Declaration and Recusal Policy

Recusal policy for members of the Commission

This document sets out HOLAC’s approach to recusals. It sets out the circumstances in which members should consider recusing themselves from the consideration of a nomination due to an actual, potential or perceived conflict of interest. This policy reflects HOLAC’s long standing approach, as outlined in the Commission’s Code of Practice.

This policy applies to both the Commission’s role in making nominations for membership of the House of Lords to the independent crossbenches, and its responsibilities for the vetting for propriety of party-political and other nominations to the House

Background

Points 3.5 to 3.9 of the HOLAC Code of Practice (below) set out the requirement incumbent on Commission members to declare potential conflicts of interest relating to individuals they consider.

3.5. In addition, any direct or indirect personal interest in relation to an individual nominee will be declared by the Commission member concerned and formally recorded in the minutes. Direct or indirect personal interests in relation to nominees may include where a Commission member knows a nominee:

as someone with whom the member has, or has had – or in his/her judgement could conceivably have – business or professional dealings;
as a friend or relation; and/or
as an acquaintance, whether through their personal, business or professional life. It will be for the Commission member concerned to judge the degree of the relationship with the nominee. Where there is any doubt, the Commission member will set out in his/her declaration the terms or circumstances of the relationship.

3.6. Where a Commission member can reasonably be expected to be aware of similar relationships held by close family members, he or she will declare these.

3.7. A declaration will include a statement as to any gifts or hospitality received by the member concerned from the nominee.

3.8. Following the declaration of a personal interest in relation to a nominee, the Commission will decide, in the light of the nature of the relationship, if the member concerned is to be asked to withdraw from any decision about the nominee. Withdrawal of a member will be recorded in the minutes.

3.9. The Commission’s secretariat and any agents acting on behalf of the Commission will follow the same practice.

Personal responsibility – The Code places the onus upon each Commission member to make a personal assessment of whether a) there is a relevant interest to disclose; and b) if such an interest exists, whether the member considers it appropriate to recuse themselves from the decision-making process in light of that interest.

Collective responsibility – Other members of the Committee may offer a view (ultimately it is for the Chair to decide) where they consider the interest would require the member concerned to withdraw from giving their view and/or participating in the process of making a decision about an application or contributing to the advice to the Prime Minister.

Consideration

When determining whether a conflict of interest exists, there is a balance to strike. An overly cautious approach could lead to members unnecessarily withdrawing from large numbers of cases. Equally, members will want to avoid reasonable public perception that a conflict of interest has arisen in a case where there is a close connection between the member and the individual being considered.

Members must declare interests. Unless there are good reasons to consider that the interest (such as an acquaintanceship or a past working relationship) would call into question a member’s ability to remain independent, a past knowledge of a nominee should not, in and of itself, require a member to recuse themselves. Of course, distinguishing friendship from acquaintanceship is not always straightforward and ultimately these decisions are a judgement call for members, and the Commission as a whole. The closer and/or more sustained a connection to an applicant is, the more likely it is that a member will need to consider making a declaration and recusing themselves.

The Commission may find it helpful to see some examples of when members should and should not recuse themselves:

Table A: Examples of circumstances in which members should recuse themselves

You have a family relationship with X

X is the spouse/partner or child of a close friend

You know the X socially (eg you have attended social gatherings at X’s house)

X has worked directly for you (superior/subordinate)

You have worked directly for or with X (subordinate/superior/partners)

You or close family members have carried out work for the company or organisation associated with the application

You or close family members have shareholdings in the company or organisation associated with the application

You or close family members have any form of financial relationship or dependency, including service or goods in kind, with X

You have donated money or services to a campaign for, on behalf of, or run by X

Any of the above scenarios apply but for X’s spouse/partner

Table B: Examples of circumstances in which members should NOT usually recuse themselves (but should certainly register an interest)

You have attended the same social events as X at the invitation of mutual acquaintances

You have attended the same work or business events as X

You are in the same field of work as X and know them in a professional but not close capacity

X is the friend of a friend

You are casual acquaintances

You have involvement with X’s former department or employer

You sat on a Select Committee with X

Any of the scenarios from Table A apply but for X’s child or dependant

Practical Steps

Members should ensure that the Register of Interests page on the Commission’s website is accurate, and kept up to date. This lists any interests which may, or may not, be perceived to be relevant to the exercise of the Commission’s public duties. This includes their financial interests, shareholdings and ownership of any land or property.

Members should consider whether to recuse themselves on a case by case basis, applying their personal judgement and seeking views of the Commission where unsure. Advice about whether a connection may constitute either a declarable interest or an active conflict can be sought from the Secretariat.

Members should endeavour to highlight any potential conflict as soon as they become aware of it and at the latest in the meeting at which an individual is discussed. If in doubt, a member must register an interest, even if they do not consider a previous association with an applicant to be an active conflict.

Where it is necessary to highlight either an interest or a conflict, members will bring this to the attention of the entire Commission at any meeting where that individual is considered.

Where an individual is discussed by correspondence, members will ensure that the entire Commission is made aware of the relevant interest or conflict via correspondence.

The Secretariat will ensure that all conflicts are noted in the meeting minutes, except when the relevant individual cannot be named for confidentiality reasons. A private record of this will be kept in all cases.