Essential Practice 2: Clear and consistent approval practices
Bodies exercising coercive powers should ensure they have a clearly defined process through which these powers are approved. This should result in a definitive final version of the instrument approving the exercise of the power. In line with Essential Practice 1, a body should also ensure that its quality assurance framework enables it to have a clear insight into how its processes are being applied so that it can readily identify, and correct, any deviations from approved procedures or processes.
Context
During the period, we corresponded with the VO on 2 summonses that were signed by the Ombudsman but did not contain the date the witness was required to attend. We reported on this matter in our coercive powers special report.
As a result of our engagement, the VO was prompted to identify issues with its summons approval process where VO officers had submitted, and the former Ombudsman had signed, summonses that did not contain all the necessary information. This process was not accounted for, or supported by, the VO’s procedures. As a summons is a legal instrument, these kinds of changes could affect the validity of the summons.
In response to the VI raising this issue, the VO identified deficiencies in its summons approval processes which it sought to address through a revised process and updated procedures. The VO further commenced a review of 77 summonses issued over a 12-month period to determine the nature of any changes made to summonses, and the effects of those on the exercise of this power by the VO.
The VO’s engagement with us in relation to this issue and the status of its review of summonses is addressed within the VO section of this report.
Coercive powers are a significant information gathering tool for investigative bodies and issues with the approval to exercise these powers can have considerable flow-on effects on an investigation and the persons upon whom these powers have been exercised. Essential Practice 2 below will assist bodies in mitigating potential issues with an approval process.
Updated