1 Standards
1.1 Local government employees are expected to give the highest possible standard of service to the public, and where it is part of their duties, to provide appropriate advice to councillors and fellow employees with impartiality. Employees will be expected, through agreed procedures and without fear of recrimination, to bring to the attention of the appropriate level of management any deficiency in the provision of service. Employees must report to the appropriate manager any impropriety or breach of procedure.
2 Disclosure Of Information
2.1 It is generally accepted that open government is best. The law requires that certain types of information must be available to members, auditors, government departments, service users and the public.
2.2 Committee agendas and most reports and background papers are required by law to be available for public inspection. Detailed guidance is available from the Borough Solicitor or the Committee Sector within the Chief Executive's department. Obstruction of a member of the public who wishes to exercise these rights is a criminal offence.
2.3 The public are specifically excluded from certain proceedings of Committees or meetings associated with the business of any Committee. No employee shall communicate to the public the content of such proceedings or any document relating to the Authority, unless required by law or expressly authorised by the Chief Executive to do so. Employees making unauthorised communications may render themselves liable to disciplinary action.
2.4 Employees should exercise caution and care not to disclose commercially sensitive information. Guidance should be sought from the appropriate Chief Officer or Deputy Chief Executive.
2.5 Employees should not use any information obtained in the course of their employment for personal gain or benefit, nor should they pass it on to others who might use it in such a way.
2.6 Any particular information received by an employee from a Councillor which is personal to the Councillor and does not belong to the Authority such as details of her/his marital/domestic arrangement, should not be divulged by the employee without the prior approval of that Councillor, except where such disclosure is required or sanctioned by the law.
2.7 Employees have a duty to maintain confidentiality and must not disclose any information obtained in the course of their employment to any third party for any unauthorised reason. A disclosure which complies with the requirements of the Whistleblowing Policy will be regarded as authorised disclosure.
3 Political Neutrality
3.1 Employees serve the authority as a whole. They must serve all councillors and not just those of the controlling group, and must ensure that the individual rights of all councillors are respected.
3.2 Subject to the authority's conventions, employees may also be required to advise political groups. They must do so in ways which do not compromise their political neutrality.
3.3 Employees, whether or not politically restricted, must follow every lawful expressed policy of the authority and must not allow their own personal or political opinions to interfere with their work.
3.4 Should the authority decide to appoint political assistants in accordance with the Local Government and Housing Act 1989, these employees would be exempt from the standards set in paragraphs 3.1 to 3.3
3.5 Where a local authority employee holds a politically restricted post such restrictions are deemed to be incorporated in their contract of employment.
4 Relationships
4.1 Councillors
Employees are responsible to the authority through its senior managers. For some, their role is to give advice to councillors and senior managers and all are there to carry out the authority's work. Mutual respect between employees and councillors is essential to good local government.
4.2 The Local Community and Service Users
Employees should always remember their responsibilities to the community they serve and ensure courteous, efficient and impartial service delivery to all groups and individuals within that community as defined by the policy statements of the authority.
4.3 Contractors
All relationships of a business or private nature with external contractors, or potential contractors, should be made known to the appropriate manager. Orders and contracts must be awarded on merit, by fair competition against other tenders, and no special favour should be shown to businesses operated or controlled by, for example, friends, partners or relatives in the tendering process. No part of the local community should be discriminated against.
4.4 Employees who engage or supervise contractors or have any other official relationship with contractors and have previously had or currently have a relationship in a private or domestic capacity with a contractor who is engaged or who is proposed to be engaged by the Authority, should declare that relationship to the appropriate manager as soon as practicable.
The Press and the Media
4.5 Employees must not deal direct with the press or the media unless required to do so in the course of their work or they have been expressly authorised by an appropriate manager.
4.6 All enquiries for information or comment on issues affecting the work of the Council must be referred to the Public Relations Unit within the Chief Executive's department.
4.7 Any article, publication, or interview given on aspects of Council policy or activity must be properly authorised.
5 Appointments and other employment matters
5.1 Employees involved in appointments should ensure that these are made on the basis of merit. It is unlawful for an employee to make an appointment which was based on anything other than the ability of the candidate to undertake the duties of the post. These principles and the Council's procedures are detailed in the Recruitment and Selection Guidelines which supplement the Corporate Training which is available to all employees involved in the Recruitment and Selection process.
5.2 In order to avoid any possible accusation of bias, employees should not be involved in an appointment where they are related to an applicant, or have a close personal relationship outside work with him or her. [Candidates for any appointment with the Council when making an application, must disclose on the job application form whether s/he is related to any member of the Council or to a holder of any senior office.] Deliberate omission to make such a disclosure will disqualify the candidate and if the omission is discovered after appointment, s/he shall be liable to dismissal.
5.3 Similarly, employees should not be involved in decisions relating to discipline, promotion or pay adjustments for any other employee who is a relative, partner, etc.
5.4 Elected Members and Senior Officers need to disclose to the Authority any relationship known to exist between themselves and a candidate for an appointment of which they are aware.
6 Outside commitments
6.1 Employees graded above SCP28 are required to obtain written consent to take any outside employment. The written consent must be given by the Chief Officer following the express approval of the Employing Committee and the Council.
6.2 All employees should be clear about their contractual obligations and should not take outside employment which conflicts with the Council's interests, or in any way undermines public confidence in the conduct of the Council's business and thereby damaging its reputation.
6.3 No employee of the Council, irrespective of their grade, should undertake work outside their employment with the Authority if their official duties overlap in some way with their proposed work, if it causes a conflict of interest, unless the consent of the Employing Committee and the Council has been granted. It is irrelevant whether or not the work is paid.
6.4 Employees' off-duty hours are their personal concern but they should not subordinate their duty to private interests to put themselves in a position where duty and private interests conflict. The Council will not preclude employees from undertaking additional employment, but any such employment must not, in the view of the Council, conflict with or react detrimentally to the Council's interests, or in any way weaken public confidence in the conduct of the Council's business.
6.5 No outside work of any sort should be undertaken in the office, and use of facilities, eg telephones, or access to typing facilities for outside work is forbidden.
All the resources of the Council including equipment, stationery, etc. are to be used to further the Council's business and are not for personal use.
6.6 No employee shall undertake outside work if it makes use of material to which the employee has access by virtue of his or her position.
Intellectual Property
6.7 Employees should follow the Council's rules on the ownership of intellectual property or copyright created during their employment.
6.8 Intellectual property is a generic term that includes inventions and patents, creative writings and drawings. If these are created by the employee during the course of employment then as a general rule they belong to the Council.
Information Technology and Data Security
6.9 Employees must ensure that they follow the Council's procedures in relation to the use and storage of computers and the proper management of computer held information in relation to the Data Protection Act.
7 Personal interests
7.1 Employees must declare to an appropriate manager, any non-financial interests that they consider could bring about conflict with the authority's interests.
7.2 Employees must declare to an appropriate manager any financial interests which could conflict with the authority's interests.
7.3 Employees should declare to an appropriate manager membership of any organisation not open to the public with formal membership and commitment of allegiance and which has secrecy about rules and/or membership and/or conduct.
7.4 On no account must employees be directly involved in the processing of any matter or application in which they or any close relative have a personal interest.
7.5 Employees must declare to an appropriate manager (preferably in writing), any non-financial interests that they consider could bring about conflict with the Council's interests. This may include membership of outside bodies in a personal capacity. In such cases employees should be mindful not to place themselves in a situation where their involvement or working contribution could compromise their continuing professional duty to the interests of the Council.
7.6 As part of their official duties an employee may be required to serve on an outside body. In such cases employees will be expected to represent and promote the Council's interests and policies as the circumstances dictate.
7.7 The Council has produced guidance notes relating to "Pecuniary and Non-Pecuniary Interests of employees (.pdf, 51kb)".
7.8 Relevant employees within the Legal and Democratic Division of Business Support Services are also subject to their professional organisation's rules which require them not to do anything to prejudice their employer's interests.
8 Equality issues
8.1 All local government employees should ensure that policies relating to equality issues as agreed by the authority are complied with in addition to the requirements of the law. All members of the local community, customers and other employees have a right to be treated with fairness and equity.
8.2 Such policies would include: Equal Opportunities, Disability Placement Scheme and the Harassment Policy.
8.3 Employees should note that cases of racial or sexual harassment are deemed to be gross misconduct under the Council's Disciplinary Procedure.
9 Separation
9.1 Employees involved in the tendering process and dealing with contractors should be clear on the separation of client and contractor roles within the authority. Senior employees who have both a client and contractor responsibility must be aware of the need for accountability and openness.
9.2 Employees in contractor or client units must exercise fairness and impartiality when dealing with all customers, suppliers, other contractors and sub-contractors.
9.3 Employees who are privy to confidential information on tenders or costs for either internal or external contractors should not disclose that information to any unauthorised party or organisation.
9.4 Employees contemplating a management buyout should, as soon as they have formed a definite intent, inform the appropriate manager and withdraw from the contract awarding processes.
9.5 Employees should ensure that no special favour is shown to current or recent former employees or their partners, close relatives or associates in awarding contracts to businesses run by them or employing them in a senior or relevant managerial capacity.
10 Corruption
10.1 Employees must be aware that it is a serious criminal offence for them corruptly to receive or give any gift, loan, fee, reward or advantage for doing or not doing anything or showing favour or disfavour to any person in their official capacity. If an allegation is made it is for the employee to demonstrate that any such rewards have not been corruptly obtained.
10.2 Employees who are in receipt of or affect the receipt of Housing Benefit and/or other related benefits (i.e. Income Support, Unemployment Benefit, Incapacity Benefit, etc.) must be aware that the obtaining of such benefits by deception would be considered as theft against the Authority as the employer and would therefore constitute Gross Misconduct under the Council's Disciplinary Code of Practice.
10.3 In relation to 10.2 above, employees must provide their employing department with details of their home address or in cases where more than one address is frequented the address that they normally class as their home. This does not include c/o addresses unless there are special circumstances which management have been made aware of and are satisfied with. Similarly, changes of name should also be notified to the employing department.
11 Use of financial resources
11.1 Employees must ensure that they use public funds entrusted to them in a responsible and lawful manner. They should strive to ensure value for money to the local community and to avoid legal challenge to the authority.
11.2 Employees should be aware of and adhere to the Council's Contract Procedure Rules and Financial Procedure Rules.
11.3 Where employees have concerns over the lawfulness of certain action they should express such concerns to the appropriate manager or Chief Executive.
12 Hospitality and gifts
12.1 There can be little doubt that the acceptance of gifts by employees from persons who have, or may seek to have, dealings with the Authority would be viewed by the public with grave suspicion and would make the employee concerned and the Council extremely vulnerable to criticism.
12.2 An employee should tactfully refuse any personal gift which is offered to him/her or a close relative by, or indirectly attributable to any person or body who has, or may have, dealings of any kind whatsoever with the Council or, who has applied, or may apply, to the Council for any kind of decision.
12.3 The only exceptions to this rule are:-
a) small gifts of only token value often given by way of trade advertisements to a wide range of people, eg calendars, diaries, tape measures and similar articles of use in the workplace; or
b) small gifts of only token value given on the conclusion of a courtesy visit, eg to a factory, trade fair or other premises.
12.4 If there is any doubt about whether a gift may be accepted the gift should be politely and tactfully refused.
12.5 Employees are reminded that under provisions of Section 117 of the Local Government Act 1972, they are forbidden under the colour of their office and employment to accept any fee or reward other than their proper remuneration and any person who contravenes this provision would be liable to Court Proceedings.
12.6 In the event of an employee receiving a gift without warning, which does not fall in any of the exceptions mentioned above, this should immediately be reported to a Chief Officer who will be responsible for deciding whether the gift should be returned.
12.7 If any employee becomes aware that he/she has been included as the beneficiary in the Will of a client, for whom the Council offers or used to offer a service where there is a connection with the employee's work, the above rules apply. However, this does not apply in the case of parents passing on an inheritance to their off-spring, or relatives naming a family member as a beneficiary in their will.
12.8 Employees should only accept offers of hospitality if there is a genuine need to impart information or represent the local authority in the community. Offers to attend purely social or sporting functions should be accepted only when these are part of the life of the community or where the authority should be seen to be represented. It should be properly authorised and recorded.
12.9 When hospitality has to be declined the offer or should be courteously but firmly informed of the procedures and standards operating within the authority.
12.10 When receiving authorised hospitality employees should be particularly sensitive as to its timing in relation to decisions which the authority may be taking affecting those providing the hospitality.
12.11 Acceptance by employees of hospitality through attendance at relevant conferences and courses is acceptable where it is clear the hospitality is corporate rather than personal, where the authority gives consent in advance and where the authority is satisfied that any purchasing decisions are not compromised. Where visits to inspect equipment, etc. are required, employees should ensure that the Authority meets the cost of such visits to avoid jeopardising the integrity of subsequent purchasing decisions.
12.12 Employees must refuse offers of hospitality where any suggestion of improper influence would be inferred. Special caution is necessary where hospitality is offered by a person or body having or seeking business with, or a decision from the authority, particularly where the offer is to an individual employee.
12.13 There should be no cause for concern if the offer of hospitality is made by another non-commercial public body but all cases of hospitality must be treated with caution.
12.14 Hospitality should only be accepted where it is on a scale appropriate to the circumstances, reasonably incidental to the occasion and not extravagant and where it is apparent that no cause could reasonably arise for adverse criticism about the acceptance of hospitality.
13 Sponsorship - giving and receiving
13.1 Where an outside organisation wishes to sponsor or is seeking to sponsor a local government activity, whether by invitation, tender, negotiation or voluntarily, the basic conventions concerning acceptance of gifts or hospitality apply. Particular care must be taken when dealing with contractors or potential contractors.
13.2 Where the authority wishes to sponsor an event or service neither an employee nor any partner, spouse or relative must benefit from such sponsorship in a direct way without there being full disclosure to an appropriate manager of any such interest. Similarly, where the authority through sponsorship, grant aid, financial or other means, gives support in the community, employees should ensure that impartial advice is given and that there is no conflict of interest involved.
14 Customer care
Standard of Dress and Appearance
14.1 There is a general expectation that dress will be appropriate to the standards set by individual departments.
14.2 Individual departments will introduce an appropriate dress code to suit the services they provide and to meet the expectations of the public.
15 Interpretation
15.1 Any interpretation of this Code should be determined by the Chief Executive.
16 Disciplinary action
16.1 Any serious contravention of this Code may result in disciplinary proceedings.
17 Grievance procedure
17.1 An employee who has a grievance arising from the interpretation of the Code shall have access to the Council's Grievance Procedure.
17.2 Any officer who has been involved in an interpretation of the Code which results in a grievance should not be involved in the consideration of that grievance.
18 Application of code
18.1 The Code embodies general guidance for all employees of the Council. It is recognised, however, that specific arrangements may be made at departmental level to address circumstances/situations encountered by certain employees.
Appendix A
Legislative and other sources
Relevant provisions in legislation, national agreements, advisory points and some primary sources are summarised below.
1 Standards
Paragraph 2.1 of the Key National provisions within the Green Book (National Joint Council for Local Government Services) says:
"Employees will maintain conduct of the highest standard such that public confidence in their integrity is sustained".
Similar provisions are incorporated in the national conditions of service of chief officers.
2 Disclosure of Information
"No employee shall communicate to the public the proceedings of any committee meeting, etc., nor the content of any document relating to the authority unless required by law or expressly authorised by the Chief Executive to do so".
The Local Government Act 1972, s100 deals with the admission off the public and press to local authority committee meetings.
The Local Government Planning and Land Act 1980 s2 requires local authorities to publish certain categories of information in accordance with codes of recommended practice and any statutory regulations made by the Secretary of State (s3). This includes (s3(5)) information about the number of their employees or the number of any description of their employees.
Local Government (Publication of Manpower Information) (England) Regulations 1983 covers English authorities.
Local Government (Access to Information) Act 1985 requires a principal council to maintain a list, open to public inspection, specifying those powers of the authority which are exercisable from time to time by officers of the authority in pursuance of its duties under statutory powers. Any person having custody of documents to which right of access applies would commit an offence by obstructing that right.
3 Political Neutrality
The Local Government and Housing Act 1989, Pt1 contains provisions to stop "twin-tracking" (where a senior local authority employee is also an elected member of another local authority) and to restrict the political activity of senior employees. Local authority employees holding politically restricted posts are disqualified from membership of any local authority, other than a parish or community council (s1(1)) from being an MP, or MEP, and are subject to prescribed restrictions on their political activity (s1(5)), (6).
The Local Government Officers (Political Restriction) Regulations 1990 and The Local Government (Politically Restricted Posts) (No2) Regulations 1990 covers the posts which are politically restricted. These are:
(a) specified posts, such as the head of paid service and the monitoring officer, chief officers and their deputies are restricted without exemption or appeal;
(b) all posts which reach or exceed a prescribed remuneration ceiling automatically included on a list which employing authorities are under a duty to prepare unless exemption for individuals are granted;
(c) all posts which meet the duties-related criteria for determining a "sensitive" post irrespective of remuneration level unless the post holder appeals successfully against determination; these posts are defined as those which (i) give advice on a regular basis to the employing authority, to any committee or sub-committee or another joint committee on which the authority is represented (but excluding purely factual information) or (ii) speak on behalf of the authority on a regular basis to journalists and broadcasters.
The political restrictions are deemed to be incorporated in the contract of employment of every local authority employee who holds a politically restricted post.
4 Relationships
The Local Government and Housing Act 1989 s.31 has given statutory status to the National Code of Local Government Conduct (for the guidance of councillors of local authorities). The Code includes within paragraph 23-25 the following statements as to the role of councillors in relation to officers:
23, "Both councillors and officers are servants of the public, and they are indispensable to one another. But their responsibilities are distinct. Councillors are responsible to the electorate and serve only so long as their term of office lasts. Officers are responsible to the council. Their job is to give advice to councillors and their council, and to carry out the council's work under the direction and control of the council, their committees and sub-committees.
24, Mutual respect between councillors and officers is essential to good local government. Close personal familiarity between individual councillors and officers can damage the relationship and prove embarrassing to other councillors and officers.
25, The law and standing orders lay down rules for appointment, discipline and dismissal of staff. You must ensure that you observe these scrupulously at all times. Special rules apply to the appointment of assistants to political groups. In all other circumstances, if you are called upon to take part in appointing an officer, the only question you should consider is which candidate would best serve the whole council. You should not let your political or personal preferences influence your judgement. You should not canvass the support of colleagues for any candidate and you should resist any attempt by others to canvass yours.
5 Appointment and other employment matters
The Local Authorities (Standing Orders) Regulations 1993 prescribe the procedure to be followed in respect of the appointment of chief officers and their dismissal in the event of misconduct.
See also Section 7, Local Government and Housing Act 1989 for appointment on merit.
6 Outside Commitments
References are provided in the national conditions of service for Chief Officers and Chief Executives. The Council's guidance notes relating to "Pecuniary and Non Pecuniary Interest" provides references which relate to all employees.
Intellectual Property
Intellectual property is a generic term that includes inventions, creative writings and drawings. If these are created by the employee during the course of employment, then as a general rule they belong to the employer. However, various Acts of Parliament cover different types of intellectual property.
Inventions and Patents
Inventions made before 1st June 1978 are the property of the employer if made in the course of that employer's employment. However, the Patents Act 1977 states that after the 1st June 1978 inventions are only the property of the employer if:-
they have been made in the course of the employee's normal duties; or they have been made in the course of duties specifically assigned to the employee and where invention might be reasonably expected; or it was made in the course of the employee's duties and at the time the employee had (because of the nature of his or her duties and particular responsibilities arising from them) a special obligation to further the interests of the employer.
7 Personal Interests
The following definition on what constitutes a secret society was used by the Local Government Management Board in drawing up its model Code of Conduct:- "Any lodge, chapter, society, trust or regular gathering or meeting, which:
(a) is not open to members of the public who are not members of that lodge, chapter, society or trust
(b) includes in the grant of membership an obligation on the part of the member a requirement to make a commitment (whether by oath or otherwise) of allegiance to the lodge, chapter, society, gathering or meeting; and
(c) includes, whether initially or subsequently, a commitment (whether by oath or otherwise) of secrecy about the rules, membership or conduct of the lodge, chapter, society, trust, gathering or meeting.
A lodge, chapter, society, trust, gathering or meeting as defined above, should not be regarded as a secret society if it forms part of the activity of a generally recognised religion".
8 Equality issues
The Sex Discrimination Act 1975, The Race Relations Act 1976, The Disabled Persons (Employment) Act 1944 (as amended) and The Disability Discrimination Act 1995 apply.
9 Separation of Roles During Tendering
The Local Government (Direct Service Organisation) (Competition) Regulations 1993 - Section 4 (2) (3) apply.
10 Corruption
Local Government Act 1972 117 - Pecuniary Interests - provides that if an officer knows that a contract in which s/he has a pecuniary interest is before the local authority, s/he must give notice of his/her interest to the authority. This does not, of course, apply to a contract in their own name because the authority will then know of his/her interest. Section 117(2) forbids an officer "under colour of his office or employment" to accept "any fee or reward" whatsoever other than proper remuneration.
Prevention of Corruption Acts 1906 and 1916 says about acceptance of gifts by way of inducements or rewards:
(a) Under the Prevention of Corruption Acts, 1906 and 1916, it is an offence for employees corruptly to accept any gifts or consideration as an inducement or reward for doing, or refraining from doing, anything in their official capacity: or showing favour or disfavour to any person in their official capacity.
(b) Under the Prevention of Corruption Act 1916, any money, gift or consideration received by an employee in public service from a person or Organisation holding or seeking to obtain a contract will be deemed by the courts to have been received corruptly unless the employee proves to the contrary.
(see also the Public Bodies Corrupt Practices Act 1889)
11 Use of financial resources
As laid down in the Authority's Contract Procedure Rules and Financial Procedure Rules.
12 Hospitality, Gifts and Sponsorship
Local Government Act 1972 section 117 applies, see 10 above.
