Report - Scrutiny and Public Accounts Committee Proceedings: Code of Practice (S.R.13/202)

function, whether as a member appointed to a Scrutiny Panel or PAC by the States Assembly,

a member of a Sub-Panel or a member of a Review Panel, are required to abide by this Scrutiny Proceedings Code.

6. The Scrutiny Proceedings Code is a live document which may be amended at any time by the Scrutiny Liaison Committee in consultation with Scrutiny members. Any revisions made will be reported to the States.

4. Remits and Membership

7. The formal terms of reference for the Scrutiny Panels and PAC are set out in Standing Orders.
8. Each Scrutiny Panel consists of the Chair and up to five elected States Members who are appointed to the Panel by the States in the manner set out in Standing Orders.
9. The PAC consists of a Chair and at least 4 other members, 50% of whom are elected members and 50% non-elected members.
10. Each Panel and the PAC selects a Vice-Chair to fulfil the functions of the Chair in their absence.
11. The quorum for each Panel is one half of its membership (where this is not a whole number,  it  should  be  rounded  up  to  the  nearest  whole)  in  order  to  make  any substantive decisions and hold public hearings. Additionally, in the case of the PAC, at least 2 of those present must be States members. Without a quorum, a Panel/PAC may not make 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.
12. In practice Panels/PAC 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 Chair 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.
13. It is imperative that Members of Panels and Committees play an active and regular role in their proceedings. Members must give due priority to attendance at meetings and hearings and should be present unless they have very compelling reasons not to be so. Work programmes are extensive and it is conducive to effective outcomes that the  workload  is  approached  collaboratively  and  shared  appropriately  among  the membership. Should any Member be absent for more than 3 consecutive hearings or scheduled meetings for reasons that are not considered to be compelling by their respective  Chair,  they  will  be  written  to  by  the  Chair  to  remind  them  of  their responsibilities with regard to attendance, and the matter will also be referred to the Scrutiny Liaison Committee. The Scrutiny Liaison Committee will consider whether

any further action is required, and will communicate with the Member accordingly.

Co-option

14. Scrutiny Panels may co-opt an additional non-executive member onto a Panel for the purposes of assisting with a specific review. A member can only be co-opted onto a Panel if she or he is not already a member of two Scrutiny Panels.
15. The co-opted member must only take part in discussions on the specific review for which she or he has been co-opted and not in any other Panel business.

Sub-Panels

16. Scrutiny Panels are entitled to set up Sub-Panels of up to five members, in addition to a Chair, to deal with particular issues, for example to undertake a review which cuts across the responsibility of more than one Panel. Sub-Panels may contain members who are not members of the Panel in question (provided that they are non-executive members).  When  establishing  a  Sub-Panel,  the  Panel  must  ensure  proper consideration is given to equality and diversity in determining the membership.
17. 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.
18. The Sub-Panel will appoint its own Chair, who will be a member of the main Panel. It is the responsibility of the Sub-Panel Chair to report to the full Panel on a regular basis. The quorum for a Sub-Panel is one half of its members. Where this is not a whole number it should be rounded up to the nearest whole. The report prepared by the Sub-Panel on its review will be presented to the States in the name of the full Panel.
19. Sub-Panels may, subject to the agreement of the Panel, call upon the financial and staff resources available to the Panel. This is subject to the other commitments of the Panel and to the agreement of the Scrutiny Liaison Committee and Assistant Greffier (Committees and Panels).

Review Panels

20. Review Panels may be established by the Scrutiny Liaison Committee, for example to provide greater flexibility for cross-cutting matters, at the request of a States Member to examine a topic that would not otherwise be scrutinised by a Scrutiny Panel, or in times of particularly heavy workload.
21. Review  Panels  will  contain  elected  members who are not Ministers or Assistant Ministers  and  operate  on  behalf  of  the  Scrutiny  Liaison  Committee  which  has appointed them and only with the authorisation of that Committee. The appointment, remit, budget and timescale must be agreed by the Scrutiny Liaison Committee and recorded in the minutes. There is no specified limit on the number of members who can serve on a Review Panel. When establishing a Review Panel, the Committee must ensure proper consideration is given to equality and diversity in determining the membership.

22. The Review Panel will nominate its own Chair for approval by the Scrutiny Liaison Committee. It is the responsibility of the Review Panel Chair to update the Committee on a regular basis. The Review Panel will provide a final draft of the report prepared on its review to the Scrutiny Liaison Committee before presentation to the States. It is the  responsibility  of the Chair of the Review Panel to undertake the subsequent media, public and political engagement responsibilities.
23. For the Committee to establish a Review Panel, it will need, in agreement with the Assistant Greffier (Committees and Panels), to consider current officer workload, current Panel review work and identify a Committee and Panel Officer from within the existing team to be released to support the work of a Review Panel.

Rapporteurs

24. Under  Standing  Orders, the Scrutiny Panels are also entitled to appoint a single member of that Panel, a rapporteur', to deal with a specific issue within the Panel's remit,  but may not allocate any of its resources for such a purpose without the agreement of the Scrutiny Liaison Committee.
25. 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 Chair on a regular basis.

5. Scrutiny Liaison Committee

26. The Scrutiny Liaison Committee, led by the President, is responsible for the oversight of the Scrutiny and PAC function as set out in Standing Orders 142 and 143.
27. The Committee's overarching role is to ensure that Scrutiny/PAC operates effectively and  appropriately,  taking  note  of  best  practice  and  developments  in  similar parliamentary committee systems. It will typically meet on a monthly basis.
28. The Committee will also oversee the appropriate allocation of financial resources to Scrutiny and PAC Reviews, ensuring that the overall work programme of all the Panels and the PAC is undertaken within the financial resources available, and covers the work of all the Ministers during the relevant term of office.
29. The Committee is advised by Panels/PAC of all planned Reviews through receipt of terms  of  reference  and  scoping  documents  detailing  financial  and  manpower implications, public engagement strategy, timescale, risks and mitigation of identified risks. Until a scoping document has been received and approved by the Committee, no budget will be allocated.
30. Budgets for quarterly hearings and initial hearings to identify background information are not subject to the scoping process or Scrutiny Liaison Committee approval.
31. The Committee also seeks to ensure that the status and business needs of members conducting scrutiny work is appropriately recognised.

6. Role of Chair

32. The Chair of each Panel/PAC is appointed by the States in the manner set out in Standing Orders. The term of office for each Chair is for the duration of the States Assembly until the beginning of the first States meeting following the next ordinary election.
33. The main responsibilities of the Chair are as follows:

• Implement the remit of the Panel/PAC as established by Standing Orders

• Provide direction and leadership to the Panel/PAC and act as a figurehead for its work (and Scrutiny more widely), establishing a suitable public profile

• Ensure  prominence  is  given  to  effective  public  engagement,  appropriate  to the context and stakeholder groups for each piece of work

• Work closely with colleagues and the Committee and Panel Officers to establish clear working practices to help the Panel/PAC to function professionally, efficiently and  effectively,  and  in  keeping  with  the  approved  framework  of  the  Scrutiny Proceedings Code of Practice

• Establish an appropriate and effective working relationship with Ministers within the Panel's remit

• Upon election to the position, identify and propose colleagues for appointment as Panel/PAC members. They must ensure proper consideration is given to equality and diversity in determining the membership of the Panel

• Establish  preferred  working  practices  with  the  Panel/PAC  Officers,  taking  into account advice provided by them on relevant processes

• Respond in good time to requests for direction from Committee and Panel Officers.

• Approve all draft agendas prepared by the Committee and Panel Officers (i.e. before they are distributed to the Panel/PAC)

• Authorise the electronic signature of Panel/PAC minutes upon their approval by the Panel/PAC

• At report writing stage (this includes Scrutiny/PAC Reports and Comments), the following stages require the Chair's input:

1. By the end of evidence gathering phase, ensure the Panel/PAC has considered evidence gathered to help inform drafting to be undertaken by Committee and Panel Officer
2. Receive a full draft report/Comments paper etc. from the Officer (within agreed timeframe)
3. Liaise with Committee and Panel Officer to complete a draft to be presented to the full Panel/PAC as the Chair's Draft'

• Carry out interviews with the media unless otherwise delegated

• Attend meetings of the Scrutiny Liaison Committee, unless otherwise delegated

• Within the Chamber:

1. Under Standing Order 72, confirm when asked by Presiding Officer whether Panel wishes to have the relevant draft legislation referred to the Panel (this Standing Order does not apply to PAC)
2. Make  Statements  on  matters  of  official  responsibility  (e.g.  publication of reports)
3. Answer written/oral questions directed to the Panel/PAC
4. Table written/oral questions directed to relevant Ministers

34. The Chair may delegate certain functions as necessary to another member of the Panel/PAC, for example chairing a public hearing or contacting the media.

7. Meetings

35. Panels/PAC  will  agree  for  each  calendar  year  a  schedule  of  regular  meetings, typically at least once every two weeks, which will be held to plan and consider the progress of enquiries being undertaken by the Panel/PAC and other matters arising. When this schedule has been agreed, it will be published on the States Assembly website.  Additional  meetings  will  be  held  as  required  in  between  the  scheduled meetings.
36. Panel/PAC meetings will commonly be held in the rooms which have been designated and  technologically  equipped  for  Scrutiny  purposes (Le Capelain and Blampied). However, a Panel may meet at any suitable location of its choice. A Panel/PAC may also hold meetings through appropriate digital platforms.
37. All meetings (as opposed to hearings – see Section O) are held in private to enable the Panels/PAC to have open and frank discussions on procedural and administrative matters, and to consider draft documentation. However, minutes will be published on the  States  Assembly  website  of  all  Panel/PAC  meetings,  subject  to  applicable exemptions of the Freedom of Information (Jersey) Law 2011 and  relevant data protection legislation.
38. Panel/PAC meetings must be quorate in order to make any substantive decisions and hold public hearings.
39. There  will be agendas for all scheduled Panel/PAC meetings. The front page of agendas (i.e. items of business but not associated papers) will be published on the relevant section of the States Assembly website. The full agenda will be distributed electronically to the Panel/PAC members.
40. Independent and impartial minutes of all Panel/PAC meetings and hearings will be made by the Committee and Panel Officers from the States Greffe to provide a complete, impartial and objective audit trail of the work of the Panels/PAC. These will

record main points of discussion and all decisions and financial matters, but will not be verbatim. Panel/PAC decisions must be made at formally convened meetings (in person or electronically) at which an Officer from the States Greffe is present to record those decisions.

41. The minutes will be signed by the Chair once the Panel/PAC has agreed that they represent a true record of the proceedings. The minutes of each meeting will then be published electronically as soon as possible after each meeting.

8. Planning a Forward Work Programme – Scrutiny Panels

42. 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.
43. The Panels will need to revisit their forward work programme on a regular basis in order to take into account new developments in the Executive's policies and matters of public importance. The Panels, for example, may request without prior notice, in accordance  with  Standing  Order  79  [Appendix  3(13)],  that  a  proposition  being debated  by  the  States  Assembly  should  be  suspended  and  referred  to  it  for investigation. The Panels will therefore need to retain a degree of flexibility in their forward planning which will enable them to re-prioritise their programme of work as new circumstances arise.

9. Identifying Reviews – Scrutiny Panels

44. Panels are topic based (see Standing Order 135) and have the freedom to select their own programme of Reviews within those topic areas. Panels select work priorities from a number of sources, including the work programme(s) of the relevant Minister(s) and suggestions from States Members, stakeholders and/or members of the public.
45. In developing a balanced work programme, the Panels will take account, as far as possible, of the following main focuses of Scrutiny, namely:

• policy

• legislation

• Medium Term Financial Plan/Budget

• matters of public interest

• public service initiatives

46. In selecting topics for review, 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

• relate to a service/issue where there is a high level of dissatisfaction

• make a positive contribution to the development of policy

47. Topics will be rejected if they:

• are sub-judice

• fall within a complaints procedure

• are an individual matter

• relate to matters of individual employee disciplinary/grievance

48. Topics may be rejected if they:

• are already being addressed by others

• are prejudicial to States interests

10. Declaration of interests

49. Where a member of a Panel/PAC or their spouse/civil partner/cohabitee has a direct financial interest in matter under consideration or review, the member must declare an interest and not participate in any associated proceedings. If that interest is financial but not directly so (i.e. is general, indirect or shared with a large class of persons), the interest should be declared from the outset but this does not necessarily exclude participation.
50. However, members of a Panel/PAC must be mindful of being open and transparent about declaring interests. For those reasons, such disclosure may be required at different  stages  during  a  Review,  not  only  at  the  outset.  It  is  inappropriate, for example, for a Panel/PAC 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, without declaring the interest both at the outset and in the preparation for and holding of a hearing with that or a competitor' group.
51. A  member  might  still  withdraw  from  part  or  all  of  a review being conducted if he/she/the  Panel/PAC  considers  that  any  interest  would  prejudice,  or  could  be perceived  to  prejudice,  his  or  her  ability  to  participate  in  the  proceedings in an impartial manner and thereby undermine the Panel/PAC's review.
52. Any uncertainty or impasse  about a potential conflict of interest on the part of a member of a Panel/PAC should be referred to the Scrutiny Liaison Committee for consideration, who will refer the matter to the Privileges and Procedures Committee if a satisfactory resolution cannot be achieved.

11. Advisers – Scrutiny Panels

53. Panels may appoint advisers to assist with compilation and interpretation of specialist and technical information. Advisers can be commissioned to undertake a specific piece of technical analysis on behalf of a Panel or engaged to work with the Panel more broadly on a Review.
54. Panels should, however, fully consider the use of expert witnesses, the research resource provided by the Committee and Panel Officers along with their supporting Research and Project Officers, and the terms of reference and objectives of Reviews to determine whether specialist adviser support would indeed be required. It is not always necessary to appoint an adviser.

55. For access to a budget for the engagement of advisers, estimated costs must be included in a scoping document and forwarded to the Scrutiny Liaison Committee.

12. Review Methodology

56. Reviews can be undertaken as follows, dependent on the availability of members and staff resources:

1. as a full Panel/PAC
2. as a full Panel with the co-option of another non-executive member. The co-opted member must only be present for matters relating to the Review to which (s)he has been co-opted (not applicable to PAC)
3. as a Sub-Panel of the main Panel (formally established by the main Panel and chaired by a member of the Panel). The report of the Sub-Panel is presented to the States by the main Panel (not applicable to PAC)
4. through a rapporteur - one member of the main Panel, reporting back to the  full  Panel  in  whose  name  the  report  would  be  presented  (not applicable to PAC)
5. through a Review Panel (formed by the Scrutiny Liaison Committee, the report of the Panel is presented to the States by the Scrutiny Liaison Committee) (not applicable to PAC)

57. Panels/PAC may request briefings in private prior to starting a Review to gain an initial understanding of the matter and to assess whether a Review is required.
58. A Review is considered to have started once a scoping document has been approved by the Panel/PAC, forwarded to and approved by the Scrutiny Liaison Committee. It is only  at this stage that a Panel/PAC has access to the budget and may call for evidence. Panels/PAC announce Reviews publicly through public/media engagement. Terms of reference should be provided to the relevant Minister and uploaded to the Scrutiny website.
59. Reviews are flexible and can be undertaken in a number of ways, from a desk top process  to  wide  scale  public  calls  for  evidence  and  holding  evidence  gathering hearings and meetings.
60. Public engagement is an important aspect of Panel/PAC work and should be adapted to the context and stakeholder groups of each review. Advice will be provided by Committee and Panel Officers, and as part of the scoping process Panels/PAC will agree a public engagement and communications strategy for each Review, which should  reflect  each  key  stage  of  a  Review  (launch,  evidence  gathering,  report presentation and follow up. The strategy should be reviewed and updated as required during the Review).
61. Terms of reference should be reviewed periodically during the Review to ensure they remain appropriate in covering the identified objectives of the Panel/PAC.

62. Information may be sought from whoever a Panel/PAC deems to be appropriate, mindful of that source's particular context and interest' in a given matter and doing so in a manner appropriate to the Review.
63. All information is requested from and sent to the States Greffe. If Chairs or members are sent information directly it should be forwarded to the States Greffe directly.

13. Gathering Evidence

64. A large part of the Panels'/PAC's workload will involve taking evidence and gathering views. Panels/PAC will gather evidence formally through written submissions and oral evidence sessions. They may conduct fact-finding visits in order to clarify technical and practical issues. Panel/PAC members involved in fact-finding visits and other information-gathering  activities,  will  be  accompanied  by  a  Committee  and Panel Officer who will prepare a note of the findings to be considered as evidence in the preparation of the final report.
65. The Panels/PAC are free to seek evidence from whoever they wish and may request papers and records from private bodies and individuals where these are relevant to the Panel's remit.
66. Panels/PAC will need to consider how best to engage stakeholders, the media and the  general  public  in the issues under review. They may choose innovative and imaginative information-gathering activities.
67. Panels/PAC  must take steps to acquire information in a reasonable manner and should follow the process established by the Engagement Protocol in the case of information  requested  from  Ministers,  Directors  General/Accounting  Officers, Departments or States owned/funded bodies.
68. If information is not forthcoming in a timely fashion from non-governmental sources, the Chair, through the States Greffe should write formally to the person from whom the information was requested.
69. In the event that the information is still not forthcoming the matter should be passed to the Scrutiny Liaison Committee for follow-up.
70. There are certain criteria to be met and procedures to be followed before the decision to issue a summons is taken, as contained in the Regulations.

14. Written Submissions

71. In undertaking a scrutiny review, it is likely that Panels will wish to invite comment and information from potential interested parties. For this purpose, the Panels will make an open call for evidence through various means, which may include the website, press releases, media coverage and formal notification in the press. In addition, the Panels may make a direct request for information and comment to individual organisations.
72. The Committee and Panel Officers are responsible for the receipt and collation of all written evidence. If the Chair or Panel/PAC members receive evidence directly they should pass it to the Committee and Panel Officers in the first instance.

73. The Panels/PAC are committed to the principle of open access to information.
74. Submissions must be treated in accordance with data protection legislation. To this end, Committee and Panel Officers will undertake a privacy impact assessment as a matter of course at the scoping phase of each review and agree a framework with the Panel/PAC for the processing of sensitive data.
75. In principle, all written evidence received by the Panel/PAC will be published on the website. However, where a witness considers that the information to be provided is of a sensitive or private nature, a request for the information to be treated in confidence by the Panel/PAC should ideally be submitted through the Committee and Panel Officer in advance of a submission being made, However, such an agreement can also be reached after a submission has been made.
76. In addition, it may be determined through liaison between the Committee and Panel Officer and the Panel/PAC that certain information must be treated in confidence, despite a witness considering that the information being provided is not of a sensitive or private nature. As with the above, the Committee and Panel Officer will ensure that the intentions of how the information is to be handled by the Panel/PAC is made clear to the person or organisation making the submission.
77. While  confidential  submissions  will  therefore  be  processed  for  Panels/PAC  to consider  as  above,  anonymous  submissions  will  not  be  considered  as  their authenticity cannot be verified.
78. Any disagreement on the part of a witness as to the Panel's/PAC's intended or actual treatment of information should be referred in the first instance to the Scrutiny Liaison Committee and thereafter to the Privileges and Procedures Committee if a resolution is not found.

15. Hearings

79. As a matter of principle, Panel/PAC hearings (evidence gathering sessions) are held in  public and will be webcast live and the audio  recorded, with transcripts being uploaded to the website at the earliest opportunity. Meeting rooms have been set up for this purpose in the States Building but the Panels/PAC may choose to hold a hearing on a digital platform or at an alternative venue. Normally, only where there is information of a confidential or personally sensitive nature will a Panel/PAC hearing be held in private session. In such circumstances, a Panel will consider publishing a full or redacted transcript after the hearing if appropriate. Such decisions rest with the Panel/PAC  concerned,  in  liaison  with  the  witness  concerned  and  advised  as appropriate by the Committee and Panel Officer.  
80. Panels/PAC will decide who they wish to invite as witnesses. Witnesses may include individuals or organisations that have submitted written evidence, but do not have to be  limited  to those. No organisation or individual has the automatic right to give evidence – it is for the Panel/PAC to decide who it wishes to invite but Panels/PAC will make every reasonable effort to consider all relevant evidence.

81. Panels/PAC will arrange and publish dates for oral evidence to be given at public hearings,  providing  witnesses  with  reasonable  notice  of  all  the  Panel's/PAC's requirements.  The  Panels/PAC  will  inform  the  witnesses  of  the  key  areas  of questioning, as opposed to fully detailed questions, it wishes to focus on at least five working  days  in  advance  of the hearing. This is to enable witnesses to prepare themselves fully to address the objectives of the Panel/PAC.
82. The primary purpose of oral evidence sessions is to put questions to witnesses in order to elicit information and views which the Panel/PAC will subsequently consider in preparing its report. Panels/PAC should ensure that their questioning is related to the topic and their terms of reference. Panels/PAC must endeavour to put witnesses at  their  ease  to  provide  an  environment  which  encourages  openness  and  a willingness to provide information.
83. Witnesses requested to attend on a Panel/PAC will not be remunerated for travel, loss of earning or other expenses. If a Panel/PAC feels that there should be an exception, a request will be made to the Scrutiny Liaison Committee.
84. Members  of  the  public  who are admitted to a Panel/PAC public hearing will be expected to comply with the conditions of behaviour as determined by the Scrutiny Liaison  Committee.  Their  attendance  will  be  on  the  basis  of  an  observer.  No intervention into the public hearing will be permitted.
85. The Chair may request that any member of the public who does not observe these conditions be removed from the hearing room or digital platform and excluded from the remainder of that public hearing. In the event that a member of the public refuses to leave, the Chair may close the hearing.
86. Following the public hearing, a draft transcript will be uploaded to the website at the earliest  opportunity,  but  witnesses  will  be  provided  with  a  draft  copy  of  the transcription for correction of any inaccuracies in the text. Substantial revisions to the verbatim text will not be permitted. However, the Panels/PAC may accept further clarification from the witness regarding points made during oral evidence. Should changes be agreed by the Panel/PAC, the draft transcript previously uploaded to the website will be replaced.

16. Review Output

87. There are a number of outcomes from which a Panel/PAC may select, including:

1. A full formal report (S.R./PAC), presented to the States
2. Formal Comments' to a Proposition, presented to the States
3. A Proposition and/or Amendments
4. Publication of evidence received
5. Media/Public engagement

88. All outcomes should be made public, except in exceptional circumstances as agreed by the Panel/PAC.

17. Report and Comments: Preparation and Presentation

89. Once all evidence has been collated, Committee and Panel Officers will present draft Heads of Report, i.e. the report's/Comments' outline sections and headings structure. This will have been quality assessed within the States Greffe, and presented for approval by the Panel/PAC.
90. The  Committee  and  Panel  Officer  will  then  draft  a  full,  impartial  and  objective report/Comments  based  on  evidence  received,  which  will  be  internally  quality assessed by the States Greffe ahead of circulation to the Chair in the first instance (see also Section F Role of Chair) and subsequently the members of the relevant Panel/PAC. Panel/PAC reports (and alternative output, see P) should be factual and based  on  evidence  received.  They  should  not  contain  members'  subjective observations or criticisms and avoid political and personal agendas.
91. In order to ensure that the evidence received is fairly and accurately reported, once it has considered and approved the body of a draft Panel/PAC report the Panel/PAC will circulate relevant draft sections of the report to all witnesses and allow up to five working days for comment in advance of finalising the report. Normally these draft sections  will  be  factual  or  descriptive  passages  and  will  not  include  findings  or recommendations. This process is intended to apply to reports in the S.R./PAC series and is therefore optional for Panels in respect of Comments papers.
92. The Panels/PAC will carefully consider the comments received from all witnesses but retain discretion in determining any amendments to the main body of the draft report.
93. Panel/PAC members' prime focus will be on the formulation of their findings and recommendations based on the evidence received. These should also not contain subjective criticism and avoid personal and political agendas.
94. Once the Panels/PAC have finalised and approved their report it will be formally presented to the States for information in a specific series of reports for Scrutiny/PAC. The report, together with its findings and recommendations, remains confidential to the Panel/PAC until it has been presented. Comments should be presented to the States in accordance with Standing Orders.
95. In addition to States Members, the Panels/PAC may decide to release an advance copy of the report/Comments under embargo to principal witnesses and to the media in order that they might prepare appropriate news coverage. Particularly in the case of reports, as part of their public engagement strategy the Panels/PAC may decide to arrange a media and/or public launch event at the time of publication, led by the Chair (or another member as delegated).
96. A copy of the report will be sent, on publication, to all witnesses.

18. Report Follow up

97. Panels/PAC will endeavour to ensure that all reviews are appropriately followed up. Upon publication of the report or Ministerial Response, Committee and Panel Officers will recommend to Panels/PAC an appropriate course of action for follow up, the initial phase of which should commonly be undertaken within 3-6 months of Panel reports.

The Committee and Panel Officer will implement the necessary arrangements as agreed by the Panel/PAC.

19. Legal Advice  

98. There would be significant cost to the public if Scrutiny Panels/PAC engaged external lawyers on a regular basis. Accordingly, where possible, Scrutiny Panels and the PAC should seek advice from the Law Officers' Department. The Law Officers' Department gives independent advice and can provide legal advice to Scrutiny Panels and to Ministers/Accounting Officers and does so. If the Law Officers' Department is required to advise more than one party on the same set of facts then they will do so on a consistent basis and subject to confidentiality.
99. In addition to any preliminary discussion a Panel/PAC may request on a matter under its consideration, a Scrutiny Panel/PAC can request legal advice from the LOD by emailing the Attorney General, Solicitor General or the Director of the Civil Division. The request should include a summary of the background to the request and enclose any relevant documents. The request should specify the questions in relation to which advice is sought and set out the timescale for the Review being undertaken.

100.The  Law  Officers'  Department  will  respond  within  five  working  days  indicating

whether it can advise and if so by when. If the Law Officers' Department cannot advise for any reason then it may assist the Panel in obtaining legal advice from a lawyer  in  private  practice  to ensure that best value and the correct expertise is obtained. When a Scrutiny Panel/PAC takes advice from a private sector lawyer, it is desirable that it should consider disclosing that advice to the Law Officers in order that any potential disagreement about what the law is can be identified and so that, in the event of such disagreement, discussions where appropriate can take place between the Panel/PAC and the Law Officers so as to minimise any potential difficulties for States Members.

101.It is recognised by the States and the Law Officers that the process of seeking and

taking legal advice from the Law Officers is confidential. There are three primary underlying reasons for this –

1. to  ensure  that  there  is  no  damage  done  to  the  public  interest  by  the publication of legal advice given by Law Officers; publication of such advice would risk politicising the Law Officers' Department and would inhibit the Law Officers from giving frank advice;
2. to ensure that there is no inhibition on the part of Scrutiny Panels or the PAC in taking advice for fear of its publication. It is in the public interest that decisions are taken on a correct legal basis and that adequate confidential legal advice is obtained to assist;
3. to ensure that there is no inhibition on the part of the Law Officers or lawyers within their Department in giving full and frank advice on all the matters which are raised with the Law Officers or one of the Departmental lawyers for advice, or which the Law Officers or the advising lawyer consider should reasonably be volunteered to Scrutiny, the Panels or PAC for consideration; and to ensure that the Scrutiny Panels make full disclosure of all material relevant to the advice sought to the Law Officer.

102.It is recognised that the same principles apply in respect of advice given by the Law

Officers  to  Ministers  and  their Departments. A Scrutiny Panel/PAC (including its officials) will not publish:

1. The fact that legal advice has been sought.
2. The facts which have been given to the Law Officers for the purposes of taking advice.
3. The  legal  advice  which  has  been  given  to  the  Panel/PAC  on  the  facts presented to the Law Officers.

103. This does not prevent a Panel/PAC making a statement in a Report to the States as

to what in its opinion the law is, or as to what its understanding is of the legal basis of  the  policy  followed  or  decision taken. If the Law Officers' Department has advised a Panel/PAC, the Law Officers' Department will be provided with a draft copy  of  the  Review  to  ensure  confidentiality  regarding  legal advice has been maintained.

104. Panels/PAC should be careful to ensure that their reports do not suggest that any

conclusion or statement has been endorsed by the Law Officers.

105. Scrutiny Panels/PAC and the Law Officers recognise that, in exceptional cases, the

public interest, which is both different from and wider than the political interests of the Panels/PAC and the professional interests of the Law Officers, may override the other public interest factors set out above, and make it desirable that the legal advice given to Scrutiny Panels/PAC is published. In such circumstances the prior written permission of the Attorney General must be obtained before publication.

20. PAC: Standalone Proceedings (see also Appendix B)

106. In general, the operational approach of the PAC will reflect that adopted by the

Scrutiny Panels. This section addresses those matters that apply only to the PAC.

107. The PAC considers how government policy is implemented and the resources used

in the execution of government policy. It does not consider the merits of policy objectives.

The Committee will be comprised of at least 4 members, 50% of whom shall be elected States Members and 50% shall be independent, non-elected members of the public. Where possible the independent members of the PAC should represent different areas of expertise. Non-elected members are recruited through a process that  is  consistent  with  the  principles  and  guidelines  established  by  the  Jersey Appointments Commission, and which includes compliance with the requirements established by Appendix B of this Code.

Relationship with Comptroller and Auditor General (C&AG')

108. The PAC and the C&AG are both independent, answerable only to the States

Assembly. The C&AG has a statutory duty to liaise with the PAC and will attend all meetings of the PAC. It is essential that the PAC and C&AG should work together whilst remembering that neither shall dictate to the other.

109. Administrative  liaison between the PAC and the C&AG will be handled by the

Scrutiny section of the States Greffe. Meetings will be scheduled in conjunction with the C&AG.

110. It  is  unlikely,  although  permissible,  that  the  PAC  will  require  expert  external

witnesses or to commission external expert advice, as technical input will normally be supplied by the C&AG. Such circumstances would be exceptional and should be first discussed with the C&AG.

111. The C&AG will liaise with PAC on the development, delivery of and changes to the

Audit Plan set out in the Code of Audit Practice presented to the States Assembly. This Plan will form the basis of the majority of the PAC's work.

112. The C&AG has agreed to inform PAC members of the publication of a report from

the C&AG seven days prior to its publication. The C&AG may discuss reports prior to circulation with the Chair.

113. Copies of all C&AG reports will be made available to PAC members at the same

time as other States Members and the media.

114. The C&AG will be notified of all media releases to be issued by the PAC prior to

their wider distribution.

Review Topic Selection

115. The PAC's primary role is to receive reports from the C&AG and to report to the

States upon any significant issues arising therefrom. It should also assess whether public  funds  have  been  applied  for  the  purpose  intended  by  the  States,  and examine whether extravagance and waste are being eradicated and sound financial practices applied throughout the administrations of the States.

116. In developing a balanced programme of Review topics, the PAC will ordinarily

prioritise the consideration of reports presented to the States by the C&AG. The PAC will also request an Executive Response from the relevant Department(s) on all C&AG reports and subsequently present that response to the States.

117. Notwithstanding the prioritisation of C&AG reports, the PAC reserves the right to

commence a Review concerning any topic that falls within its terms of reference as defined in Standing Orders, irrespective of whether the topic has been the subject of a report to the States by the C&AG.

21. Resources and work of the Scrutiny unit of the States Greffe

118. The main remit of the Scrutiny unit, based in the Committees and Panels section of

the States Greffe, is to provide an impartial and independent service to the Scrutiny Liaison Committee, the Scrutiny Panels and the PAC.

119. The  Assistant  Greffier  (Committees  and  Panels)  is  appointed  to  manage  and oversee the section, including Officer resource allocation to Panels/PAC. Each of

the Panels/PAC will be provided with executive and administrative support by one or more Committee and Panel Officers, supported by a Research and Project Officer  and  Communications  Officer  as  directed  by  the  Assistant  Greffier (Committees and Panels). The post-holder will also provide an executive support function to the Scrutiny Liaison Committee.

120. Committee and Panel Officers will work both pro-actively and responsively to the

requirements of the Panel/PAC, working particularly closely with the Chair to fulfil agreed  Panel/PAC  actions  and  assisting  the  Chair  to  carry  out  of  their responsibilities. The role of the supporting Officers includes:

• obtaining and collating information, documents, written and verbal reports and other appropriate information or evidence relevant to the issue under scrutiny and processing such information in accordance with data protection legislation

• undertaking research

• identifying  and  obtaining  additional  appropriate  professional  and  technical information, including expert witnesses or advisers, when necessary

• advising  on  States  approved  procedures  and  protocols  and  processes  for conducting scrutiny reviews

• preparing briefing papers on matters arising

• providing executive and administrative support

• arranging, attending and recording meetings and hearings

• liaising  with  witnesses  regarding  submission  of  evidence,  transcripts  and representation of their views by the Panel/PAC

• drafting,  amongst  other  material:  reports,  comments,  amendments, propositions,  States  questions,  answers  to  States  questions,  Chair's Statements to the Assembly, speeches and public hearing question plans for consideration by the Panel/PAC

• proposing a strategy for Panels/PAC to follow up report recommendations, and administering the implementation of the agreed actions

• liaising  with  ministerial  departments,  other  non-executive  governmental organisations,  media,  pressure  groups,  stakeholders  and  other  relevant external bodies

• ensuring  that  the  scrutiny  section  of  the  States  Assembly  website is fully updated

• proposing  public  engagement/communications  strategies  for  Reviews  and other  Panel/PAC  work,  preparing  media  releases  and  other  promotional material and undertaking social media activity as agreed in such strategies

22. Compliance

121. Any  alleged  infringements  of  this  Scrutiny/PAC  Proceedings  Code  should  be

reported  to  the  Scrutiny  Liaison  Committee,  which  will  seek  to  determine  an appropriate course of action.

122. The Scrutiny Liaison Committee might write to the relevant Member/individual/other

entity detailing the alleged infringement and invite them to a meeting to discuss the matter or provide a written response.

123. If a Member/individual/other entity accepts responsibility for an infringement, the

Committee will determine an outcome. Actions available to the Scrutiny Liaison Committee  might  include  formally  recording  a  finding  that  the  Scrutiny/PAC Proceedings  Code  has  been  breached  and  the  issuing  of  a  verbal  or  written reprimand and/or in the case of Members, advice as to future conduct. The precise action taken will be dependent on the facts and seriousness of the infringement. The format of publication, where appropriate, of the outcome of such processes, will be agreed in consultation with the Member/individual/other entity concerned.

124. Where  an  alleged  infringement,  or  outcome,  is  not  accepted  by  a

Member/individual/other  entity,  the  Scrutiny  Liaison  Committee  will  consider whether any further action is required. If so, in such circumstances it may refer the matter to PPC/Commissioner for Standards.

125. At any stage of the process, either the Member/individual/other entity alleged to be

responsible for an infringement, or the Scrutiny Liaison Committee, can request the matter be referred to PPC/Commissioner for Standards. Furthermore, reference of the  matter  to  the  Scrutiny  Liaison  Committee  does  not  prevent  PPC  or  the Commissioner  for  Standards  from  taking  up  a  complaint,  nor  another Member/individual/other  entity  referring  the  matter  directly  to  those  bodies  as appropriate.

126. The Scrutiny Liaison Committee reserves the right established by Standing Orders

to seek alternative remedy via the States Assembly.

Advisory Notes for Chairs regarding options for dealing with alleged infringements of the Protocol for Engagement Between Scrutiny Panels/PAC and the Executive

The following paragraphs are intended as guidance only to Chairs of Panels/PAC and the Scrutiny Liaison Committee in the event of a dispute or disagreement with any person engaging with Scrutiny or Scrutiny Panel Members in respect of the Code of Practice for Engagement  Between  Scrutiny  Panels  and  the  Public  Accounts  Committee'  and  the Executive'. The guidance is not intended to be exhaustive and Chairs and the Scrutiny Liaison Committee retain discretion to deal with matters as they consider fit having regard to all relevant circumstances.

This guidance is intended:

1. To  assist  Chairs  in  determining  reasonable  and  proportionate  steps  to  take  in resolving disputes or tackling instances of non-co-operation
2. To foster a consistent and unified approach from Scrutiny Chairs where appropriate
3. To  demonstrate  the  collective  intent  of  Scrutiny  in  having  a  fair  and  robust accountability mechanism

Possible courses of action, in no particular order of priority and dependent on the status (e.g. Member/individual/other entity etc) of the subject of the alleged infringement, might include:

• a  private  discussion;  private  correspondence;  public  correspondence;  arranging attendance at a Panel or Committee meeting (the outcome of which may or may not be minuted); arranging attendance at a public hearing

• reference to the Scrutiny Liaison Committee; request to President of the Scrutiny Liaison  Committee  to  raise  the  matter with the Chief Minister; reference to the Privileges and Procedures Committee and/or Commissioner for Standards; mediation by an independent mediator

• Statement to the States Assembly; Censure motion; Vote of no confidence

B1

Lay Members of the Public Accounts Committee Code of Conduct

The purpose of this code is to establish the standards expected from those who are appointed by the States Assembly to serve the public of Jersey as lay members (i.e. not elected States Members) of the Public Accounts Committee (PAC). It complements the required approach to operational matters of the PAC as prescribed by the  Scrutiny and Public Accounts Committee Proceedings: Code of Practice.

Compliance with this code is compulsory, and acceptance of its terms during the selection process is a condition of an individual's subsequent nomination. Appointees are deemed signatories of the code upon appointment. It is the responsibility of all appointees to ensure that they are familiar and comply with its provisions. Any upheld breach should be viewed as a significant indiscretion.

1. General: The Seven Principles of Public Life

Lay members of the PAC are expected to observe the Nolan Principles' that underpin the ethical standards expected of public office holders. These are:

• Selflessness

Holders of public office should act solely in terms of the public interest.

• Integrity

Holders of public office must avoid placing themselves under any obligation to people or organisations that might try inappropriately to influence them in their work. They should not act or take decisions in order to gain financial or other material benefits for themselves, their family, or their friends. They must declare and resolve any interests and relationships.

• Objectivity

Holders of public office must act and take decisions impartially, fairly and on merit, using the best evidence and without discrimination or bias.

• Accountability

Holders of public office are accountable to the public for their decisions and actions and must submit themselves to the scrutiny necessary to ensure this.

• Openness

Holders of public office should act and take decisions in an open and transparent manner. Information should not be withheld from the public unless there are clear and lawful reasons for so doing.

• Honesty

Holders of public office should be truthful.

• Leadership

Holders of public office should exhibit these principles in their own behaviour. They should actively promote and robustly support the principles and be willing to challenge poor behaviour wherever it occurs.

2. Political Activity

In this role the lay member must be, and seen to be, politically impartial. The member must maintain discretion on matters relating to the work of PAC and recognise that certain political activities could be incompatible with their membership. Political statements should not be made, nor political activity undertaken, on issues that are of direct relevance to the work of PAC.

The lay member will not hold a high-profile (or paid) post in a political party. They are expected to refrain from prominent or controversial political activity, abstain from creating traditional or e-petitions and should not stand for election while in post (he or she will resign before doing so).

The Chair of PAC should be consulted before undertaking any other political activity. Subject to this and the above context, the member can engage in political activity, whist remaining mindful of their responsibilities and obligations as a PAC member.

In the event of there being doubt as to whether this aspect of the Code has been or might be engaged, the Chair of PAC must be consulted.

3. Responsibilities towards employees

Lay members of PAC will treat all public sector staff with respect and courtesy, in the same way that it is expected that employees' behaviour will reflect the very same standards.

They will not in any way request or induce employees to act in a way that would conflict with the terms and conditions of their employment.

4. Social Media

In adhering to all parts of this code, as a public forum the same considerations apply to social media as they would to speaking in public or writing material for publication. This is irrespective of using any such platform in a personal or official capacity.

Where any personal social media accounts used by the lay member make reference or connection to their role on PAC, the lay member must take care to ensure that it is clear what capacity it is that they are acting in.

When  engaging  on  social  media  platforms  the  lay  member  should  at  all  times  respect  all confidentiality that applies to any of the information being referenced.

5. Conflicts of Interest

When considering applying, and if accepting to be proposed, for appointment by the States Assembly to PAC, an individual should consider if any conflicts of interest arise (direct/indirect/perceived) from their private interests or by virtue of any other roles held.

At either stage advice should be sought from the Greffier of the States and any such actual or potential conflicts raised. Where conflicts of interest are identified, agreement should be made with the Greffier and the Chair of PAC on the appropriate management of the conflict and/or course of action.

The lay member must ensure that no subsequent conflict arises, or could reasonably be perceived to do so, between their public duties and private interests, financial or otherwise.

The lay member must be transparent on such matters at all times. They must comply with the rules regarding the declaration of interests governing the PAC, as set out in section J of the Scrutiny and PAC Committee Proceedings: Code of Practice on handling conflicts of interests.

6. Use of information

Lay members must be mindful that confidential information received in the course of the Committee's work should only be used in connection with that role.

Information  received  in  this  capacity  must  never  be  used  for  the  purpose  of  financial  gain. Furthermore, it should not in any way be used in their own personal interest or that of their families or friends.

The member should not disclose publicly, or to any third party, personal information about named individuals which they receive in the course of their role. The members must at all times have regard to all relevant  statutory obligations (including  data protection/privacy, financial and  human rights legislation)  when  dealing  with  confidential  information  and  be  aware  of  the  consequences  of breaching confidentiality.

These responsibilities continue to apply after they have left the Committee.

7. Gifts and Hospitality

PAC's  lay  members  should  not  accept  gifts  (directly  or  indirectly  through  family  and friends), hospitality or services that might appear to place them under any form of obligation to the giver, or be seen to compromise their personal judgement or integrity.

They will not seek gifts or hospitality, but if receiving them the member should ensure that this could not bring the PAC into disrepute. They should consider whether they would be prepared to justify acceptance to the public.

8. Miscellaneous Responsibilities

Appointees should:

• play a full and active role in the work of PAC, undertaking the role responsibly, acting in good faith and in the best interests of PAC

• promote  an  inclusive  and  diverse  culture  and  environment  around  PAC  where  different perspectives and backgrounds are welcomed. Harassment, bullying, acting inappropriately towards or discrimination towards any person is unacceptable

• deal with officials, the  public and other stakeholders professionally, fairly and efficiently, avoiding  acting  in  a  way  that  unjustifiably  favours  or  discriminates  against  particular

individuals or interests

• fulfil effectively any statutory or administrative requirements relating to their position

• inform the Chair of PAC and the Greffier of the States of any bankruptcy, current police investigation, unspent criminal conviction or disqualification as a company director in advance of proposed appointment, or should any such instances occur during the appointment

9. Concerns about breaches of the Code

If an appointee or any other person has a concern about a possible breach of this code it should be raised with the Chair of PAC and/or the Greffier of the States. The Greffier will investigate any allegation of a breach of the code and report their findings to the PAC Chair who has the right to raise the matter with the full Committee. The Committee has the option of publishing a report on the matter, of inviting the lay member to consider their position and, ultimately, bringing a proposition to dismiss the lay member.

B2 – Conflicts of Interest (application process declaration) Lay members of the Public Accounts Committee (PAC)

This appointment requires the highest standards of propriety, involving as it does impartiality, integrity and objectivity in relation to the scrutiny of public funds and public sector governance frameworks. It is important, therefore, that you consider your circumstances when applying for this appointment and identify  any  potential  conflicts  of  interest,  whether real or perceived. This includes any private, voluntary or charitable interest which might be material and relevant to the work of PAC should be declared.

There is a requirement to declare below any actual, potential or perceived conflict of interest you may have in being appointed. Any such conflict of interest will be fully explored by the selection Panel prior to appointment.

Potential or actual conflicts of interest arising after appointment must be managed in accordance with the  Lay Members of the Public Accounts Committee: Code of Conduct and the provisions of the Scrutiny and Public Accounts Committee Proceedings: Code of Conduct.

Position applied for: Lay member of PAC

Name:

Declaration:

B3 – Political Activity (application process questionnaire) Lay members of the Public Accounts Committee (PAC)

Lay members need to show political impartiality during their time on the Committee and should not, during their term of office, undertake any political activity as outlined in the Lay Members of the Public Accounts Committee: Code of Conduct.

It is appreciated that some candidates may well have undertaken political activity in earlier periods. The political activity questionnaire will only be seen by the selection panel prior to interview, at which stage the panel may explore any such activity with candidates.

Please indicate which of the following activities you have undertaken during the past five years by ticking the appropriate box and by providing details of your involvement. Name the individual, party or body for which you have been active. If you have sought or obtained a position as a representative of a particular public/industry interest group, you should state this.

Name of applicant:

Please tick all relevant categories

Name of Member/Party for which activity undertaken:  

Note: this questionnaire is strictly for the use of the selection panel only, to inform shortlisting and interview discussions.

Political activity, potential or actual, arising after appointment must be managed in accordance with the Lay Members of the Public Accounts Committee: Code of Conduct and the provisions of the Scrutiny and Public Accounts Committee Proceedings: Code of Conduct.