in Public Life in Scotland
Minutes of the
Meeting of the Management Team
held on
14 October 2015 from 14.00 to 16.00
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)
David Sillars, Senior Investigating Officer, (DS)
Apologies:
Brenda McKinney, Investigations Manager, (BM)
From today, HH and BM will alternate attendance at this meeting.
1. MINUTES
1.1. Approval of previous minutes
Decisions
i. The minutes of the meeting held on 19 August 2015 were approved.
1.2. Matters arising
All actions were completed except for the following:
Actions
i. KE to develop web templates and arrange online publication of FOI and consultation responses.
ii. KE to respond formally to Audit Scotland regarding a protocol.
iii. KE to review the financial information published by the SPCB and the Scottish Information Commissioner with a view to the Commissioner regularly publishing this information.
2. POLICIES AND PLANS
2.1. Governance matters
· The meeting reviewed the risk register and agreed updates to current risks. The meeting agreed that no significant new risks had arisen.
Actions
i. KE to update risk register as agreed and circulate, indicating where further input is required.
Commissioner for Ethical Standards in Public Life in ScotlandThistle House 91 Haymarket Terrace Edinburgh EH12 5HE
T: 0300 011 0550 E: W: www.ethicalstandards.org.uk / Page 8 of 8
2.2. Policies
· An update of the policies currently under review was circulated and the meeting identified the remaining policies to be reviewed by March 2016.
Actions
i. Appendix 1 lists the policies and actions.
2.3. Strategic Plan and Business Plan
· Public appointments report
o Currently 42 appointment rounds underway
o 12 rounds for bodies sponsored by the Learning and Justice Directorate are piloting ‘early planning’ activity
o Majority of new rounds are assigned as High or Medium level oversight, many at the request of the SG, resulting in increased PAA involvement.
o 165 enquiries received in year to date
o 3 complaints received – all outwith jurisdiction
o PAA tender concluded successfully with five new PAAs contracted
o Annual reviews for existing PAAs currently underway
o Second biannual joint PAA and SG PAT meeting scheduled
o BT and IB contributed to review of English public appointments system and are meeting with those responsible for managing public appointments in Ireland.
· Public standards report
o 49 cases regarding councillors and members currently underway
o 60 cases received regarding councillors and members in April to September (46 in 2014/15)
o Two hearings scheduled
o 17 cases regarding MSPs received
o The previous one MSP breach reported to SPPA has been considered and upheld
o The majority of complaints are from members of the public
o Small increase in cases about members of public bodies
o Standard letters have been revised
o A draft feedback survey is being developed.
· The meeting reviewed the latest version of the Strategic Plan for 2016-20. Only minor amendments are required. The plan will be issued for consultation by the end of October.
· The meeting reviewed progress on the business plan for 2015/16. The following updates were agreed:
o SO1-A(v) – revise due dates to ‘Within 3 weeks’
o SO1-A(ix) – remove
o SO1-C1(i) – HH to review due date
o SO1-C2(i)and(ii) – HH to review due date
o SO2-C1(i) – moved action to 2016/17
o SO2-E2(ii) – amend to reflect joint PAA/SG PAT biannual meetings
o SO3-B(iii) – BT/KE/HH to review due date
o SO3-B(viii) – revise due date to October 2015
o SO3-B(xvii) – revise due date to November 2015
o SO3-D(iv) – HH/BM to review due date
o SO3-D(v) – BT/KE to review due date.
Actions
i. KE to prepare typeset version of the strategic plan. BT to review and decide distribution list and consultation period. KE to distribute.
ii. Management Team members to review and implement business plan actions listed above.
2.4. Continuous improvement
· Three external consultations are under consideration.
· No complaints about the Commissioner’s work were received since the previous meeting. All previous complaints are closed.
· Responded to 6 FOI requests and two are awaiting a response. Trend is for multiple issues to be raised in same request e.g. FOI, post decision complaint, new evidence, request for comments, possible Subject Access Request (SAR).
· In light of ICO survey, KE raised concerns about retention periods for complainant’s personal information.
Actions
i. DS to prepare a response to the SG consultation on Codes of Conduct for Integration Joint Boards (9 November)
ii. KE to prepare a response to the Audit Scotland consultation on its Code of Audit Practice (3 December)
iii. IB to prepare a response to the SPSO consultation on its Strategic Plan for 2016-20 (18 December)
iv. KE to continue to develop procedures for managing multiple issue FOI request and to consider how best to identify a SAR.
v. KE to add review of retention periods for complainant’s personal data to the agenda for the next meeting.
3. RESOURCES AND PERFORMANCE
3.1. Finance
· The budget for 2015/16 is £811,000. IO costs are currently 34% over-budget. A significant overspend is likely if IO activity continues at this level. Contingency funding has already been raised with the SPCB.
· Budget bid of £812,000 for 2016/17 has been submitted to the SPCB.
3.2. Staffing
· The Casework Team are shadowing the work of the Investigations Managers to allow for cover during periods of leave.
· Induction of the newly appointed IOs is progressing with all three being assigned their own cases.
3.3. Accommodation
· No matters raised
3.4. IT
· Development of replacement conduct complaints database
o Assistance from the Office of the Chief Information Officer was very valuable and resulted in a detailed specification for the current system and procedures. HH to finalise the OCIO report.
o HH to develop a specification for the replacement system. This will form the basis of the tender.
o The timescale for replacement must be revised.
· Improving remote access. Remote access to the server is unreliable and slow. Tests of MS Sharepoint as a solution are underway. Sharepoint access was given to four onsite staff members and two IOs. KE is awaiting feedback. KE’s own testing indicates basic training on Sharepoint is required.
· Tendering for IT support. KE aims to have a tender document prepared for November 2015.
· Improving the website. The website contractor has carried out an audit of the Commissioner’s website and made a number of recommendations.
o Two minor, immediate amendments are required. Sufficient funds are available for these to be carried out immediately.
o The website requires an update to make it mobile device friendly. Analysis indicates that visitors are leaving the site due to this issue. No budget for this work is currently available. KE will review and ascertain if any work can begin in 2015/16.
o The contractor has also supplied a quote for merging the current three websites into a single site. This will form part of the Strategic Plan for 2016-20.
Decisions
i. HH and BT to discuss a revised timescale and method for developing the complaints database specification and tender. BT and HH to consider appointing an independent member with IT expertise to the tender evaluation panel.
ii. KE to arrange for DS to test Sharepoint.
iii. KE to investigate Sharepoint training courses.
iv. KE to consider Audit Scotland recommendations when developing IT support tender. Tender due in November 2015
v. KE to proceed with minor updates to the website.
vi. KE to investigate further the requirements for a mobile device friendly website.
3.5. Other active projects
· The annual report for 2014/15 was laid before the Scottish Parliament, published and issued to 430 individuals and organisations on 17 September 2015.
· The tender for legal services has been drafted. BT, DS and KE meeting on 21 October to discuss.
· The Records Management Plan has been drafted. Most elements complete. Four key actions required prior to submission:
o Minor changes to Management Rules
o Updating Records Management Policy
o Archive agreement with National Records of Scotland
o Confidential destruction details added to MOTO with SLAB
The meeting agreed to rename the ‘Folder Structure’ as ‘File Plan’ and that BT and KE finalise the RMP without further reference to this meeting.
· KE reminded the meeting that records managers should review their records every six months to ensure the file plan is accurate and that records are deleted in line with the retention schedule and recorded in the destruction log.
· Meeting dates for the coming year were agreed.
Decisions
i. KE to rename the ‘Folder Structure’ to ‘File Plan’.
ii. BT and KE to finalise the Records Management Plan.
iii. Records managers will update the next meeting about their review of records.
iv. Management Team members to review dates below and confirm availability to KE.
4. AOB
· No matters were raised
5. FUTURE MEETINGS
· 10.00 on Wednesday, 9 December 2015 (BM)
· 10.00 on Wednesday, 10 February 2016 (HH) (replaces 3 Feb)
· 10.00 on Wednesday, 13 April 2016 (BM) (replaces 30 March)
· 10.00 on Wednesday, 15 June 2016 (HH)
· 10.00 on Wednesday, 17 August 2016 (BM)
· 10.00 on Wednesday, 19 October 2016 (HH)
· 10.00 on Tuesday, 13 December 2016 (BM)
· 10.00 on Wednesday, 15 February 2017 (HH)
· 10.00 on Wednesday, 12 April 2017 (BM)
9 December 2015
Chair of meeting Date of Approval
Bill Thomson, Commissioner for
Ethical Standards in Public Life in Scotland
Commissioner for Ethical Standards in Public Life in ScotlandThistle House 91 Haymarket Terrace Edinburgh EH12 5HE
T: 0300 011 0550 E: W: www.ethicalstandards.org.uk / Page 8 of 8
APPENDIX 1
- Suggested amendments have been made to the following policies and all members of the Management Team have commented on those amendments. Those highlighted in orange are referred to in the PAA service level agreements and should be prioritised given that SLAs for new PAAs have been issued and the policies will be discussed during their induction. BT to review comments and finalise by end of October. KE to circulate to staff and publish.
Policy / Review Date
Confidentiality / 28-02-15
Equal Opps / 28-02-15
Code of Conduct / 31-05-15
Display Screen Equipment / 31-01-15
Health & Safety / 31-01-15
Attendance / 28-02-15
Grievance / 28-02-15
Holidays and Annual Leave / 28-02-15
2. KE to review BT’s amendments to the following policies and add PAO to the Scheme of Delegation. BT to review and finalise. KE to circulate to staff and publish.
Policy / Review DateStanding Orders / 31-12-14
Scheme of Delegation / 31-03-15
3. KE to prepare an updated draft of the Disciplinary Policy in order to better reflect the differences between conduct and performance and circulate to the Management Team for comment.
Policy / Review DateDisciplinary / 28-02-15
4. KE to discuss with MS whether, following revision of the Performance Management System, a separate policy is required. KE and MS to update or delete as appropriate.
Policy / Review DatePerformance Management Policy / 30-11-13
5. BT has commented on the current draft. KE is to review and develop a further draft. The meeting agreed that BT and KE finalise the RMP without further reference to the MTM.
Policy / Review DateRecords Management Plan / 31-12-15
6. KE to draft and BT to review. No further reference to MTM.
Policy / Review DatePensions Admin Instructions / 31-03-15
7. BT to review. Depending on the scope of any amendments, KE to circulate and publish or refer to the Management Team.
Policy / Review DateDeclaration of Interests Form / 31-10-15
8. An updated version of this policy is required for the new PAA service level agreements. KE to update the policy and circulate to BT and IB for agreement by end of October. KE to finalise and publish. IB to circulate to PAAs.
Policy / Review DateOut of Pocket Expenses / 28-02-16
9. HH to invite the Casework Team, as part of their development, to review some or all of the following policies.
Policy / Review DateInternal Recruitment & Promotion / 30-11-15
Special Leave / 30-11-15
Substance Abuse / 30-11-15
10. BT to consider the following policies and review or allocate to Management Team members for review.
Policy / Review DateDignity at Work / 30-11-15
Whistleblowing / 30-11-15
Leaving / 28-02-16
File Plan and Retention Schedule
(previously Folder Structure) / 31-03-16
FoI Policy & Procedures / 31-03-16
11. BT and KE to amend all policy review dates to ensure policy review work is more evenly spread across the year(s).
12. KE to consider the impact of the new ROPSI regulations and prepare a new policy as required.
13. IB and MS to review the PAA Records Management Policy. BT to approve and finalise. IB to circulate to PAAs and publish. No further reference to MTM required.
Commissioner for Ethical Standards in Public Life in ScotlandThistle House 91 Haymarket Terrace Edinburgh EH12 5HE
T: 0300 011 0550 E: W: www.ethicalstandards.org.uk / Page 8 of 8