmen should come from the full Assembly. Nominations, which will require a proposer and seconder, will therefore be invited from the Assemblyassoonas this proposition has been accepted.
2. I t is proposed that the appointments will beforan initial twelve-monthperiod. This will give other members the opportunity to serve as Chairman for a period prior to the introduction of ministerial government.

4. A  p pointmentoftheShadowChairmanof the ShadowPublicAccountsCommittee

1. T h e Assemblyisalsoaskedto appoint a ShadowChairmanfor the ShadowPublicAccountsCommittee. The FinanceandEconomicsCommittee is bringing forward a reportand proposition with arrangements for disbanding the States Audit Commissionand forming a ShadowPublicAccountsCommittee.Whilst the Chairmen of the Shadow Scrutiny Panels will siton this body asmembers, a States member will also be requiredto work closely with the non-executiveChairmanofthe States Audit Commissionwho, if the States agree, will be appointed Chairmanof the ShadowPAC.
2. M e mbers wereasked by the Privileges and Procedures Committee to indicate whether,ornot, they were interested inbeingnominated as theShadow Chairman of theShadow Public AccountsCommittee.Many of the memberswhoresponded by e-mail did notdoso, therefore nominations,which will require a proposer and seconder, will berequested from the Assemblyassoonas this proposition has been adopted.

5. A  p pointmentoftheMembersofShadow Scrutiny Panels

1. T h e Privileges and Procedure Committee wrote to all States members asking for declarations of interest from thosemembers interested in serving ontheShadow Scrutiny Panels. Memberswho have declaredan interest are –

Senator J.A. Le Maistre;

Senator P.V.F Le Claire;

Senator E.P. Vibert ;

Connétable of St Brelade;

Connétable of St Mary;

Connétable of St Helier;

Connétable of Grouville ;

Deputy R.C. Duhamel of St. Saviour ; Deputy of St. John;

Deputy G.C.L. Baudains of St. Clement; Deputy J.L. Dorey of St. Helier;

Deputy L.J. Farnham of St. Saviour ; Deputy G.P. Southern of St. Helier ; Deputy S.C. Ferguson of St. Brelade ; Deputy J.A. Hilton of St. Helier.

2. It i s proposed that the Assembly approves allofthesemembers as membersofShadow Scrutiny Panels, notwithstanding that these individuals mayalso be nominatedas a ShadowPanelChairman.
3. T h e shadowchairmen will beasked to appoint 4 members from the list ofapprovedmembers to serve for an appropriate period, which will ensure that the remainingmembers can serve for an equivalent period and will alsoprovidefor the remainingmembers to beco-opted onto the Panelsfor particular reviews. How this will beachieved to ensure fairness will beagreed between themembers involved in theshadow process and the Privileges andProceduresCommittee. It isintended that all ofthe nominees will receive training at the same time.

6. P r o tocols andGuidelinesfortheOperationofShadow Scrutiny Panels

1. It i s proposed that one of the objectives of the shadow process will be to develop guidelines and protocols for the operationof scrutiny. This will include thepowersof the Panels, the roles and responsibilities of the Panels, and the responsibilities of departments to provide information. These will need to be developed in conjunction with Departmentsand the Chief Executive to ensure the practicality andfairness of the process.Some of theseprotocolswillbeincludedinthe revised Standing Orderswhichwillbe

presented to the States for agreement in due course; others will be contained in the guidelines which will be

presented to the States by the Privileges and Procedures Committee towards the end of the shadow process.

2. G u idelines for theshadowprocess will be clear and unambiguous to ensure that the various parties understand their roles and that the process is fair to all participants. Themore detailed guidelines will developed in the light ofexperienceof the shadow process andafterconsultation with the Executive and other relevant parties. The proposed guidelines areattachedat the Appendix.

7. F i n ancialandManpowerImplications

1. T h e Privileges and ProceduresCommittee has a budget for Scrutiny of £250,000 for 2003and a similar sum for 2004. The Financeand Economics Committeehas already agreed that the unspent balance from 2003 will becarried forward to 2004. The Privileges and Procedures Committee will bemaking a bid in the 2005-2007 Fundamental Spending Review process for the funding required for the full scrutiny process in the ministerial systemofgovernment.
2. T h e Committee hasreceived permission for 5 secondment positions and officers are being appointed to these positions to workfortheShadow Scrutiny Panels.

4th December 2003

APPENDIX

DRAFT GUIDELINES FOR SHADOW SCRUTINY PANELS The terms of reference set out in P.79/2003 for Scrutiny Panels are as follows –

(a ) to hold reviews into such issues and matters of public importance as the Panel, after consultation

with the Chairman's Committee, may decide, and to report to the States with recommendations if appropriate;

(b ) to consider and report on the existing and proposed policy of the Executive;

( c ) t o scrutinize all primary legislation, consider possible amendments if appropriate, and report

thereon to the States before the legislation is adopted by the States;

(d ) to consider subordinate legislation before it is made by the States, or after it is made by a Minister

as appropriate and, if the Panel so decides, scrutinise such legislation and report thereon to the States an the Executive with recommendations;

(e ) to scrutinise proposed international conventions and agreements before they are extended to the

Island;

( f) t o scrutinise the draft annual Resource Plan and Budget and other financial proposals of the

Executive and report thereon with recommendations;

( g ) t o liaise with the Public Accounts Committee through the Chairmen's Committee to ensure

appropriate co-ordination of the scrutiny function.

Members involved in the process should understand that the objectives of shadow scrutiny are to –

• c r e at e opportunities for training both members and officers – in particular developing new skills;

• i n c lu de a wide range of members in the shadow scrutiny process;

• p r o v ide a learning experience;

• d e v e lop the practical arrangements for a system of scrutiny appropriate for Jersey;

• d e v e lop guidelines governing the scrutiny process;

• a s s es s the resource requirements for scrutiny;

• d e v e lop awareness of the scrutiny function.

The purpose of shadow scrutiny is not to –

• p r o v ide an opposition to States policy;

• f u rt h er personal or political agendas;

• ex a m ine minor matters, individual complaints, internal disciplinary matters, or other matters prejudicial to the public interest.

Shadow scrutiny is not attempting to provide a fully functioning scrutiny system from the outset (although this may be an outcome of the work done).

Chairmen of Shadow Scrutiny Panels

The Chairman of each Panel will be appointed by the States and will serve for an initial period of 12 months. The States will then be asked to appoint a replacement for a further 12 months, or until the introduction of ministerial government.

The Chairman of the shadow panel shall –

• de v e lop and provide strong and fair leadership and clear guidance to members and officers involved in the shadow scrutiny function;

• d e v e lop clear understanding of the terms of reference of the Shadow Scrutiny Panel and the scope and range of the scrutiny functions;

• e n s u re 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;

• ag r e e all agendas for the Panel's meetings and take a lead in developing a forward work programme and ensuring that it is adhered to within the resources available;

• m e e t on a regular basis and consult with the other Panel Chairman and the Shadow Chairman of the Shadow Public Accounts Committee through the Chairmen's Committee;

• e n s u re that the appropriate members of States Committees are briefed about the work of the Panel;

• ha v e overall responsibility for liaison with chief officers responsible for services within the Panel's programme;

• e n s u re that requests for information are fair and reasonable;

• s e e k to involve all scrutiny members in the work of the Panel;

• d e c id e, in consultation with officers, which witnesses to invite to hearings;

• c h a ir scrutiny hearings in public, ensuring fairness to witnesses;

• d e v e lop a clear brief for each piece of work;

• c h a ir the post-review meeting between the Panel and the Committee to assess the effectiveness of the process and identify problems.

In addition, the Chairmen of the Panels and the Shadow Chairman of the Shadow Public Accounts Committee will form a Shadow Chairmen's Committee, which shall –

• c o n f irm and allocate the final work programme;

• m  e et to discuss progress and ensure consistency of approach;

• a l lo c ate resources;

• a d v i se the Privileges and Procedure Committee on progress and issues.

Members of Shadow Scrutiny Panels

The Chairman of each panel will select 4 members from the list of members approved by the States. Each member will be given the opportunity to serve on a panel for a similar length of time. This may be through each members serving for a fixed period. Alternatively, all selected members can be co-opted onto Panels from the outset, but allocated in fours to specific reviews.

Members shall –

• r e fr a in from personal criticism of other members;

• n o t p ermit personal agendas, rivalries and differences to deflect them from properly fulfilling their duties as scrutiny members;

• d e c la re any interest in the matters under scrutiny, pecuniary or otherwise;

• a t te n d all scrutiny training sessions where possible.

Meetings

A Chairman and 2 members will be a quorum for the purpose of holding meetings and hearings.

If the Chairman cannot attend then the members may appoint a temporary Chairman from their number for the duration of the meeting.

The Shadow Chairmen's Committee should meet not less than four times per year to review progress.

Resources

Each Shadow Scrutiny Panel will be resourced with 2 Shadow Scrutiny Officers. The role of the Scrutiny Officer will be to –

• p r o v ide the Panel with professional and technical information and advice relevant to the issue under scrutiny;

• o b ta in and collate information, documents, written and verbal reports and other appropriate information or evidence;

• o b t a in appropriate expert advice when necessary;

• u n d e rtake research;

• p r o v ide executive and administrative support;

• a r ra n ge, attend and record meetings and hearings;

• d r a ft reports;

• l ia i s e with States departments, other parliamentary services, media, pressure groups, stakeholders

and other relevant external bodies;

• e n s u re that the scrutiny website is updated;

• p r o v ide executive support to the Shadow Chairmen's Committee;

• p r o v ide executive and administrative support to the Shadow Public Accounts Committee.

In addition to designated officers, a small budget has been allocated for the engagement of consultants where appropriate. The allocation of this budget will be at the discretion of the Chairmen's Committee in liaison with the Privileges and Procedures Committee.

Contact with States Departments and Other Witnesses

Contact with States Departments will initially be between the Chairman of the Panel and the President of the Committee and the Chief Officer.

Presidents/Chief Officers will be informed of the Shadow Scrutiny work programme as soon as it is agreed. Copies of terms of reference for reviews will be provided to Committees/Departments as soon as they are available to give maximum notice of the subject under review.

The Chairman may request that the Panel visit the department to discuss the scope of a particular review, or to receive an overview of a particular service.

The Scrutiny Officer will make requests for specific information thereafter in writing either directly to the Chief Officers or his/her nominee.

Requests for information should be reasonable. Non co-operation or other difficulties should be reported to the Chairman who will contact the President of the Committee in the first instance and the Privileges and Procedures Committee thereafter if the issue cannot be resolved.

Panels will have automatic access to non-restricted (Part A) Committee minutes. Access to restricted (Part B) minutes will be through a request by the Panel Chairman to the Greffier of the States.

Panel members will not be permitted to question departmental officers directly other than as witnesses at a properly convened hearing, although direct requests for information will be progressed by the Scrutiny Officer.

Shadow Scrutiny Panels will invite witnesses to appear before them as required. In such circumstances, the Panel will –

• i n fo r m the witness of the time, date and place of the scrutiny meeting at which their evidence is to be taken;

• i n f o rm the witness of the matters about which the scrutiny body wish to ask them. Inform the witness of any documents that the Panel wish to have produced for them;

• p r o v ide reasonable notice of all the requirements of the Panel to enable the witness to respond in full at the earliest opportunity;

• p r o v ide copies of all relevant reports, papers and background information;

• e n s u re that all witnesses are treated with courtesy and respect and that all questions to witnesses are made in an orderly manner as directed by the Chairman of the Panel;

• f o ll o wing the proceedings, write to the witness to confirm their testimony.

Work Programme

The selection of topics for scrutiny is the first, most critical step in the entire scrutiny process to ensure that the objectives set for it are achieved.

Scrutiny should add value to the work of the States and produce worthwhile outcomes. The programme for each of the Shadow Panels will be determined though discussion with all of the members nominated by the States as Panel members.

Where possible, the programme should be based on a policy theme.

Each Panel should ensure that the four main roles of scrutiny are included in the work programme i.e. –

• P o l ic y

• P r im  ary/subordinate legislation

• R e s o urce Plan/budget

• O  th e r matters of public interest

Reviews selected should be capable of completion within an appropriate period and add to the overall training experience. The workload should also not exceed the capacity to do a thorough job.

The programme will be refined by the Shadow Chairmen's Panel, which will consist of the Chairmen of the Shadow Scrutiny Panels and the Shadow Chairman of the Shadow Public Accounts Committee. The programme will be endorsed by the Privileges and Procedures Committee to ensure that it meets the objectives of the shadow scrutiny process.

Terms of reference will be drawn up for each policy review or any review into a matter of public interest. These will be supplied to the relevant States Committee/Department prior to the commencement of the review.

A review group comprising the Shadow Panel, scrutiny officers and the chief/departmental officers, involved in each review and Privileges and Procedures Committee officers, will assess the effectiveness of the process and identify problems encountered by either side during the review process.

Selecting Topics

Topics should be considered if they –

• m  e et the criteria as a training exercise i.e. not too long, not too complex;

• a r e l ikely to result in improved service;

• a r e a community/corporate priority area;

• a r e l inked to States strategic objectives/plans;

• a r e a key issue for the public;

• r e la t e to a poor performing service;

• r e la t e to a service/issue where there is a high level of dissatisfaction.

Topics should be rejected if they are –

• a l re a dy being addressed by others;

• s u b ju dice or prejudicial to States interests;

• f a ll w ithin a complaints procedure;

• a n i n dividual disciplinary/grievance matter;

• u n l ik ely to result in improved service.

Presentation of Reports

The findings of the Panel will be incorporated into a report prepared with the assistance of the Scrutiny Officer.

The report will be submitted to the  Committee concerned for consideration  and comment. The Committee concerned shall consider every report within 3 months.

Subject to any amendments, the report will be presented to the States for information.

Role of the Privileges and Procedures Committee

The role of the Privileges and Procedures Committee will be to –

• p r o v ide resources for the shadow scrutiny process – within the limits of the budget allocated;

• m o n itor the effectiveness of the process;

• d e v e lop and provide an effective training programme for scrutiny members and officers;

• c o m ment on the appropriateness of the work programme;

• d e v e lop a scrutiny awareness programme across the public sector;

• p r o v ide advice if required;

• p r o v ide liaison if required;

• d e v e lop and recommend to the States the framework for full scrutiny;

• d e v e lop these guidelines based on the experiences of the shadow process.