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| Report of the Consultative Steering Group on the Scottish Parliament |
| SECTION TWO |
| THE KEY PRINCIPLES: PUTTING THEM INTO PRACTICE |
| 1. The background to the establishment of the Consultative Steering Group on the Scottish Parliament is set out in the preceding section and in Annexes A-E. They record how we approached our remit, including details of the wide-ranging consultation exercise which we undertook. This section focuses on the key principles which guided our work and shows how we have sought to give them effect in our recommendations. |
| Key Principles |
| 2. We adopted the following key principles to guide our work: |
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| 3. These key principles were an invaluable benchmark against which to test our emerging conclusions. They also served as a basis for the consultation exercise and have been broadly welcomed and accepted by the wide range of bodies and individuals who have responded to us. We invite the Scottish Parliament to endorse them, to stand as a symbol of what the Scottish people may reasonably expect from their elected representatives. |
| 4. These key principles and our recommendations are also designed to achieve the Parliament envisaged by the Scottish Constitutional Convention, in the Government's White Paper "Scotland's Parliament" and provided for in the Scotland Act 1998 (referred to throughout as the Scotland Act). They aim to provide an open, accessible and, above all, participative Parliament, which will take a proactive approach to engaging with the Scottish people - in particular those groups traditionally excluded from the democratic process. To achieve this the Scottish Parliament must avoid adopting procedures which are obscure or archaic. It should adopt procedures and practices that people will understand, that will engage their interest, and that will encourage them to obtain information and exchange views. We have detected a great deal of cynicism about and disillusionment with the democratic process; it will require an effort both from the Parliament itself and from the people with whom it interacts to achieve the participative democracy many seek. We firmly believe that the Scottish Parliament should set itself the highest standards. Our key principles are intended to achieve a Parliament whose elected Members the Scottish people will trust and respect, and a Parliament with which they will want to engage. |
| Key Principles into Practice (1): Sharing the Power |
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| 5. There are a number of aspects of Parliamentary business which are relevant to our first key principle. These include the way Parliamentary business is programmed, the role of the Presiding Officer, the role of Committees, the role of civic society and public petitions. |
| The Programming of Parliamentary Business |
| 6. We believe that the arrangements for the programming of business in the Scottish Parliament should be inclusive and transparent, and should provide reasonable time for business initiated by non-Executive parties, by individual Members and by Committees, and for Committee work. We believe that any arrangements for planning the business of the Parliament need to balance the potentially conflicting demands for time in Plenary session and in Committee which will arise. They must: |
| 6.1
recognise the need for the Executive to govern, including
enacting primary and subordinate legislation and
obtaining approval of its expenditure proposals; 6.2 provide Parliament with the time and opportunity to scrutinise the work of the Executive; 6.3 allow for the debate of issues of both national and local interest; 6.4 enable individual Members to raise matters of concern and introduce proposals for legislation; 6.5 allow sufficient time for Committees to carry out their work. |
| 7. We therefore support the model used in many Parliaments in Europe and beyond whereby the business of the Parliament is planned in a Business Committee, chaired by the Presiding Officer, comprising representatives of the political groups, to develop in a transparent, and, insofar as possible, consensual, way proposals for the programme of business of the Parliament. Our detailed recommendations are set out in section 3.3. |
| The Role of the Presiding Officer |
| 8. We have given considerable thought to the role of the Presiding Officer, as this will be a key post in the Scottish Parliament. We believe that the Presiding Officer must be able to command the respect of the whole Parliament. The Presiding Officer's authority must be respected at all times to preserve the dignity of the Parliament and the integrity of the Office. In addition to the functions prescribed in the Scotland Act, we propose a number of other functions which, taken together, will mean that the Presiding Officer will, in performing his or her role, have considerable influence on the operation of the Parliament and on the way the Parliament is perceived. To achieve and maintain that respect, it is essential that the Presiding Officer acts, and is seen to act, even-handedly, with impartiality and protecting the rights of all MSPs. The need to preserve impartiality has implications for the extent to which the Presiding Officer, and his/her Deputies, should be allowed to participate in the proceedings of the Parliament. Our detailed recommendations are set out in section 3.2. |
| Sharing the Power: the Role of Parliamentary Committees |
| 9. The White Paper "Scotland's Parliament" signalled the Government's intention that Committees would have an important role to play in the work of the Parliament. It envisaged that these Committees might, for example, initiate legislation, scrutinise and amend the Scottish Executive's proposals, and have wide-ranging investigative functions. Such a role for the Committees would ensure that the legislative and policy proposals of the Executive would receive appropriate scrutiny. The White Paper also indicated that the Committees might meet from time-to-time at locations throughout Scotland so that people in all parts of Scotland could see how their Parliamentarians worked and interact with them. It was against this background, and the background of the Scottish Constitutional Convention's proposals for a Scottish Parliament with a strong Committee structure, that we conducted our deliberations. |
| 10. We propose that the Scottish Parliament should have the capacity in Committees: |
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| 11. In all cases, Committees should report to the Parliament with recommendations. |
| 12. There are a few Committees which Standing Orders should require to be established, including a Business Committee, an Audit Committee and a Procedures Committee (see section 3.2). Their functions and maximum size should be prescribed in Standing Orders. Beyond that, Standing Orders should set out certain basic criteria for Committees, such as a maximum membership, a quorum and arrangements for deciding membership. |
| 13. On the shape of the Committee structure we recommend that the Scottish Parliament should have all-purpose Committees, combining the Westminster Select and Standing Committee role. This would enable Members to develop an expertise in particular areas and to bring an informed view to the consideration of legislation and scrutiny of the Executive. |
| 14. We believe that the Parliament needs to be able to address cross-cutting issues, and to ensure that matters which cross conventional departmental boundaries are properly handled. We recognise the benefits of a Scottish Parliament structure coinciding with the structure of the Scottish Executive, which would facilitate close scrutiny of Executive actions and in particular of financial matters. We support the proposal made in some submissions to us that the Parliament should be able to establish ad hoc Committees to look at cross-cutting issues as required (public health, social inclusion and environmental sustainability were cited as 3 possible examples). Additionally, Committees should be empowered to conduct joint meetings and inquiries. |
| 15. We considered the model of the reporter (or "rapporteur") used in many continental Parliaments. The reporter shares with the Committee Convener the responsibility for supervising the progress of deliberations on a particular issue, drawing up the results of deliberations on the topic in question and preparing the Committee's report to the Plenary. The role of the reporter is essentially a political one, with the reporter leading the Committee's discussions and identifying the key issues which need to be considered. |
| 16. We concluded that Standing Orders should be left sufficiently broad to allow, but not compel, Committees to appoint a reporter who might fulfil a similar role in the Scottish Parliament, both in respect of consideration of Bills, and in respect of Committee inquiries. We recommend (section 3.2) that Committees should be encouraged to appoint reporters, who, among other things, would act as a focal point for interest groups and individuals who wish to make representations to the Committee, and who would seek to identify consensus. |
| Sharing the Power: the Role of Civic Society |
| 17. Power-sharing is not only about the balance of power between the Scottish Executive and the Scottish Parliament, but also about the empowerment of external groups and individuals in all sectors of Scottish society. |
| 18. An important section of our recommendations deals with the policy-making and law-making process. A key feature of the comments made to us was the concern expressed that individuals and organisations find it difficult to inform and influence the policy-making process. In particular in the case of legislation it was felt that the opportunity to influence legislation was limited after it had been introduced; and that the consultation process leading up to the introduction was ineffective, in part because the detailed content of the draft legislation was often not known until a Bill was introduced to Parliament. Our recommendations, therefore, envisage a process which involves genuine participation and consultation led by the Executive with greater use of draft Bills, and with the potential for further evidence-taking by Committees of the Parliament. It will be important for both the Executive and the Parliament to take full account of the views of those most likely to be affected in their consideration of policy or legislative proposals. Our proposals are set out in section 3.5. |
| 19. The development and implementation of legislation needs to take account of the diversity which exists across Scotland. Specifically, we recognise that well intentioned legislation cannot always be implemented in an Islands context without practical difficulties arising. The open and consultative approach of the Parliament (including the use of IT) should enhance the opportunities for any perceived difficulties to be addressed at an early stage. We recommend that Committees engaged in pre-legislative scrutiny should specifically address the issue of implementation in Islands areas and where appropriate make recommendations for suitable amendments or derogations. The Parliament should also consider mechanisms to provide for prompt amendment of legislation, where unforeseen difficulties in implementation emerge in Islands areas. |
| 20. It is important that our proposals for a more open political process are paralleled by the development of appropriate institutions at different levels in Scottish society, to ensure meaningful dialogue between the Parliament and civic society. In this respect, we welcome proposals which were presented to us for a Civic Forum, which would be facilitative, recognise the plurality of voices and groups and take an active role in ensuring the effective involvement of groups traditionally excluded from the decision-making process. We endorse the proposals for a Civic Forum and encourage the proponents of such a Forum to develop the details of the role and funding arrangements for the Forum. We recommend that the Parliament should encourage Scottish civic society through the establishment and work of a Civic Forum and through other imaginative social partnership ventures. We see these as significant means of achieving an accessible Parliament within a participative democracy. Our endorsement of this proposal does not, of course, exclude the use of other means of engaging with the Parliament. It is important also to recognise the plurality of voices which exists in Scottish civic society and the establishment of a Civic Forum would not preclude the development of other social partnership ventures. Details of other means of communicating are outlined in Annex G and we recommend that the Parliament considers how these might best be used to achieve greater public participation. |
| Public Petitions |
| 21. It is important to enable groups and individuals to influence the Parliament's agenda. We looked at a number of models in other Parliaments for handling petitions and concluded that the best of these encouraged petitions; had clear and simple rules as to form and content; and specified clear expectations of how petitions would be handled. |
| 22. It is important to establish a strong system for handling petitions from the outset. We propose the establishment of a dedicated Petitions Committee, our detailed proposals for which are set out in section 3.6. |
| Key Principles into Practice (2): Accountability |
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| Members |
| 23. One of the keys to the success of the Scottish Parliament will be the extent to which its Members embrace the new culture. The Scottish Office is putting in place a wide-ranging induction training programme for MSPs and we believe that it is important that this should include helping MSPs to make the Parliament a success in terms of openness, accessibility and participation and accountability of Members to their constituents. |
| 24. The Scottish people deserve a Parliament and Members they can trust and respect. We were pleased to be invited by the Secretary of State to consider how the highest standards might be achieved in the Scottish Parliament. We recommend a rigorous Code of Conduct for MSPs. Section 3.2 sets out our recommendations for a set of key principles which should govern such a Code: the preparation of detailed proposals for the Code is being taken forward by the Code of Conduct Working Group, and will be the subject of a supplementary report in Spring 1999. |
| Scottish Executive |
| 25. We have been careful to develop procedures designed to ensure that the Scottish Executive is fully accountable to the Scottish Parliament for its actions. Our proposals include a strong role for Committees and a system of Parliamentary Questions, which will enable individual MSPs to address questions to the Executive. Our recommendations are described in section 3.4. |
| Finance |
| 26. The Scottish Parliament should have rigorous financial systems and audit arrangements in place to facilitate proper scrutiny of expenditure of the Scottish Block. Our proposals on the financial arrangements for the Parliament are set out in section 3.4 and Annex I. |
| Europe |
| 27. The Scottish Parliament needs arrangements in place to facilitate proper scrutiny of draft European legislation and other developments in Europe. We propose the establishment of a Committee dedicated to considering European issues, together with a strong role for relevant subject Committees. Our detailed proposals are set out in section 3.4. |
| Key Principles into Practice (3): Access and Participation |
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| 28. Access to the Scottish Parliament is a cornerstone of our recommendations. It has implications for all of the issues we considered and has influenced all of our recommendations. For the Scottish Parliament to deliver a Parliament which will meet the expectations of the Scottish people, a culture of openness and accessibility has to permeate the Parliament, from the way Committees operate (section 3.2), to the provision of information through a professional public information service, the use of IT (section 3.6), the passage of legislation (section 3.5), the planning of the business of the Parliament (section 3.3) etc. Since the Scottish Executive will be responsible for the distribution of most of the Parliament's £15 billion budget and for implementing policies and developing legislation in Scotland, we believe that it is essential that the culture of openness and accessibility is reflected in the working of the Scottish Executive. While our remit is limited to looking at how the Scottish Parliament might operate, it is clear when we consider the responsibilities which lie with the Scottish Executive, that the way it operates will have considerable influence on the way the Scottish Parliament is perceived. Where it has been possible we have addressed this in our recommendations. But we would draw to the attention of the Parliament the considerable pressure which it can, and in our view should, exert to ensure that the Scottish Executive reflects our expectations for the Parliament. |
| 29. We considered 8 key issues related to accessibility and participation. These are: |
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| Consultation Mechanisms |
| 30. We believe that while most consultation mechanisms we have examined are potentially attractive, there will always be need to exercise judgement as to what will be most effective in particular circumstances. It will be important for the Parliament to provide different channels for consultation and to review and assess the effectiveness of particular approaches, some of which are set out in Annex G. |
| Access: Encouraging Wide Participation |
| 31. As noted in paragraph 18, our recommendations include proposals for a pre-legislative, policy development phase. In particular we recommend that Executive Bills should complete a consultative process before being presented to the Parliament. On introduction a Bill should be accompanied by a comprehensive memorandum explaining the nature of the problem it is intended to address, and the strategic approach; the options considered and why the particular option was chosen; the consultative process undertaken; the best estimates of costs and benefits; and other possible matters such as sustainable development, human rights, Islands issues. The Bill on introduction would be considered at first by the relevant Committee, which would consider and report on the general principles of the Bill, to inform a debate and vote on the principles of the Bill in the Plenary session. At this stage the Committee would also be able to comment on the memorandum accompanying the Bill, and could recommend whether further evidence should be taken to inform the detailed consideration of the Bill. Our detailed recommendations are contained in section 3.5. |
| 32. It will also be important to develop a culture of genuine consultation and participation if people in Scotland, particularly those who do not currently engage in the political process, are to be encouraged to participate. This will require not only a degree of education about how groups and individuals might play a role but also a properly developed and resourced system for making issues accessible to non-experts and providing feedback to those who do respond. This applies equally to the Scottish Executive and the Scottish Parliament. |
| 33. To achieve a participative Parliament requires an effort both from the Parliament itself and from the people with whom it interacts. We were interested to note that many responses to our consultation exercise proposed civic education as a means of raising awareness of the democratic process at an early stage. We are pleased to note that the arrangements being put in place for the Parliament include a Parliamentary information centre, with an education centre and education officer. We also understand that The Scottish Office is taking forward arrangements for the preparation of educational material on the Scottish Parliament, informing people about the democratic structures in Scotland. |
| 34. We believe that young people should be given every encouragement and opportunity to make their voices heard. We would strongly encourage schools to make full use of educational material to inform the young people of Scotland about the democratic structures in Scotland, their relevance and their relationship to them. Teachers should be involved in the development of appropriate materials. Thought should also be given to the development of consultative structures both locally and nationally. One of the most exciting aspects of our consultation process was the workshops which we held with young people from around Scotland, organised on our behalf by the Scottish Community Education Council. The suggestions that they made included proposals for a Youth Parliament; a Scottish Parliament which addresses young people's concerns; and the hope that information on the Scottish Parliament would be disseminated through a more imaginative use of media such as television and magazines. We endorse these views, and very much hope that the Parliament will take heed of them. |
| 35. Concern has also been expressed over the negative portrayal of politics by the media. The media has the potential to play an important positive role in explaining how the Parliament operates and helping to facilitate its consultative processes. |
| Access: the Role of Committees |
| 36. The role of Committees in achieving an accessible Parliament is very important. |
| Access: Location of Committees |
| 37. We recognise that the Parliament must be a Parliament for the whole of Scotland - not just for Edinburgh. This was a key concern arising from our consultation exercise. In particular, we realise that it is likely that credence will only be given to this commitment if the Parliament actively involves other areas of Scotland. We propose that Committees should be encouraged to meet and to take evidence outside Edinburgh, particularly when the subject matter might affect people staying in a particular area of Scotland, and that in a number of cases Committees should have their permanent base somewhere other than Edinburgh. |
| Access: the Role of Committees in Gathering Views |
| 38. Committees would be expected to take the views of interested bodies when examining policy matters, conducting inquiries or considering legislation. The precise mechanisms will vary from case to case. This might be facilitated through formal consultation structures associated with each Committee, which would act as a focus for consultation, or through the recognition of particular forums such as a Civic Forum, Business Forum, Transport Forum, Youth Forum. Whichever umbrella organisations were established, it would be important to enable single groups or individuals also to access the Committees. |
| 39. In response to our consultation there was some support for the idea of allowing Committees to establish one or more Expert Panels, of varying duration, in which non-Members could advise on areas in which they hold particular expertise. Advice from the Expert Panels would be considered by the Committee, together with all other views and evidence. Such a system would be similar to the support provided to CSG by the various Expert Panels which we found to work effectively. We recommend that Committees should be empowered to establish such panels. Rules governing appointments to such panels would have to be carefully drawn up, to ensure that appointments were made on merit and reflected a comprehensive range of opinion and expertise. |
| 40. The proposal has also been made that Committees should be able to co-opt non-MSPs as non-voting members so that their expertise can be made available. Whenever appropriate we recommend that Committees should consider this option, and that Standing Orders should permit this. |
| 41. In summary it is clear that there is no single model for consultation, participation and involvement which is appropriate in every case. The Parliament should be invited to encourage its Committees to adopt different mechanisms appropriate to the issue under consideration. |
| Access: Facilitating Transparency |
| 42. In its day to day business, the Parliament should be transparent, modern and adopt simple working practices. We recommend that the Parliament should observe normal business hours, and that proceedings should normally be in public. Members should refer to each other by name. The Parliament should be committed to the use of plain English in its proceedings and its publications. We would also encourage the production of regular information bulletins about the Parliament in English and in other languages in use in Scotland. |
| Access: the Use of Information and Communications Technologies |
| 43. Use of IT and other information media will also be an important factor in ensuring that people all across Scotland are able to gain access to and information on the processes of the Parliament. The Expert Panel on Information and Communications Technologies identified a wide range of exciting options for achieving an accessible, participative Parliament. Our proposals for Information and Communications Technologies are contained in section 3.6; a summary of the recommendations of the ICT Panel's sub-group on democratic participation is set out in Annex J. |
| Access: Providing Information |
| 44. An important part of our deliberations focused on the provision of a Parliamentary information centre. We were impressed by the high quality service provided by the Swedish Parliament, and noted that this was founded upon an Information Strategy which had been endorsed by the Swedish Parliament. Annex F sets out a draft Information Strategy which we would invite the Scottish Parliament to endorse as a blueprint for its own information activities. |
| Access: Physical Accommodation |
| 45. We hope that the physical environment and atmosphere of the Parliament will provide an ethos of public access to and ownership of the Parliament. We suggest that a physical form, such as a touchstone sculpture or object in the Parliament's main public space would provide an appropriate symbol of the people's right of access to the Parliament. |
| Access: Pastoral Issues |
| 46. We welcomed the proposals made to us in a submission by Action of Churches Together in Scotland (ACTS) on the level and nature of pastoral support from an interfaith chaplaincy team which might be provided to MSPs and staff in the Scottish Parliament, including proposals that there should be a regular prayer/other spiritual meditation/reflection period built into the life of the Parliament. We recommend that the Parliament should reach an early view on these issues. |
| Key Principles into Practice (4): Equal Opportunities |
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| 47. Our fourth key principle is that the Scottish Parliament should recognise the need to allow equal opportunities for all. Equal opportunities should be mainstreamed into the work of the Parliament, and through the demands of and scrutiny by the Parliament, into the work of the Executive. Mainstreaming has been defined by the Equal Opportunities Commission as the integration of equal opportunities into all policy development, legislation, implementation, evaluation and review practices (see Annex H). |
| Committees |
| 48. We considered whether Committees of the Scottish Parliament could reasonably be expected to mainstream equal opportunities considerations in all their work, or whether a further mechanism was needed to ensure that such mainstreaming is delivered. We recommend that there should be an Equal Opportunities Committee (see section 3.2) and that an Equality Unit should also be established to provide a focus for these efforts. The role of the Committee would be to act as a catalyst to ensure that, for instance, equality plans and targets are outlined for each Committee and effective monitoring systems are put in place by Committees. Crucially, this would ensure a proper focus on equality issues during the early years of the Parliament's life while the skills and expertise necessary for effective mainstreaming are being developed by all MSPs and officials. To ensure the effectiveness of mainstreaming it will be necessary for all MSPs and for all officials to receive training on equal opportunities with the emphasis on policy appraisal. The aim should be to achieve effective mainstreaming. We believe that an Equal Opportunities Committee has a crucial role to play in ensuring that the Parliament begins operating in a way that will enable it to comply with our important fourth principle. |
| Working Pattern |
| 49. We agreed the following main principles which we believe should govern the working pattern of the Scottish Parliament: |
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| 50. Our proposals for the sitting pattern of the Parliament are set out in section 3.3. |
| Language |
| 51. We believe that it is important for the language used in Parliamentary proceedings and papers to be as simple, clear, inclusive and non-gender specific as possible. This would make an important contribution towards meeting all 4 of our key principles. |
| Self Assessment And Monitoring |
| Measuring Effectiveness |
| 52. The recommendations in this section all flow from our 4 key principles: power-sharing; accountability; access and participation; and equal opportunities which we hope the Parliament will endorse and adopt. We recommend that the Parliament should regularly review its policy and performance against these key principles. We suggest that such reviews should be undertaken at least once during each Parliamentary session; with the end of each Parliament providing a further opportunity to take stock. This might be an appropriate role for the Procedures Committee as it relates to the procedures of the Parliament and how the Parliament interacts with the Scottish people, and for the Equal Opportunities Committee in relation to the implementation of the fourth key principle. |
| Conclusion |
| 53. This section of our report sets out the way in which we believe the Scottish Parliament should operate and the implications of this for Scotland as a whole. We see the Parliament as the central institution of a new political and community culture, and recognise that a more open democracy requires innovative institutions and attitudes in Scottish society, if our goal of a participative approach to the development, consideration and scrutiny of policy and legislation is to be achieved. While these aspirations cannot all be directly reflected in the Standing Orders, we feel strongly that the Standing Orders should be drafted with these expectations and implications in mind, and should encourage the Parliament to operate as we propose. The remainder of this report sets out our proposals in more detail and includes proposals on the technical aspects of procedure which must be included in Standing Orders. For more detail of the reasoning behind our proposals, CSG papers and notes of our meetings can be found on The Scottish Office Devolution Website, www.scottish-devolution.org.uk, together with a summary list of decisions taken by the Group. |
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