Finance and Public Administration Committee
Updated procedure for handling formal complaints - follow-up from meeting on 25 January 2022
Letter from the Deputy First Minister and Cabinet Secretary for COVID Recovery to the Convener of 4 February 2022
Dear Kenneth
Thank you for the session with the Committee on 25 January. I welcome the constructive and helpful scrutiny of the updated procedure for handling formal complaints by civil servants about a Minister’s or former Minister’s behaviour, the progress on the associated implementation plan and the continuous improvement programme on culture and behaviours in the Scottish Government.
I undertook to follow up a number of points that were raised with me and with my officials.
Mr Greer asked for confirmation of the staff networks involved in the development of the procedure. As was noted, our primary engagement has been through our recognised trade unions. They represent the interests of all staff including those who are most likely to be affected by the types of behaviour addressed by the procedure. In addition, we engaged on an individual basis with a group of staff who came forward with experience to offer. This included those with experience of making a complaint, being a witness to a complaint, being an investigator, being a decision maker, being a support contact, and being involved with informal resolution. We also took advice from staff with experience of working closely with Ministers, and from staff who were involved in the development of our National Trauma Training programme, led by NHS Education for Scotland. Last week we engaged with our Women’s Development Network and we have plans to engage the chairs of all of our equality networks before the procedure comes into effect by the end of February. We are in the process of documenting our Equalities Impact Assessment and are happy to share that with the Committee when it is complete.
I would like to add to the discussion we had about how we would deal with potentially malicious complaints about a Minister. All staff are expected to act in accordance with our standards of behaviour policy and the values set out in the Civil Service Code. The presumption is that a complaint is genuine and made in good faith, but our policy states that malicious or vexatious complaints will be handled in accordance with our disciplinary policy and procedure. If it is found at stage 1, or indeed at any stage of the procedure, that the complaint is malicious, this would subsequently be handled separately as a disciplinary matter.
Mr Mason asked about legal representation and I explained the intention to handle matters within the space of employment practice. Staff are not entitled to legal representation at a workplace grievance meeting, and this is set out in our general policy and procedures. Our intention is for external decision makers to consider any exception to this on its own merit, seeking advice as appropriate through the Scottish Government nominated contact.
Mr Lumsden raised a point as to handling a complaint which is deemed out of scope of the procedure, for example because it is brought outwith the normal time limit. Issues of this type will be handled by the Propriety & Ethics team within the Scottish Government with proper engagement with the complainer at stage 1. We would aim to resolve the issues with the complainer and offer appropriate support. However, should the complainer wish to challenge that decision, there are separate grievance procedures that can be followed within the Scottish Government for civil servants raising a complaint about management decisions.
I would also like to take the opportunity to confirm the other areas we are considering further with our trade unions and staff ahead of the procedure coming into effect:
- Mr Lumsden asked about the exclusion of agency workers. These workers are not SG staff and we will reflect further on how we can share this approach with those who manage the contracts for such workers.
- Ms Thomson noted the benefits of considering the balance of responsibilities where a matter might be referred to the police; this has been given careful thought and consideration and we fully appreciate the possible effect of not being able to offer an absolute guarantee to a complainer that we will respect their wishes. We are very mindful on getting the right balance here, and will give further consideration to how we communicate this.
- Ms Thomson asked about recording specific interviews throughout the process and we will give this further consideration on the circumstances in which this might be appropriate.
I will update the Committee on the conclusions of these further considerations when the procedure is formally in place. Once again I am grateful to the Committee for its considered engagement on this issue.