Part 5 – Codes and Protocols


CODE OF CONDUCT 

PART 1

GENERAL PROVISIONS

Scope

1.	(1)	A member must observe the authority’s code of conduct whenever he –

(a)	conducts the business of the authority

(b)	conducts the business of the office to which he has been elected or appointed;  or

(c)	acts as a representative of the authority

				and references to a member’s official capacity shall be construed accordingly.

(2)	An authority’s code of conduct shall not, apart from paragraphs 4 and 5(a) below, have effect in relation to the activities of a member undertaken other than in an official capacity.

(3)	Where a member acts as a representative of the authority:-

(a)	on another relevant authority, he must, when acting for that other authority, comply with that other authority’s code of conduct;  or 

(b)	on any other body, he must, when acting for that other body, comply with the authority’s code of conduct, except and insofar as it conflicts with any other lawful obligations to which that other body may be subject.

(4)	In this code, “member” includes a co-opted member of an authority.


General Obligations

2.	A member must  –

(a)	promote equality by not discriminating unlawfully against any person;

(b)	treat others with respect;  and

(c)	not do anything which compromises or which is likely to compromise the impartiality of those who work for, or on behalf of, the authority.

3.	A member must not –

(a)	disclose information given to him in confidence by anyone, or information acquired which he believes is of a confidential nature, without the consent of a person authorised to give it, or unless he is required by law to do so; nor

(b)	prevent another person from gaining access to information to which that person is entitled by law.

4.	A member must not in his official capacity, or any other circumstance, conduct himself in a manner which could reasonably be regarded as bringing his office or authority into disrepute.

5.	A member –

(a)	must not be in his official capacity, or any other circumstances, use his position as a member improperly to confer on or secure for himself or any other person, an advantage or disadvantage;  and

(b)	must, when using or authorising the use by others of the resources of the authority –

(i)	act in accordance with the authority’s requirements;  and

(ii)	ensure that such resources are not used for political purposes unless that use could reasonably be regards as likely to facilitate, or be conducive to, the discharge of the functions of the authority or of the office to which the member has been elected or appointed.

6.	A member must when reaching decisions have regard to any relevant advice provided to him by –

(a)	the authority’s chief finance officer acting in pursuance of his duties under Section 114 of the Local Government Finance Act 1988 or an equivalent provision in any regulations made under Section 6(6) of the Local Government and Housing Act 1989;  and

(b)	the authority’s Monitoring Officer acting in pursuance of his duties under Section 5(2) of the Local Government and Housing Act 1989.

7.	A member must, if he becomes aware of any conduct by another member which he reasonably believes involves a failure to comply with the authority’s code of conduct, make a written allegation to that effect to the Standards Board for England as soon as it is practicable for him to do so.


PART 2

INTERESTS

Personal Interests

8.	(1)	A member must regard himself as having a personal interest in any matte if the matter relates to an interest in respect of which notification must be given under paragraphs 13 and 14 below, or if a decision upon it might reasonably be regarded as affecting to a greater extent that other council tax payers, ratepayers, or inhabitants of the authority’s area, the well-being or financial position of himself, a relative or a friend or –

(a)	any employment or business carried on by such persons;

(b)	any person who employs or has appointed such persons, any firm in which they are a partner, or any company of which they are directors;

(c)	any corporate body in which such persons have a beneficial interest in a class of securities exceeding the nominal value of £5,000;  or

(d)	any body listed in sub-paragraphs (a) to (e) of paragraph 14 below in which such persons hold a position of general control or management.

2)	In this paragraph –

(a)	“relative” means a spouse, partner, parent, parent-in-law, son, daughter, step-son, step-daughter, child of a partner, brother, sister, grandparent, grandchild, uncle, aunt, nephew, niece, or the spouse or partner of any of the preceding persons;  and

(b)	“partner” in sub-paragraph 2(a) above means a member of a couple who live together.


Disclosure of Personal Interests

9.	A member with a personal interest in a matter who attends a meeting of the authority at which the matter is considered must disclose to that meeting the existence and nature of that interest at the commencement of that consideration, or when the interest becomes apparent.


Prejudicial Interests

10.	(1)	Subject to sub-paragraph (2) below, a member with a personal interest in a matter also has a prejudicial interest in that matter if the interest is one which a member of the public with knowledge of the relevant facts would reasonably regard as so significant that it is likely to prejudice the member’s judgement of the public interest.

	(2)	A member may regard himself as not having a prejudicial interest in a matter if that matter relates to 

(a)	another relevant authority of which he is a member;

(b)	another public authority in which he holds a position of general control or management;

(c)	a body to which he has been appointed or nominated by the authority as it representative;

(d)	the housing functions of the authority where the member holds a tenancy or lease with a relevant authority, provided that he does not have arrears of rent with that relevant authority of more than two months, and provided that those functions do not relate particularly to the member’s tenancy or lease’

(e)	the functions of the authority in respect of school meals, transport and travelling expenses, where the member is a guardian or parent of a child in full time education, unless it relates particularly to the school which the child attends;

(f)	the functions of the authority in respect of statutory sick pay under Part X1 of the Social Security Contributions and Benefits Act 1992, where the member is in receipt of, or is entitled to the receipt of such pay from a relevant authority;  and

(g)	any functions of the authority in respect of an allowance or payment made under Sections 173 to 176 of the Local Government Act 1972 or Section 18 of the Local Government and Housing Act 1989.


Overview Committees

11.	(1)	For the purposes of this Part, a member must if he is involved in the consideration of a matter at a meeting of a Overview Committee of the authority or a sub-committee of such a committee, regard himself as having a personal and a prejudicial interest if that consideration relates to a decision made, or action taken, by another of the authority’s –

(a)	committee or sub-committees;  or

(b)	joint committees or joint sub-committees,

				of which he may also be a member

	(2)	But sub-paragraph (1) above shall not apply if that members attends that meeting for the purpose of answering questions or otherwise giving evidence relating to that decision or action.


Participation in Relation to Disclosed Interests

12.	(1)	A member with a prejudicial interest in any matter must –

(a)	withdraw from the room or chamber where a meeting is being held whenever it becomes apparent that the matter is being considered that that meeting, unless he has obtained a dispensation from the authority’s Standards Committee;  and

(b)	not seek improperly to influence a decision about that matter.

	(2)	A member with a prejudicial interest may, unless that interest if of a financial nature, and unless it is an interest of the type described in paragraph 11 above, participate in a meeting of the authority’s –

(a)	Overview Committees; and

(b)	joint or Area Forums

			to the extent that such committees are not exercising functions of the authority or its executive.

13.	For the purposes of this Part, “meeting” means any meeting of –

(a)	the authority;  or

(b)	any of the authority’s committees, sub-committees, joint committees, joint sub-committees, or advisory committees.

PART 3 - THE REGISTER OF MEMBERS’ INTERESTS

Registration of Financial and Other Interests

14.	Within 28 days of the provisions of an authority’s code of conduct being adopted or applied to that authority or within 28 days of his election or appointment to office (if that is later), a member must register his financial interests in the authority’s register maintained under Section 8(1) of the Local Government Act 2000 by providing written notification to the authority’s Monitoring Officer of -

(a)	any employment or business carried on by him;

(b)	the name of the person who employs or has appointed him, the name of any firm in which he is a partner, and the name of any company for which he is a remunerated director;

(c)	the name of any person, other than a relevant authority, who has made a payment to him in respect of his election or any expenses incurred by him in carrying out his duties;

(d)	the name of any corporate body which has a place of business or land in the authority’s area, and in which the member has a beneficial interest in a class of securities of that body that exceeds the nominal value of £25,000 or one hundredth of the total issued share capital of that body;

(e)	a description of any contract for goods, services or works made between and himself or a firm in which he is a partner, a company of which he is a remunerated director, or a body of the description specified in sub-paragraph (d) above;

(f)	the address or other description (sufficient to identify the location) of any land in which he has a beneficial interest and which is in the area of the authority;

(g)	the address or other description (sufficient to identify the location) of any land where the landlord is the authority and the tenant is a firm in which he is a partner, a company of which he is a remunerated director, or a body of the description specified in sub-paragraph (d) above;  and

(h)	the address or other description (sufficient to identify the location) of any land in the authority’s area in which he had a licence (alone or jointly with others) to occupy for 28 days or longer.

15.	Within 28 days of the provisions of the authority’s code of conduct being adopted or applied to that authority or within 28 days of his election or appointment to office (if that is later), a member must register his other interests in the authority’s register maintained under Section 81(1) of the Local Government Act 2000 by providing written notification to the authority’s Monitoring Officer of his membership of or position of general control or management in any –

(a)	body to which he has been appointed or nominated by the authority as its representative;

(b)	a public authority or body exercising functions of a public nature;

(c)	company, industrial and provident society, charity, or body directed to charitable purposes;

(d)	body whose principal purposes include the influence of public opinion or policy;  and

(e)	trade union or professional association.


16.	A member must within 28 days of becoming aware of any changes to the interests specified under paragraphs 13 and 14 above, provide written notification to the authority’s Monitoring officer of that change.


Registration of Gifts and Hospitality

17.	A member must within 28 days of receiving any gift or hospitality over the value of £15, provide written notification to the authority’s Monitoring Officer of the existence and nature of that gift or hospitality.
 
MEMBERS’ PLANNING CODE OF GOOD PRACTICE
Contents
Background
Introduction 
1 	Relationship to the Members’ Code of Conduct
2 	Development Proposals and Interests under the Members’ Code of Conduct
3 	Fettering Discretion in the Planning Process
4 	Contact with Applicants, Developers and Objectors
5 	Lobbying of Councillors
6 	Lobbying by Councillors
7 	Site Visits
8 	Pre-Meetings
9 	Public Speaking at Meetings
10 	Officers
11 	Decision Making
12 	Members Awareness
13	Planning Applications by Councillors or Officers of the Council 
14	Planning Applications by the Council
15	Records of Delegated Decisions
Background
This Code of Good Practice has been based on a model produced by the Association of Council Secretaries and Solicitors which was prepared in response to the Local Government Association’s Guidance Note on the preparation of Local Codes of Good Practice on Planning Matters in the light of the introduction of the new ethical framework and in consultation with the District Audit Service, Local Government Ombudsman and the Standards Board for England. 
Introduction
The aim of this code of good practice: to ensure that in the planning process there are no grounds for suggesting that a decision has been biased, partial or not well founded in any way. 
The key purpose of Planning: to regulate the development and use of land in the public interest. 
Your role as a Member of a Planning Authority: to make planning decisions openly, impartially, with sound judgement and for justifiable reasons. 
When the Code of Good Practice applies: this code applies to Members at all times when involving themselves in the planning process. This includes both decision making meetings of the Council when exercising the functions of the Planning Authority and less formal occasions, such as meetings with officers or the public and consultative meetings. It applies to planning enforcement matters or site specific policy issues as well as to planning applications. 
If you have any doubts about the application of this Code to your own circumstances you should seek advice early, from the Monitoring Officer or one of his or her staff, and preferably well before any meeting takes place. 
1.	Relationship to the Members’ Code of Conduct
Do apply the rules in the Members’ Code of Conduct first, which must always be complied with. 
Do then apply the rules in this Planning Code of Good Practice, which seek to explain and supplement the Members’ Code of Conduct for the purposes of planning control. If you do not abide by this Code of Good Practice, you may put: 
•	the Council at risk of proceedings on the legality or maladministration of the related decision; and 
•	yourself at risk of either being named in a report made to the Standards Committee or Council or, if the failure is also likely to be a breach of the Code of Conduct, a complaint being made to the Standards Board for England.
2. 	Development Proposals and Interests under the Members’ Code
Do disclose the existence and nature of your interest at any relevant meeting, including informal meetings or discussions with officers and other Members. Preferably, disclose your interest at the beginning of the meeting and not just at the commencement of discussion on that particular matter. (You can use the attached form for disclosing interests.) 
Do then act accordingly. Where your interest is personal and prejudicial:- 
•	Do withdraw from any meeting at which the matter is being considered and 
•	Don’t participate, or give the appearance of trying to participate, in the making of any decision on the matter by the planning authority. 
•	Don’t try to represent local views, get another Member to do so instead. 
•	Don’t get involved in the processing of the application. 
•	Don’t seek or accept any preferential treatment, or place yourself in a position that could lead the public to think you are receiving preferential treatment, because of your position as a councillor. This would include, where you have a personal and prejudicial interest in a proposal, using your position to discuss that proposal with officers or members when other members of the public would not have the same opportunity to do so. 
•	Do be aware that, whilst you are not prevented from seeking to explain and justify a proposal in which you have a personal and prejudicial interest to an appropriate officer, in person or in writing, the Code places greater limitations on you in representing that proposal than would apply to a normal member of the public. Therefore, where you have a personal and prejudicial interest in a proposal to be put before a meeting, you will have to withdraw from the room or chamber whilst the meeting considers it, whereas an ordinary member of the public would be able to make use of the public speaking scheme to address the meeting on the proposal and observe the meeting’s consideration of it.
3. 	Fettering Discretion in the Planning Process
Don’t fetter your discretion by making up your mind, or appearing to have made up your mind on how you will vote on any planning matter prior to formal consideration of the matter at the meeting of the planning authority or prior to hearing the officer’s presentation and evidence and arguments on both sides. This is particularly important if you are contacted by an external interest or lobby group. 
If you have done so then you will not be able to participate in the determination of the matter at the committee because if you did take part in the discussion or vote it would put the Council at risk in a number of ways. 
Firstly it would probably in the view of the Local Government Ombudsman constitute maladministration. 
Secondly, the Council could be at risk of legal proceedings on a number of possible grounds 
•	that there was a danger of bias on your part; or 
•	pre-determination or 
•	a failure to take into account all of the factors enabling the proposal to be considered on its merits. 
Do be aware you are likely to be considered to have fettered your discretion where the Council is the landowner, developer or applicant and you have been involved to such an extent in the preparation, submission or advocacy of a planning proposal on behalf of the Council as to make your participation in the decision-making process inappropriate. 
Do also be aware that, although the Members’ Code of Conduct provides for a presumption that you may regard yourself as not having a prejudicial interest in matters which relate to the following organisations: 
•	another local or public authority of which you are a member; or 
•	a body to which you have been appointed or nominated by the Council as its representative,
you must decide in relation to any planning proposal, whether you have been involved to such an extent in the preparation, submission or advocacy of a planning proposal on behalf of the body as to make your participation in the decision making process inappropriate. 
If you have then you should always disclose a prejudicial as well as a personal interest and withdraw. 
Do consider yourself able to take part in the debate on a proposal when acting as part of a consultee body (i.e. where you are also a member of the district/borough council as well as being a County Councillor), provided: 
•	the proposal does not substantially affect the well being or financial standing of the consultee body; 
•	you make it clear during the discussion at the consultee body that
(i)	your views are expressed on the limited information before you only; 
(ii)	that you will reserve judgement and the independence to make up your own mind on each separate proposal when it comes before the determining body, based on your overriding duty to the whole community and not just to the people in your ward, and you hear all of the relevant information; 
(iii)	you will not in any way commit yourself as to how you or others may vote when the proposal comes before the determining body; and 
(iv)	you disclose the personal interest regarding your membership of the consultee body or role when the determining body comes to consider the proposal. 
•	Where you decline to speak or vote on a proposal because you have fettered your discretion (but do not have a prejudicial interest), you do not also have to withdraw, but you may prefer to do so for the sake of appearances.
However if you decide to stay explain that you do not intend to speak and vote because you have or you could reasonably be perceived as having judged the matter elsewhere, so that this may be recorded in the minutes. Use the disclosure form provided for disclosing interests. 
4.	Contact with Applicants, Developers and Objectors
Do refer an applicant, developer or objector who approaches you about a planning application to officers for planning, procedural or technical advice. 
Don’t agree to any meeting with applicants, developers or groups of objectors where it can be avoided. Where you feel that a formal meeting would be useful in clarifying the issues, you should never seek to arrange that meeting yourself as this may be seen as your promoting one point of view or the other. Request the Director of Community Services to organise it. The officers will then ensure that those present at the meeting are advised from the start that the discussions will not bind the authority to any particular course of action, that the meeting is properly recorded on the application file and the record of the meeting is disclosed when the application is considered by the Committee. 
Do remember to: 
•	follow the rules on lobbying (below); 
•	consider whether or not it would be prudent in the circumstances to make notes when contacted; and 
•	report to the Director of Community Services any significant contact with the applicant and other parties, explaining the nature and purpose of the contacts and your involvement in them, and ensure that this is recorded on the planning file.
In addition in respect of presentations by applicants/developers: 
Do remember to 
•	Attend a planning presentation only where this has been sanctioned by the Council and officers are in attendance. 
•	Ask questions only for the purposes of clarifying your understanding of the proposals. 
•	Remember that the presentation is not part of the formal process of debate and determination of any subsequent application, this will be carried out by the Development Control Committee. 
•	Remember that a presentation is a form of lobbying and you must not express any view or state how you or other Members might vote.
Lobbying
Lobbying is an area with which many Members have a great deal of difficulty. Lobbying in respect of other aspects of their work as a Councillor is commonplace and is an accepted part of the democratic process. However if such lobbying of Members of a planning committee oversteps the mark it can lead, unless care is taken, to the impartiality and integrity of Members being called into question. It is essential that a Member bears in mind that he/she has an overriding duty to the whole community not just the people in his/her ward. This can be especially difficult for the ward member who is also a Member of the Development Control Committee. Therefore special considerations apply when lobbying of and by Members occurs during the consideration of a planning application. 
5. 	Lobbying of Councillors
The safest advice would be for a Councillor who is a Member of the Development Control Committee not to place him/herself in a position where lobbying can occur. If that cannot be achieved, and frequently it will not be possible to do this, then: 
•	Do explain to those attempting to lobby you that, whilst you can listen to what is said you are not in a position to express an intention to vote one way or another or to express such a firm point of view that it amounts to the same thing because this will mean you cannot participate in the Development Control Committee’s decision making 
•	Do pass on any representations you receive and copy or pass on any lobbying correspondence you receive to the Director of Community Services at the earliest opportunity 
•	Do refer any offers made to you of planning gain or to restrict the development through a proposed s.106 Planning Obligation or otherwise to the Director of Community Services 
•	Don’t accept gifts or hospitality from any person involved in or affected by a planning proposal. If a degree of hospitality is entirely unavoidable, ensure it is of a minimum and its acceptance is registered in accordance with the  Council’s Code of Conduct as soon as possible 
•	Do indicate that you will pass on that person's views to the Director of Community Services and if necessary the Development Control Committee when it considers the matter but that you cannot commit yourself to vote in any particular way. If you intend to speak at the Development Control Committee in this way make it clear at the start of the meeting that this is what you are doing.
Unless you have a personal and prejudicial interest in the matter, if you follow this and the other advice in this Code, you will be able to speak and vote at the Development Control Committee meeting. 
•	Do inform the Monitoring Officer if you feel you have been exposed to undue or excessive lobbying or approaches (including inappropriate offers of gifts or hospitality), who will take the appropriate action.
6. 	Lobbying by Councillors
In this context: 
Lobbying is asking fellow Councillors to hear or share one’s thoughts and concerns on an issue. 
Excessive lobbying is applying such pressure on a fellow Councillor that it amounts to an attempt to obtain a commitment as to how that Member will vote (whether spoken or unspoken). Pressure of this sort is an attempt to pre-determine the outcome of the issue (making the decision potentially unlawful) and may also amount to the Member using their position improperly to confer an advantage or disadvantage (breaching paragraph 5(a) of the  Council’s Members’ Code of Conduct). 
It may be difficult to determine when lobbying becomes "excessive" and it may only become apparent to the world at large (objectively) as an outcome. In view of this if you approach a fellow Councillor on a planning application: 
Do be mindful that another Councillor may feel under undue pressure more readily in the following situations: 
•	a senior Member lobbying a less senior Member 
•	a number of Members lobbying a Member 
•	persistent lobbying of a Member
Do always be clear that your lobbying is to solicit interest only and is not to solicit a voting commitment 
Do cease to lobby a Member if it appears there is a risk that the Member will feel subject to pressure as to how he/she votes 
Don’t lead or act as spokesperson of an organisation whose primary purpose is to lobby or promote or oppose a planning application. This does not preclude you from joining general interest groups which reflect your areas of interest and which concentrate on issues beyond particular planning applications e.g. The Victorian Society, The Ramblers, CPRE or a local civic society. You should however make sure that you declare a personal interest when the matter is discussed. 
Don’t discuss how to vote on a planning proposal at a political group meeting or lobby other Councillors to do so. The Ombudsman has made it clear that in his view the use of political whips to determine planning applications could amount to maladministration. 
Don’t put pressure on a planning officer for a particular recommendation as this may be seen as prejudicing his/her professional integrity and impartiality 
7. 	Site Visits
Do attend site visits organised by the Council. 
Do ensure that any information which you gained from the site visit is reported back to the Development Control Committee, so that all Members have the same information 
Do ensure that you treat the site visit only as an opportunity to seek information and to observe the site. 
Do ask the officers at the site visit questions or seek clarification from them on factual matters which are relevant to the site inspection. 
Don’t express opinions or views on the proposal to anyone. 
Don’t enter a site which is subject to a proposal other than as part of an official site visit, even in response to an invitation, as this may give the impression of bias unless: 
•	you feel it is essential for you to visit the site other than through attending the official site visit, 
•	you have first spoken to the Director of Community Services about your intention to do so and why (which will be recorded on the file) and 
•	you can ensure you will comply with these good practice rules on site visits.
8. 	Pre-Meetings
At any pre meetings discussion must be limited to procedural issues such as the organisation of site visits, arrangements for members of the public to exercise their speaking rights at the meeting and to ensure all relevant paperwork and information is available for the meeting. This information can be used by the Chairman to brief their colleagues at group meetings in advance of the formal meeting. 
Don’t discuss the determination of applications at either briefing meetings or group meetings. 
Do use pre-meetings to resolve procedural issues to facilitate the smooth running of the formal meeting. 
Don’t ever use the political whip on a planning matter. This would leave the decision open to challenge and could give rise to a finding of maladministration by the Local Government Ombudsman. 
9. 	Public Speaking at Meetings
Don’t allow members of the public to communicate with you before or during the committee’s proceedings (orally or in writing) other than through the scheme for public speaking, as this may give the appearance of bias. 
10. 	Officers
Don’t put pressure on officers to put forward a particular recommendation. This does not prevent you from asking questions or submitting views to the Director of Community Services which may be incorporated into any committee report. 
Do recognise that officers are part of a management structure and only discuss a proposal, outside of any arranged meeting, with a Head of Service or those officers who are authorised by their Head of Service to deal with the proposal at a Member level. 
Do recognise and respect that officers involved in the processing and determination of planning matters must act in accordance with any appropriate officer and professional codes of conduct, primarily the Royal Town Planning Institute’s Code of Professional Conduct. As a result, planning officers’ views, opinions and recommendations will be presented on the basis of their overriding obligation of professional independence, which may on occasion be at odds with the views, opinions or decisions of Members. 
11. 	Decision Making
Do come to meetings with an open mind and demonstrate that you are open-minded. 
Do make decisions in accordance with the Development Plan unless material considerations indicate otherwise. 
Do come to your decision only after due consideration of all of the information reasonably required upon which to base a decision. If you feel there is insufficient time to digest new information or that there is simply insufficient information before you, request that further information. If necessary, defer or refuse the application. 
Don’t vote or take part in the decision on a proposal unless you have been present to hear everything that has been said at that meeting, including the officers’ introduction to the matter. 
Do make sure that if you are proposing, seconding or supporting a decision (especially one contrary to officer recommendations or the development plan) that you clearly identify and understand the planning reasons leading to this conclusion/decision. These reasons must be given prior to the vote and be recorded. Be aware that you may have to justify the resulting decision by giving evidence in the event of any challenge. 
12. 	Member Awareness
The planning system is a quasi judicial process involving complex legal and technical issues which require the application of sound judgement in the assessment of planning proposals. A failure to follow proper practice and procedures can lead to serious consequences for the planning authority. Therefore: 
Do endeavour to participate in any sessions provided to raise awareness on planning matters and this Code of Good Practice which will assist you in carrying out your role properly and effectively. 
It would not be appropriate for Members who have not attended these sessions to be involved in determining planning proposals

13. 	Planning Applications by Councillors or Officers of the Council 
•	When a planning application is submitted by a serving councillor or officer or by a close relative or a close friend of either or by a councillor acting as agent for the applicant the councillor or officer concerned will: 
•	take no part in the processing and determination of the application 
•	advise the Monitoring Officer & the Planning Manager of the application 
•	All applications which fall within the first point above will be reported to the appropriate committee & determined by committee & not by an officer under delegated powers. 
•	The report of the Planning Manager will include confirmation from the Monitoring Officer that these requirements have been met. 
14.	Planning Applications by the Council 
•	Subject to the provisions of the Town & Country Planning General Regulations 1992 planning applications made by or on behalf of the Council will be treated in the same way as those made by or on behalf of private applicants. 

15.	Records of Delegated Decisions 
•	Where the power to make a decision on a planning application is delegated to an officer he/she will make & place on the application file a written record containing all the information that would have been put before a committee of the Council to enable them to determine the matter. In particular the record will clearly show the reasons for the decision reached & the policies & other material considerations on which it was based.






 
Officer’s Code of Conduct

See the code of Conduct at Appendix 1.

A number of additional codes apply to officers as follows:

(a)	Anti fraud and Corruption Strategy (Appendix 2) See also Appendix A

(b)	Hospitality (See Appendix B and clauses 12 and 13 below.)

(c)	Computer Security Policy (Appendix 3)

(d)	Whistleblowing Policy (Appendix 4)


12.	HOSPITALITY [See appendix B – Hospitality Policy:  Interests in Contracts, etc.)

12.1	Employees should only accept offers of hospitality if there is a genuine need to impart information or represent the Local Authority in the community.  Officers 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.  They should be properly authorised and recorded.

12.2	When hospitality has to be declined those making the offer should be courteously but firmly informed of the procedures and standards operating within the Authority.

12.3	Employees should not accept significant personal gifts from contractors and outside suppliers, although the Authority may wish to allow employees to keep insignificant items of token value such as pens, diaries, etc.

12.4	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.

12.5	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 authorities meet the cost of such visits to avoid jeopardising the integrity of subsequent purchasing decisions.

13.	SPONSORSHIP – GIVING AND RECEIVING

13.1	Where an outside organisation wishes to sponsor or is seeking to sponsor a local government activity, where 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.
 

Officers Code of Conduct

A number of codes of conduct apply to officers. These are listed and appended as follows:

(a)	The Code of Conduct attached as Appendix 1
(b)	The Anti fraud and corruption Strategy attached as Appendix 2 (See also Appendix A)
(c)	The hospitality Code (See Appendix B)
(d)	The computer Security Policy (Appendix 3)
(e)	The Whistleblowing Policy (Appendix 4)

 
Code of Conduct for Local Government Employees

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. The authority itself may decide to be open about other types of information. Employees must be aware of which information their authority is and is not open about, and act accordingly.

2.2	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. Any particular information received by an employee from a councillor which is personal to that councillor and does not belong to the authority 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.

3.	Political neutrality
3.1	Employees serve the authority as a whole. It follows 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	Political assistants appointed on fixed term contracts in accordance with the Local Government and Housing Act 1989 are exempt from the standards set in paragraphs 3.1 to 3.3.

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. Close personal familiarity between employees and individual councillors can damage the relationship and prove embarrassing to other employees and councillors and should therefore be avoided.

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 policies 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 run 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 contractors, should declare that relationship to the appropriate manager.

5.	Appointment and other employment matters
5.1	Employees involved in appointments should ensure that these are made on the basis of merit. It would be 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. 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.

5.2	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.

6.	Outside Commitments
6.1	Some employees have conditions of service which require them to obtain written consent to take any outside employment. All employees should be clear about their contractual obligations and should not take outside employment which conflicts with the authority’s interests.

6.2	Employees should follow their authority’s rules on the ownership of intellectual property or copyright created during their employment.

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 without formal membership and commitment of allegiance and which has secrecy about rules or membership or conduct.

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.

9.	Separation of Roles During Tendering
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. 

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.

12.	Hospitality
12.1	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. They should be properly authorised and recorded.

12.2	When hospitality has to be declined those making the offer should be courteously but firmly informed of the procedures and standards operating within the authority.

12.3	Employees should not accept significant personal gifts from contractors and outside suppliers, although the authority may wish to allow employees to keep insignificant items of token value such as pens, diaries, etc.

12.4	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.

12.5	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 authorities meet the cost of such visits to avoid jeopardising the integrity of subsequent purchasing decisions.

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.














 
ANTI THEFT, FRAUD AND CORRUPTION POLICY				APPENDIX A


AUDIT COMMISSION RECOMMENDATIONS

As a result of the growing anxiety amongst the public and the media about the alleged levels of fraud and corruption in Local Government the Audit Commission in 1993 issued a document entitled Protecting the Public Purse.  This was followed up in 1995 by an Audit Commission bulletin Ensuring Probity in Local Government – 1995 Update which recommends that local government should –

	incorporate the Nolan Committee’s Seven Principles of Public Life into Codes of conduct (see Appendix 2);

	introduce codes of conduct where not issued;

	define what gifts and hospitality maybe accepted by employees and members;

	establish audit committees;

	develop fraud strategy statements which emphasise the importance probity;

	improve risk assessment by internal audit;

	create formal arrangements for employees to express concerns about suspected fraud and corruption;

	develop explicit investigatory protocols;

	continue developing relationships and effective liaison arrangements with other authorities and agencies;  and

	develop data-matching initiatives and the fraud audit liaison network.

	These recommendations have been accompanied by increased concern of the Council’s external auditors regarding formal procedures to minimise the chance of undetected fraud.


NOLAN COMMITTEE

The Seven Principles of Public Life

Selfishness – 	Holders of public office should take decisions solely in terms of the public interest.  They should not do so in order to gain financial or other material benefits for themselves, their family, or their friends.

Integrity – 	Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might influence them in the performance of their official duties.

Objectivity – 	In carrying out public business, including making public appointments, awarding contracts, or recommending individuals for rewards or benefits, holder of public office should make choices on merit.

Accountability – 	Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office.

Openness – 	Holders of public office should be as open as possible about all the decisions and actions that they take.  They should give reasons for their decisions and restrict information only when the wider public interest clearly demands.

Honesty – 	Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest.

Leadership – 	Holders of public office should promote and support these principles by leadership and example.

 

HOSPITALITY POLICY – INTERESTS IN CONTRACTS ETC		APPENDIX B

HOSPITALITY

During the course of your employment it is possible that you will be offered gifts by the people or organisations with whom you deal.  The purpose of this document is to try to offer guidance about which gifts are acceptable and which are not.

Since the Council discharges many public functions it is essential that the public has every confidence that the Council officers and members try to operate fairly to everyone.

A gift by an interested party to an officer can threaten this trust, regardless of whether or not the gift is intended to influence its recipient’s decision and regardless of whether it actually does influence it.


THE LAW

The Prevention of corruption Acts make it an offence to receive practically anything in return for showing favour or disfavour to a particular person.  This applies both in regard to the council as a public body and the Council as a purchaser of services and supplies.

Where a person or a business holds or is seeking to obtain a contract with the Council then any gift or other consideration is presumed to have been made corruptly unless the contrary can be shown e.g. no hospitality whatsoever can be accepted in a tendering situation.

Officers above Scale 6 must devote themselves full time to Council Service except with the Council’s consent.

No officer should subordinate their interest to that of another group or organisation.

Officers should disclose any interests in contracts.

See also paragraphs 2.1 and 2.2 of the Green Book (National Agreement on Pay and conditions of Service) which relate to officers’ conduct.  These form part of your terms and conditions of employment.

GIFTS

The offer of any gift at all should be reported to your Chief Officer and recorded in the register set up for that purpose..  Minor items such as cheap biros, rulers, calendars and diaries can normally be accepted on behalf of the Council. Gifts with a monetary value over £25 should not ever be accepted other than in exceptional circumstances. Minor gifts of food and drink can be accepted on behalf of the Council and shared out.

FOOD AND DRINK EATEN WITH OTHER PEOPLE

This is more difficult since it is offered to an officer personally.  At one extreme, it is plainly alright to accept a cup of tea on a site visit and at the other it is definitely not acceptable to allow someone to buy you an expensive lunch in a rather nice restaurant.  Perhaps a sensible compromise is to accept a lunch if you would otherwise have to claim for it or it is the most convenient way of having lunch and if its value is comparable to what you could have claimed.  It is also acceptable to receive a lunch at an official opening or similar group function.  This area is one where officers really have to use their own judgement.  Remember, if in doubt, REFUSE.

RECORDING HOSPITALITY

All gifts and hospitality should be recorded in the register maintained for that purpose.  It is kept by Legal and Administration.


OFFICERS’ INTERESTS IN CONTRACTS, DECISIONS, ETC.

There may be occasions when officers have a personal interest in the Council’s activities and the outcome of Council decisions.  Interests in contracts are covered by statute but there are many other kinds of interests which may arise during the course of your duties.

The most important thing is that officers behave with integrity.  To achieve this, conflicts of interests must be avoided and the Council must stop them arising.


PECUNIARY INTERESTS

Section 117 Local Government Act 1982 requires officers to give the council written notice of any contract or proposed contract in which the officer has pecuniary interest (direct or indirect) as soon as the officer becomes aware of it.  Failure to declare such an interest is an offence.

A pecuniary interest is where an officer or his/her spouse stands to make money from the contract (e.g. they own or are employed by the business that the contract will be with or shares in the company contracted with).  Officers may have a shareholding of up to 1% of a company’s issued capital or having a nominal value of up to £5,000, whichever is the lesser, without a declarable pecuniary interest arising.  (There are other, technical, rules about shareholdings, please consult the Chief Executive if further clarification is required.)

The examples given are not exhaustive.  If you are in any doubt you can seek advice from the Chief Executive, who will maintain a record of all declarations under Section 117.  The register of declarations under Section 117 may be inspected by Members and Chief Officers only.


NON-PECUNIARY INTERESTS

There is no legislation governing these.  It is impossible to list everything that constitutes a non-pecuniary interest.  The Authority expects officers to be sensitive to the possibility of them arising.  Any decision taken by an officer who has a non-pecuniary interest in the outcome could be quashed by a court, and disciplinary action could follow.

You must never allow a situation to appear as though you are using your position to promote any interest other than the public interest.

This includes your own interests, those of your family and friends, those of another employer, those of another association or organisation (including a Trade Union) and those of your fellow employees.

If such an interest arises you must declare it at once to your Chief Officer, who will advise you and record the interest in a register kept for the purpose.

There are limitless numbers of ways in which such an interest can arise.  The question to ask yourself is:

If a reasonable man know that I was involved in making this decision and had this interest in its outcome then would he think that any decision made would be at risk of being biased?

Plainly you should not inspect your friend’s factory, decide your neighbour’s planning application or grant your brother’s licence.

Guidance is available from your Chief Officer or from the Chief Executive.  Again you are urged to err on the side of caution in this matter.











 

OADBY AND WIGSTON BOROUGH COUNCIL
 
	
	


 COMPUTER USAGE GUIDANCE NOTES AND PROCEDURES FOR COUNCIL EMPLOYEES AND MEMBERS




The damage that breaches of security within I.T. Systems could have on the Council’s business is inestimable and whilst these notes are for guidance they are not foolproof and all staff and members need to be vigilant in ensuring I.T. Systems are kept safe. Staff and members are reminded that breaches of these procedures could lead to further action being taken.




29th December 2003 

1.	Introduction

This document contains in brief, the do’s and don’ts of good computer practice for those staff and members who use computers to carry out any aspect of their work or duties.

2.	Software and Software Licences

•	Consultation with ICT Services on all proposed new software purchases should take place prior to placing an order to allow its compatibility with your configuration, suitability for your requirements and adherence to Corporate Standards to be checked.  All ICT purchase should be made by ICT Services on your behalf.

•	You should only use software packages for which you have received appropriate training. Requests for training should be made to your Line Manager or the appropriate Chief Officer.

•	No software of any form should be loaded onto any Council computer equipment without ICT Services involvement.

•	Only correctly licensed software should be installed on your computer to prevent infringement of copyright/licence agreements. Copies of all licences should be kept in a safe place and be readily available for inspection – preferably in ICT Services.

•	Installation of such software should only be undertaken by authorised persons, e.g. ICT Services, or suitable representatives of external suppliers of computer systems who have been approved by ICT Services.

•	Be very alert with respect to salespersons, computer engineers, or any other person who wishes to use or ‘fix’ your computer. Even if they are expected, verify who they are by checking their ID. If they are not expected or you are unsure, contact your Manager or ICT Services for advice.

Note:  The term software used in this document refers to all programs, data, screen savers, games etc. which can be loaded onto computers via any media. E.g. Disk, CD, magnetic tape, another PC/Network etc., or the Internet.




3.	Virus Control

•	All media, including disks, CD’s, data tapes etc. which are received, regardless of their source, should be treated as suspect and therefore virus checked when it is used/read. All PC’s in the Council have virus scanners installed but this is no guarantee of safety. Consult ICT Services if in any doubt.

•	The using and passing of floppy disks within the Council is wholly discouraged. There are better ways to store data – please ask ICT Services for advice.

•	You should be aware that documents received via electronic mail could contain viruses if the author has not followed virus checking procedures. Caution is advised.

•	All documents/files which are downloaded from the Internet should be considered potentially hazardous and therefore particular care must be taken to check such information for viruses.

•	Virus checking software does not guarantee immunity from infection as new viruses continue to be written, it does however offer the most effective means of detecting viruses if everyone follows the guidance given.

•	If a virus is detected on your computer you must immediately stop using the machine and contact the ICT Services Help Desk on 624, where all such calls will be treated as a priority. If you are working outside of normal hours you should log out of the machine and switch off, notifying the Help Desk at the earliest opportunity. If the source of the virus is identified, the supplier should also be informed at the earliest opportunity. (please use the answering machine if your call is not taken immediately.)



4.	Data Ownership


•	The Council retains ownership of all Council data held on the Council’s computer systems.

•	Access to specific information held on computer systems will only be granted to third parties on the request of a senior member of staff or Chief Officer who can be considered responsible for the security of that particular data.



5.	Physical Security

•	To avoid the possibility of damage, computer equipment should not have any equipment installed or connected to it, or be disconnected or re-sited without first consulting ICT Services. Any new equipment must not be connected to the communications network without consultation with ICT Services.

•	Portable equipment (e.g. laptop PC’s) should be locked away when not in use.

•	Storage media containing software and back up information should be stored securely away from the area of the PC and if possible in a fireproof safe.

•	Ensure that any media or paper printouts which contain sensitive information are kept in a secure place.

•	Never leave visitors alone with equipment or allow them to wander freely about the building.

•	All new computer equipment and software must be notified to ICT Services to allow the Corporate Inventory to be maintained. The Inventory is also the source of information used for the Council’s insurance of I.T. equipment.

•	Any problems in operating computer equipment and systems, or any loss or damage, must be reported immediately to ICT Services via your Line Manager or the appropriate Chief Officer.

•	I.T. equipment and software which is to be disposed of or considered obsolete should be notified to ICT Services prior to any action being taken as it may be utilised in other areas of the Council.

 

6.	Disaster Recovery

•	All corporate and major departmental systems, plus systems which save data on the network have back up regimes and disaster recovery processes administered by ICT Services.

•	Where data and/or programs are held locally, (e.g. on the PC’s own hard disk) then it is up to the officer responsible for the data to ensure that back ups are carried out as necessary.

•	Advice on how and what to back up and the frequency of such procedures can be obtained from ICT Services.

•	All back up media (disks, tapes etc.) should be kept away from the area of the PC so that in case of fire or theft they are not lost as well.


 

7.	System Security

•	To avoid unauthorised access, computers should not be left unattended whilst logged on to any system which either contains personal or confidential information, or is capable of updating critical or financial information.

•	If the PC is to be left unattended, log off first. If the PC is not to be used for any length of time, turn off the power.

•	Never write down your password or display it in any way. If you forget it contact the ICT Services Help Desk on Extension 624.

•	Never divulge your password to anyone else. You will remain responsible should it be misused.

•	When using a laptop, avoid storing sensitive information on the local hard drive. If this is unavoidable, contact ICT Services for advice on protecting this data.

 

8.	Council Resources
 
•	Always treat computer equipment with respect and care.

•	Do not use Council equipment for unauthorised work.

•	Do not remove Council equipment for use at home or outside of your workplace, without express permission of either  ICT Services or your Line Manager/ appropriate Chief Officer. This includes laptops, disks, manuals etc. 



9.	Internet Access

•	A separate document concerning the use of the Internet is issued to all staff and members who are authorised to use it, and they must sign the undertaking contained within this document. If you have not been granted access or have not signed such an undertaking DO NOT attempt to use the Internet on Council equipment.


 

10.	Health and Safety

•	Keep your keyboard, mouse and screen clean, but use only suitable cleaning materials.

•	Keep all food and drinks away from all computer equipment.

•	Ensure your working position is comfortable and in accordance with Health and Safety guidelines.

•	All electric cables should not be frayed and lie away from areas where people can trip over them or catch them with their feet. If cables must cross walkways a suitable cable cover should be used.



11.	Data Protection


•	The Council aims to apply the principles of the Data Protection Act to all data operations. All staff and members who use computers must be aware of their responsibilities under the Act and comply with the Data Protection Principles outlined in the Councils Data Protection Policy.  Any wilful non-compliance will be regarded as a serious disciplinary matter.

Note:-  Requests for copies of the Data Protection Policy or queries regarding it should be directed to the Assistant Chief Executive.



12.	Computer Misuse

•	Ensure you know which areas of a system you can access with your user name and password.

•	Do not attempt to gain access to programs/data areas of a system which you know you cannot normally access. This includes trying to log into a computer as somebody else and browsing through directories on a computer which has been left unattended, but is still logged on.

•	Only use programs for their intended use.

•	Do not divulge any information regarding your access to computers to anyone or assist anyone to obtain access.

•	Do not do anything which you know will, or intend to:

?	Cause unauthorised changes to be made to the contents of any computer;
?	Prevent any computer from working properly;
?	Make it impossible or difficult for anyone seeking authorised access;
?	Prevent any program from working properly;
?	Decrease the reliability of any data;
?	Introduce a virus onto the computer.

•	Report any suspected security weakness to the appropriate Chief Officer or ICT Services. Do not attempt to prove the weakness yourself as this may be considered computer misuse.

Note:-  The above points reflect the meaning of the Computer Misuse Act 1990 which carries penalties including imprisonment and substantial fines.



13.	Legislative Framework  

Before you use personal data, make sure you are using it in accordance with the reason for its collection. If in any doubt please consult your Line Manager or the appropriate Chief Officer.

The principle legislation concerning the protection and use of personal information is as follows:

•	Human Rights Act 1998 (Article 8)
•	The Freedom of Information Act 2000
•	Data Protection Act 1998
•	The Common Law Duty of Confidence



14.	Questions

If you have any questions relating to this document please contact the ICT Services Manager on Extension 664 or the Internal Audit Section on Extension 640



15.	Appendix 1  -  Internet Usage Undertaking

The following document is to be signed by all users of the Council Internet facilities.



16.	Appendix 2  -  Members Access






 

	Appendix 1

Oadby & Wigston Borough Council

Internet & E: Mail Usage Undertaking 


I, the undersigned, have fully read and understood the regulations, rules and conditions of use, of the Councils Internet facility as detailed in this document.

I have received a copy of the Councils Computer Usage Guidance Policy and I am familiar with its contents.

I undertake to abide by these rules, and to use the Internet facility according to these rules, and within the spirit of the regulations.

I understand that any infringement of these rules, or abuse of the facility, may render me liable to disciplinary action or penalties under the Computer Misuse Act 1990.

I understand that the use of Internet activity including addresses visited are subject to Internal Audit examination on a regular basis.



Name: [ Please print block capitals]…………………………………………………….

Position: [ Please print block capitals]………………………………………………….


Signed: …………………………………………………………………………………….

Date: ……………………………………………….





This Policy was reviewed and approved by Policy and Resources Committee on 16th March 2004


Appendix 2



MEMBERS ACCESS



Members will have access to all content available via the Council’s Intranet. This will include:-

•	The A – Z of Services;
•	The Council’s phone list;
•	Booking Diaries for the Council Chamber, Members Room, and Committee Room;
•	ICTS Resources  ( Booking of Laptops, projectors etc);
•	Other Links – Oadby & Wigston Borough Council Website;
•	Property Search Engine;
•	Council Minutes Search Engine;
•	Publications on-line.

Members can also view Corporate folders on the Network e.g. Library, Policies.

All other resources may be made available upon request from Mrs Wendy Back, Chief Executive, on a need to know basis. 

























   
Conditions, Rules and Regulations


Conditions

1.	During working hours the Internet facility shall at all times be used only for legitimate work purposes in pursuit of the Councils goals;
2.	The nature of sites browsed and the contents of e-mails shall at all times be compatible with the good taste expectations of a reasonable member of the public;
3.	The facilities will not be used for personal use except outside your working or core hours and subject to all of the conditions outlined in this policy;
4.	In general terms, any use of the Internet which contravenes any legal Act (for example, The Data Protection Act 1998, The Computer Misuse Act 1990, The Copyrights, Designs and Patents Act 1988, The Obscene Publications Act 1959 and 1964); or any internal Council policy is unacceptable. Unacceptable uses include the following: 
•	Illegal or malicious use, including  transmitting copyright material;
•	Accessing, storing or transferring pornographic or obscene material;
•	The deliberate propagation of computer viruses, or use of the Internet to attempt unauthorised access to any other IT resource;
•	Access to or distribution of material which contravenes the Council’s Equal Opportunities and Harassment Policies;
•	Soliciting/obtaining personal information not in connection with the Councils business, without prior authorisation.(This could contravene the Data Protection Act and leave you, and the Council, susceptible to legal action);
•	Use of e-mail for potentially libellous or defamatory purposes;
•	The Councils Internet service and e-mail may not be used for transmitting, retrieving or storing any communications of a discriminatory or harassing nature or materials that are offensive, obscene, pornographic or sexually explicit. Internet users must not transmit abusive, profane or offensive language on or through the Councils internet or e-mail systems.
5.	This undertaking is in addition to, and compliments any regulations in force from the Conditions of Employment,  Data Protection Policy and the Computer Usage Guidance Policy;
6.	All documents / files on the Internet should be considered potentially hazardous and therefore particular care should be exercised to check these files for viruses. Deliberate introduction of any damaging virus is a crime under the Computer Misuse Act 1990.
7.	If a virus is detected or suspected on your computer, you must IMMEDIATELY stop using the machine and contact ICT Services;
8.	The Council retains ownership of all Council data held on the Councils computer systems. No files or data should be passed electronically to external entities, or passwords divulged to any external entity without express permission of a senior member of staff or Chief Officer who can be considered responsible for the security of that particular data;
9.	No commercial commitment should be made on behalf of the Council when using the Internet facility, without the authorisation of a senior member of staff with the appropriate procurement authority.
10.	Subject to maintenance demands, the service will be available between 8:30am and 5:30pm Monday to Friday.
11.	The Director of Resources retains sole discretion to grant or revoke authority to use the Internet or e-mail facility;
12.	If individuals of the service are unsure about any aspect of the operation of the facility, or permitted use, clarification should be sought from ICT Services before proceeding;
13.	Line Managers and Chief Officers are responsible for monitoring usage and  have the discretion to restrict personal usage of the Internet facility outside core hours if the facility is required for official Council duties;
14.	No Council facility shall be used for the setting up of personal Web Pages or for running any personal business.

  	
Rules

	
1.	No software of any kind will be downloaded to any PC from the Internet. (This includes: Screensavers, Evaluation Software, Free Software, and any data or files that can be executed on a PC, or cause modification to any files on a PC or a network, including HTML based files.)
2.	The use of Hotmail accounts, or other web-based E:Mail services is forbidden;
3.	PC’s with Internet access should be left secure to protect against unauthorised use, e.g. by use of a password protected screensaver;
4.	Subscription to other ISP’s (Internet Service Providers) is strictly forbidden;
5.	The use of Chat Rooms for private use is forbidden;
6.	Copying data to the Internet is forbidden (unless this is part of your job.) This includes copying web pages or files to sites owned by individuals within the Council, or third parties. (Can sometimes be called “uploading”.)

Regulations

1.	All activity on the Internet will be logged and copies of all e-mails archived (subject to Data Protection and Freedom of Information constraints.) The Council will use a variety of tools to monitor use of the internet on Council owned facilities. These will include logging, recording and inspecting the times and nature of use of the internet, including the possible examination of the contents of internet mail messages sent and the addresses of Web sites visited;
2.	Activity logs and staff time sheets will be periodically examined for usage which contravenes this undertaking;
3.	Activity logs and time sheets can form the basis for evidence in disciplinary proceedings or penalties under the Computer Misuse Act 1990.
4.	The Council may respond to violations of this policy by any combination of the following:
•	Denial of internet access for a period or permanently;
•	Provision of information to the police for possible criminal proceedings.

		Action may be taken against any user of the Council’s internet and e-mail service that contravenes the requirements of this policy, or constitutes a breach of the Local Code of Conduct  by reference to the Standards Board for England.

 
			























Revised September 2005 
JEB






OADBY AND WIGSTON BOROUGH COUNCIL


 



	
	

CONFIDENTIAL REPORTING (WHISTLEBLOWING) POLICY
 




JOY BROWN

REVISED 7TH SEPTEMBER 2005





 
OADBY AND WIGSTON BOROUGH COUNCIL


CONFIDENTIAL REPORTING (WHISTLEBLOWING) POLICY


Summary Guidance Note

INTRODUCTION

This document provides a summary of the Councils “Confidential Reporting Whistleblowing Policy”. A copy of the full policy is available on the Councils  Intranet (F: Library: Policy: Confidential Reporting (Whistleblowing) Policy.


1.	PREAMBLE

1.1	Employees are often the first to realise that there may be something seriously wrong within the Council. However, they may not express their concerns because they feel that speaking up would be disloyal to their colleagues or the Council. They may also fear harassment or victimisation. In these circumstances it may be easier to ignore the concern rather than report what may just be a suspicion of malpractice.

1.2	The Council recognises that employees who raise concerns are protected under the Public Interest Disclosure Act 1998 and may be eligible to compensation if they subsequently suffer victimisation, discrimination or disadvantage.

 2.	AIMS AND SCOPE OF THIS POLICY

2.1	This Policy aims to:

?	Encourage you to feel confident in raising concerns and to question and act upon your concerns
?	Provide avenues for you to raise those concerns and receive feedback on any action taken
?	Ensure that you receive a response to your concerns and that you are aware of how to pursue them if you are not satisfied
?	Reassure you that you will be protected from possible reprisals or victimisation if you have a reasonable belief that you have made any disclosure in good faith
?	Provide an avenue for members of the public to raise concerns which would not be considered under the Council’s Formal Complaints Procedure.

3.	SAFEGUARDS – Harassment or Victimisation

3.1	The Council recognises that the decision to report a concern can be a difficult one to make. If what you are saying is true, you should have nothing to fear because you will be doing your duty to your employer and those for whom you are providing a service.

3.2	The Council will not tolerate any harassment or victimisation (including informal pressures) and will take appropriate action to protect you when you raise a concern in good faith.
 

4.	CONFIDENTIALITY

4.1	All concerns will be treated in confidence and every effort will be made not to reveal your identity if you so wish. At the appropriate time, however, you may need to come forward as a witness.

5.	UNTRUE ALLEGATIONS

5.1	If you make an allegation in good faith, but it is not confirmed by the investigation, no action will be taken against you. If, however, you make an allegation frivolously, maliciously or for personal gain, disciplinary action may be taken against you.

6.	HOW TO RAISE A CONCERN

6.1	Advice and guidance on how to pursue matters of concern may be obtained from the Council’s nominated contact points who are:

?	Chief Executive – Mrs Wendy Back (Ext 600)
?	Director of Resources – Mr Paul Johnson (Ext 621)

6.2	Concerns may be raised verbally or in writing. Staff who wish to make a written report are invited to use the following format:

?	The background and history of the concern (giving relevant       dates);
?	The reason why you are particularly concerned about the situation.

6.3	Concerns or complaints against Councillors should be made in writing to The Standards Board For England. Forms are available from “The Standards Board for England”. 1st Floor, Cottons Centre, Cotton Lane, London. SE1 2QG. Telephone 0845 078 8181.

		  
7.	HOW THE COUNCIL WILL RESPOND

7.1	Where appropriate, the matters raised may:

?	Be investigated by Management, Internal Audit, or through the disciplinary process;
?	Be referred to the Police;
?	Be referred to the External Auditor;
?	Form the subject of an independent enquiry.

7.2	In order to protect individuals and those accused of misdeeds or possible malpractice, initial enquiries will be made to decide whether an investigation is appropriate and, if so, what form it should take, The overriding principle which the Council will have in mind is the public interest. Concerns or allegations which fall within the scope of specific procedures (for example, misconduct or discrimination issues) will normally be referred for consideration under those procedures.

8.	HOW THE MATTER CAN BE TAKEN FURTHER

8.1	This Policy is intended to provide you with an avenue within the Council to raise concerns. The Council hopes you will be satisfied with any action taken. If you are not, and you feel it is right to take the matter outside the Council, the following are possible contact points:

?	The Audit Commission (telephone line – 020 7 630 1019)

?	Your Trade Union

?	Your local Citizens Advice Bureau

?	Relevant professional bodies or regulatory organisations

?	A relevant voluntary organisation (Public Concern at Work – telephone number – 020 7404 6609)

?	The Police

?	The Data Protection Registrar (Telephone – 01625 545700)

?	The Health and Safety Executive (Telephone  – 0541 545500 – HSE infoline)

?	For concerns or complaints against Councillors only. The Standards Board for England. (Telephone – 0845 078 8181).

8.2	If you take the matter outside the Council, you should ensure that you do not disclose confidential information. Check with one of the Council’s nominated contact points about that. (see 6.1)


JEB/ August 2003 
Revised 7th September 2005


OADBY AND WIGSTON BOROUGH COUNCIL


CONFIDENTIAL REPORTING (WHISTLEBLOWING) POLICY


POLICY STATEMENT

“Oadby and Wigston Borough Council is committed to the prevention, deterrence, detection and investigation of fraud, corruption and malpractice in all forms. It encourages employees of the Council and its contractors who have serious concerns about any aspect of its work, including matters of health and safety, to voice those concerns.


1.	PREAMBLE

1.1	Employees are often the first to realise that there may be something seriously wrong within the Council. However, they may not express their concerns because they feel that speaking up would be disloyal to their colleagues or the Council. They may also fear harassment or victimisation. In these circumstances it may be easier to ignore the concern rather than report what may  just be a suspicion of malpractice.

1.2	The Council is committed to the highest possible standards of openness, probity and accountability. In line with that commitment we expect employees, and other that we deal with, who have serious concerns about any aspect of the Council’s work to come forward and voice those concerns. It is recognised that most cases will have to proceed on a confidential basis.

1.3	This policy document makes it clear that you do so without fear of victimisation, subsequent discrimination or disadvantage. This Confidential Reporting (Whistleblowing) Policy is intended to encourage and enable employees to raise serious concerns within the Council rather than overlooking a problem or ‘blowing the whistle’ outside.

1.4	The Council recognises that employees who raise concerns are protected under the Public Interest Disclosure Act 1998 and may be eligible to compensation if they subsequently suffer victimisation, discrimination or disadvantage.

1.5	The policy applies to all employees and those contractors working for the Council on Council premises. It also covers suppliers and those providing services under a contract within the Council or on their own premises.

1.6	These procedures are in addition to the Council’s complaints procedures and other statutory reporting procedures applying to some sections.

1.7	This policy has been discussed with the relevant trade unions and has their support.

1.8	The principles of this policy also apply to concerns of the general public.
 
2.	AIMS AND SCOPE OF THIS POLICY

2.1	This Policy aims to:

?	Encourage you to feel confident in  raising concerns and to question and act upon your concerns
?	Provide avenues for you to raise those concerns and receive feedback on any action taken
?	Ensure that you receive a response to your concerns and that you are aware of how to pursue them if you are not satisfied
?	Reassure you that you will be protected from possible reprisals or victimisation if you have a reasonable belief that you have made any disclosure in good faith
?	Provide an avenue for members of the public to raise concerns (as listed at 2.2 below) which would not be considered under the Council’s formal Complaints Procedure.

2.2	There are existing procedures in place to enable you to lodge a grievance relating to your own employment. The Confidential Reporting (Whistleblowing) Policy is intended to cover major concerns that fall outside the scope of other policies and procedures. These include:

?	Conduct which is an offence or a breach of law
?	Disclosures related to miscarriages of justice
?	Health and safety risks, including risks to the public as well as other employees
?	Damage to the environment
?	The unauthorised use of public funds
?	Possible fraud and corruption
?	Sexual or physical abuse of clients, or
?	Other unethical conduct.

2.3	Thus, any serious concerns that you have about any aspect of service provision or the conduct of officers or members of the Council or others acting on behalf of the Council can be reported under the Confidential Reporting (Whistleblowing) Policy. This may be something that:

?	Makes you feel uncomfortable in terms of known standards, your experience or the standards you believe the Council subscribes to: or
?	Is against the Council’s Standing Orders, Financial Regulations and Policies; or
?	Falls below established standards of practice: or
?	Amounts to Improper conduct.

2.4	This policy does not replace the Council’s Complaints Procedure.


3.	SAFEGUARDS – Harassment or Victimisation

3.1	The Council is committed to good practice and high standards and wants to be supportive of employees.

3.2	The Council recognises that the decision to report a concern can be a difficult one to make. If what you are saying is true, you should have nothing to fear because you will be doing your duty to your employer and those for whom you are providing a service.

3.3	The Council will not tolerate any harassment or victimisation (including informal pressures) and we will take appropriate action to protect you when you raise a concern in good faith.

3.4	Any investigation into allegations of potential malpractice will not influence or be influenced by any disciplinary or redundancy procedures that already affect you.

4.	CONFIDENTIALITY

4.1	All concerns will be treated in confidence and every effort will be made not to reveal your identity if you so wish. At the appropriate time, however, you may need to come forward as a witness.

5.	ANONYMOUS ALLEGATIONS

5.1	This policy encourages you to put your name to your allegation whenever possible.

5.2	Concerns expressed anonymously are much less powerful but will be considered at the discretion of the Council.

5.3	In exercising this discretion the factors to be taken into account would include:

?	The seriousness of the issues raised
?	The credibility of the concern; and
?	The likelihood of confirming the allegation from attributable sources.

6.	UNTRUE ALLEGATIONS

6.1	If you make an allegation in good faith, but it is not confirmed by the investigation, no action will be taken against you. If, however, you make an allegation frivolously, maliciously or for personal gain, disciplinary action may be taken against you.

7.	HOW TO RAISE A CONCERN

7.1	Advice and guidance on how to pursue matters of concern may be obtained from the Council’s nominated contact points who are:

?	Chief Executive – Mrs Wendy Back (Ext 600)
?	Director of Resources –  Mr Paul Johnson (Ext 621)

If you believe that management is involved, you should approach the Chief Executive, who will make appropriate arrangements for your concern to be investigated. The Chief Executive will determine if the concern is most appropriately investigated initially by the Council’s Monitoring Officer or the Internal Audit Department.

7.2	Concerns may be raised verbally or in writing. Staff who wish to make a written report are invited to use the following format:

?	The background and history of the concern (giving relevant dates) ;
?	The reason why you are particularly concerned about the situation.

7.3	The earlier you express the concern the easier it is to take action.

7.4	Although you are not expected to prove beyond doubt the truth of an allegation, you will need to demonstrate to the person contacted that there are reasonable grounds for your concern.

7.5	You may wish to consider discussing your concern with a colleague first and you may find it easier to raise the matter if there are two (or more) of you who have had the same experience or concerns.

7.6	You may invite your trade union, professional association representative or a friend to be present during any meetings or interviews in connection with the concerns you have raised.

7.7	Concerns or complaints made against Councillors should be made in writing to “The Standards Board for England”. Forms are available from “The Standards Board for England” at 1st Floor, Cottons Centre, Cotton Lane, London. SE1 2QG. Telephone:  0845 078 8181.

8.	HOW THE COUNCIL WILL RESPOND

8.1	The Council will respond to your concerns. Do not forget that testing out your concerns is not the same as either accepting or rejecting them.

8.2	Where appropriate, the matters raised may:

?	Be investigated by Management, Internal Audit, or through the disciplinary process
?	Be referred to the Police
?	Be referred to the External Auditor
?	Form the subject of an independent enquiry.

8.3	In order to protect individuals and those accused of misdeeds or possible malpractice, initial enquiries will be made to decide whether an investigation is appropriate and, if so, what form it should take.  The Overriding principle which the Council will have in mind is the public interest. Concerns or allegations which fall within the scope of specific procedures (for example, misconduct or discrimination issues) will normally be referred for consideration under those procedures.

8.4	Some concerns may be resolved by agreed action without the need for investigation. If urgent action is required this will be taken before any investigation is conducted.

8.5	Within seven working days of a concern being raised, the Chief Executive will write to you:

?	Acknowledging that the concern has been received
?	Indicating how we propose to deal with the matter
?	Giving an estimate of how long it will take to provide a final response
?	Telling you whether any initial enquiries have been made
?	Supplying you with information on staff support mechanisms, and
?	Telling you whether further investigations will take place and if not, why not.

8.6	The amount of contact between the officers considering the issues and you will depend on the nature of the matters raised, the potential difficulties involved and the clarity of the information provided. If necessary, the Council will seek further information from you.

8.7	Where any meeting is arranged,  off-site if you so wish, you can be accompanied by a union or professional association representative or a friend.

8.8	The Council will take steps to minimise any difficulties which you may experience as a result of raising a concern. For instance, if you are required to give evidence in criminal or disciplinary proceedings the Council will arrange for you to receive advice about the procedure.

8.9	The Council accepts that you need to be assured that the matter has been properly addressed. Thus, subject to legal constraints, we will inform you of the outcome of the investigation.

9.	THE RESPONSIBLE OFFICER

9.1	The Chief Executive has overall responsibility for the maintenance and operation of this policy. That officer will maintain a record of concerns raised and their outcomes (this will be securely held in a format which does not endanger your confidentiality) and will be reported as necessary to the Council.

10.	HOW THE MATTER CAN BE TAKEN FURTHER

10.1	This policy is intended to provide you with an avenue within the Council to raise concerns. The Council hopes you will be satisfied with any action taken. If you are not, and you feel it is right to take the matter outside the Council, the following are possible contact points:

?	The Audit Commission (telephone line – 020 7 630 1019)

?	Your Trade Union

?	Your local Citizens Advice Bureau

?	Relevant professional bodies or regulatory organisations

?	A relevant voluntary organisation (Public Concern at Work – telephone number – 020 7404 6609)

?	The Police

?	The Data Protection Registrar (telephone – 01625 545700)

?	The Health and Safety Executive (telephone – 0541 545500 – HSE infoline)

?	For concerns or complaints against Councillors only. The Standards Board for England. (Telephone  -  0845 078 8181)

8.2	If you take the matter outside the council, you should ensure that you do not disclose confidential information. Check with one of the Council’s nominated contact points about that. (see 7.1)
 
Revised 7th September 2005


PROTOCOL FOR MEMBER/OFFICER RELATIONS 


1.0	Introduction

1.1	The Nolan Committee's Report on Standards of Conduct in Local Government recommended that every council should adopt a formal protocol setting out guidance for appropriate relationships between members and officers. 
The purpose of this protocol is to guide members and officers of the Council in their relationships with one another.  It is not intended to be prescriptive or comprehensive and seeks simply to offer guidance on some of the issues which most commonly arise. 
The Council is determined to provide excellent local government for the people of Oadby & Wigston Borough Council. It has produced this protocol for member/officer relations in order to promote the highest standards in public life and harmonious working relationships.

1.2	Partnership, based on mutual trust and respect between politicians and paid officers, is essential in achieving good local government.  However this partnership will not be effective unless there is a clear understanding by all of the role and obligations of members and the separate role and duties of officers.  This protocol sets out these roles, obligations and duties and also the ground rules for all to observe.  The standards in the protocol are binding and apply equally to elected members, voting and non-voting co-opted members and to officers where there is a joint responsibility.

1.3	The protocol is based upon legislation, Council policies and documents deriving from legislation as well as guidance from a variety of sources, primarily:

•	The Local Government Act 2000
•	The Council’s Constitution
•	The Member’s Code of Conduct
•	Guidance from the Office of the Deputy Prime Minister
•	Guidance from the Standards Board for England

1.4	The protocol is designed to supplement and offer local interpretation of these documents. The protocol refers extensively to members’ relationships with officers and other staff directly in the service of the Council.  The principles of the protocol also apply to members’ dealings with other people not directly employed by the Council but who are in an employment based relationship with the authority (such consultants employed on a longer-term basis by the Council). 

1.5	The principles underlying this protocol are as follows:
 
1.5.1	There shall be mutual courtesy and respect between members and officers with regard to their respective roles.

1.5.2	Members and officers shall each carry out their respective duties in the best interests of the Council. 

1.5.3	This protocol applies to all dealings between members and officers and not only formal meetings.
 
2.0	General Obligations of Members

2.1	Members must observe the Council’s Code of Conduct whenever they are conducting the business of the Council, conducting the business of their office or representing the Council.  Members and voting Co-opted members are bound in law by the Code of Conduct, but non-voting Co-opted Members are also expected to comply with the provisions of the Code of Conduct.

2.2	The Code of Conduct places certain general obligations that members must observe and which have a bearing upon member/officer relations:

2.2.1	Members must not, in their official capacity or any other circumstance, conduct themselves in a manner which could be reasonably regarded as bringing their office or the Council into disrepute.

2.2.2	Members must promote equality by not discriminating unlawfully against any other person, treat others with respect and not to do anything which compromises or is likely to compromise the impartiality of those who work for, or on behalf of the Council.

2.2.3	Members must not disclose information given to them in confidence by anyone or information which they have reason to believe is confidential unless they have authorisation or are required to do so by law.

2.2.4	Members must not prevent other person or persons from gaining access to information to which they are entitled by law.

2.2.5	Members must not use their position improperly to gain advantage for themselves or to advantage or disadvantage another person.

2.2.6	Members must use any Council facilities provided for them in their role as member strictly for that purpose and no other.  For example, members must not use rooms in the Council offices or any of the Council's paper, post, telephones, computers, photocopiers, or printers for any personal, business-related or party-political matter, nor on behalf of any community groups of which they are a member.

2.2.7		Members' support officers are provided to assist Councillors only in their role as Council members.  Members should not ask them to assist with any personal, business or party political matter.  This is so even when the person being contacted is a constituent, or an officer or a Councillor.  Members’ support officers will refer inappropriate requests for assistance to their service head.

2.2.8		Members are under an obligation to disclose personal interests and in accordance with the Code of Conduct.  Members must register financial and other interests as well as gifts and hospitality as set out in the Code of Conduct.

2.3	Members have a duty to act reasonably and when taking part in the Council's decision making processes, members must:

•	take into consideration every thing they regard as relevant, or which they are advised is relevant,
•	disregard anything which they consider is not relevant, or which they are advised is not relevant,
•	follow the correct procedure.

2.4	Members control the Council's assets and finances, are in a position of trust and therefore have a fiduciary duty to act in the interests of all the people of Oadby & Wigston Borough Council.  In law, someone with a fiduciary duty is someone who occupies a position of such power and confidence over the property of another that the law requires him or her to act solely in the interest of the person she or he represents.  This is in contrast with an ordinary business relationship, in which each party is free to seek purely personal benefits from his or her transactions with the other.  So, for example, a guardian, a trustee or an executor are all people with fiduciary duties. 

3.0	Relationship between Members and Officers 

3.1	The relationship between officers and members should be characterised by mutual respect which is essential to good local government. 

3.2	Any close personal or family relationships between officers and members should be disclosed to the Chief Executive who will then decide how far this needs to be disclosed to others.  Members must also declare any such relationship with an officer which might be seen as influencing their work as a member to their leader.

3.3	Members must not sit on a Council body or assume responsibility for any employee to whom they are married, the partner or otherwise closely related.

3.4	Generally, a close relationship between a member and a senior officer of second tier and above (and in some cases, other senior staff) is incompatible with the high standards of public life promoted by the Council and should be avoided or discouraged.  The relationship may put the member, or the officer, in a position to exercise improper influence over the workings of the Council.  Even if there is no actual impropriety, the situation may give rise to suspicion and the public may perceive that the opportunity for improper influence exists.  In these situations a member could not be expected to remain in office, whilst the officer remained employed by the Council.

3.5	Close personal familiarity between individual members and officers can damage professional relationships and prove embarrassing to other members and officers.  Situations should be avoided that could give rise to suspicion and any appearance of improper conduct. 

3.6	   		Officers and members should address each other formally at meetings of Full Council, Committee, Panels and other formal meetings that officers attend that are open to the public.  

3.7	   		Officers should dress formally when attending all meetings.  Officers should refer to members by the office they hold: Mayor, Chair, Vice-chair, or Councillor.  Members should avoid excessive informality and should refer to officers either by their title or by their full name.

3.8			The same degree of formality is not necessary at any social events that members attend with officers.  Nevertheless members and officers attending an event by virtue of their role with the Council should avoid close personal familiarity or any action which would embarrass others or damage your relationship with staff or members.  Socialising between members and officers other than in an official capacity should be avoided.

4.0	The Role of Members 

4.1	Members: 

4.1.1		Develop and set policies that will then be implemented by officers. 

4.1.2		Monitor how those policies are being implemented. 

4.1.3	Where their office allows them to do so, provide guidance to officers on how those policies are to be implemented, either if members wish to do so or if officers ask for guidance. 

4.1.4	Represent the views of their communities and ward constituents, and deal with individual casework. 

4.1.5	Recognise the statutory roles of the Chief Executive as Head of Paid Service, the Director of Finance (as Section 151 Officer of the Local Government and Housing Act 1989) and the Monitoring Officer, and of the significance attached to their advice. 

4.1.6	Consult with the communities they represent on the development of policy, particularly Best Value Reviews, the Best Value Performance Plan and other local initiatives. 

4.1.7	Consult with the Monitoring Officer and the Director of Finance about legality issues, maladministration, financial impropriety and probity or where they have any doubt as to whether the particular decisions are, or are likely to be, contrary to the policy framework, or contrary to, or not wholly in accordance with the budget. 

4.1.8		Respect officers' political impartiality

4.1.9		Promote the highest standards of conduct and ethics. 

4.2	Members must not: 

4.2.1	Insist that any officer take any action, or not take action that the officer considers unlawful or illegal; is in direct contradiction of any code or guidance, contrary to the Council’s budget or policy framework, or which would be likely to amount to maladministration. 

5.0	The Role of Officers 

5.1	Officers: 

5.1.1		Implement the policies set by members.

5.1.2	Will ask for guidance on implementation of the policies set by members if they are unclear about any aspect of those policies. 

5.1.3	Give such professional advice to members as may be required of them from time to time, recognising the different needs for advice members may have in their different capacities of ward member or scrutiny member. 

5.1.4	Carry out their delegated functions to the best of their ability and in the interests of the Council. 
5.1.5	Must remember that he or she is employed by the Borough of Oadby & Wigston Borough Council as a whole and not by any particular part of the Council. 

5.1.6	Are under a duty to help all Councillors/Co-opted members and all parts of the Council equally. 

5.1.7	Must take all relevant matters into account when formulating advice to members. 

5.2	Officers must not: 

5.2.1	Set policy other than for the smooth running of office procedures and processes and as may have been delegated under the Council’s Constitution and Scheme of Delegations. 

5.2.2	Take any action, or not take action, which would be unlawful or illegal, is in direct contradiction of any code or guidance, contrary to the Council’s budget or policy framework, or which would be likely to amount to maladministration.

6.0	Relationship between the Chair and Members of Scrutiny Panels and Officers 

6.1	The Chair and members of the Council's Scrutiny Panels and related bodies shall: 

6.1.2	Seek the advice of the Chief Executive or Monitoring Officer where they consider there is doubt about the legality of a decision. 

6.1.3	When considering calling officers to give evidence they shall not, without the consent of the relevant Chief Officer, request the attendance of a junior officer.  This is to ensure that more junior officers are not put under undue pressure. 

6.1.4	When asking officers to give evidence confine questions, so far as possible, to questions of fact and explanation relating to policies and decisions.  Officers may be asked to give a professional opinion, but officers must not be expected to give a political view. 

6.1.5	Where they consider it appropriate, ask officers to explain and justify advice given to members prior to decisions being taken and justify decisions they themselves have taken under the Council's Constitution and their responses to consultations under the Scheme of Delegations. 

6.1.6	Not question officers in such a way as to be in breach of the Council's policy on harassment nor deal with matters which are of a disciplinary nature. 

6.1.7		At all times respect the political impartiality of the officers. 

6.2	Officers shall: 

6.2.1	Maintain political impartiality at all times when commenting on the Council's policies and actions.
 
6.2.2	Be prepared to explain and justify advice given to members of the Council prior to decisions being taken and justify decisions they themselves have taken under the Council's Constitution and Scheme of Delegations. 

6.2.3	Ensure that an officer of sufficient seniority appears before the relevant panel. 

7.0	Officer Relationships with Party Groups 

7.1	When dealing with the various party groups: 

7.1.2	Any request for information to a political group or member will be treated with strict 'confidence by the officers concerned and will not be accessible to any other political group.  Factual information will, if requested, be available to all political groups 

7.1.3	Officers shall exercise care when giving briefings or commenting on the policies and actions of any of the Council's committees or panels and maintain political impartiality at all times. 

8.0	Members 

8.1	When acting in their ward role, members: 

8.1.1	Need to be mindful of their competing roles, i.e. acting for the Council and acting for constituents, and the possible conflicts of interest that can arise and the pressure this can bring on officer time. 
8.1.2		It is essential for the proper running of the Council that members should be fully informed about matters on which they may be required to make decisions or which affect their electoral divisions.  
8.1.3	It is the duty of each Director to ensure that all relevant staff are aware of the requirement to keep local members informed and that the timing of such information allows members to contribute to those decisions.  Local members shall also be kept informed about matters affecting their wards during the formative stages of policy development. 
8.1.4	Issues may affect a single electoral ward but others may have a wider - even sub-regional impact, in which case numerous members will need to be kept informed. 
8.1.5	Local members have an important role to play in representing the Council in their constituencies; responding to the concerns of their constituents; in meetings with partners and serving on outside organisations. 
8.1.6	Whenever a public meeting is organised by the Council to consider a local issue, all the members representing the electoral wards(s) affected should as a matter of course be invited to attend the meeting.   
8.1.7	Similarly, whenever the Council undertakes any form of consultative exercise, the local member(s) should be notified at the outset of the exercise.

9.0		Complaints about officers or services

9.1		Members have the right to criticise reports or the actions taken by officers, but they should always:

•	avoid personal attacks on officers
•	ensure that criticism is constructive and well-founded. 

9.2		Members should avoid undermining respect for officers at meetings, or in any public forum. This would be damaging, both to effective working relationships and to the public image of the Council.  It would also undermine the mutual trust and courtesy that is an essential element of a well run authority. 

9.3		Complaints about officers or Council services should be made to the Director of the service where you feel the fault lies.  Within three days, s/he will:

•	 acknowledge your complaint, and 
•	 say if s/he intends to take action, or 
•	 say how long s/he needs to investigate.

9.4		Members have a right to know if action has been taken to correct a matter, but they must not, either:

•	 influence the level of disciplinary action to be taken against an officer, nor 
•	 insist (nor be seen to insist) that an employee is disciplined.

9.5		Members have a right to be told the outcome of any disciplinary case, but have no entitlement to detailed information about the hearing or its conduct.

9.6		If a member is not satisfied that action has been taken to deal with the complaint it may be referred to the Chief Executive by the member concerned.

10.0	Member Access to Documents and information 

10.1	Save as provided below every member has a right to inspect documents, as set out in the Access to Information Procedure Rules included within the Council's Constitution. 

10.2	All Members can expect to have answers to the queries they raise on behalf of other constituents or about the policies and practices of the Council dealt with within the corporate time standards. 

10.3	A member who is not a member of a specific Panel/Committee may have access to any documents of that part of the Council if: 

•	He or she satisfies the Council's Monitoring Officer, that he or she reasonably needs to see the documents to perform his or her duties; and 

•	The document or papers or information do not contain 'confidential' or 'exempt information'.

10.4		All elected political Groups are entitled to develop policies and plans and can expect officers to provide information on a confidential basis to their Group, providing that this is readily accessible, does not entail significant additional work and does not entail the release of information which is confidential or exempt.

10.5		All requests for advice and information that cross directorate boundaries or involve multi-directorate activities should be directed through the Chief Executive.

10.6		Managers must decide how to meet requests and must be able to determine what resources, including which staff, are to be made available.  This extends to deciding which officers should answer questions, particularly in open meetings.

10.7		However, when a member asks for information or advice the reply must not be copied to or subsequently made available to, other members without the permission of the requesting member.  Where information or advice is given in writing to a number of members the document should make clear who has received it.  In other words a system of ‘hidden copies’ should not be used. 

10.8		Groups are expected to give reasonable notice of requests for information and to have regard to the cost of producing any new detailed information.

10.9		If there is a disagreement the Chief Executive will ensure that the request is referred to the relevant body for decision. 

10.10	A member should seek advice from the Monitoring Officer in circumstances where he or she wishes to inspect any document or have access to any information about a matter in which he or she has a personal or prejudicial interest; or where to do so would be in breach of the Data Protection Act 1998.

11.0	Press Releases 

11.1	All Council press releases should be in accordance with the Council's agreed Media Guidelines 

11.2	Should be issued through the Council's Public Relations Officer 

11.3	Should be concerned with matters of policy 

11.4	Should not contain anything of a party political nature.  In this respect regard must be given to the relevant legislation concerning publicity issued by Councils, especially around election time. 

12.0	Correspondence 

12.1	All correspondence written on behalf of the Council must be written on the relevant headed paper. When Members are writing in their capacity as a member they must make it clear whether they are writing on behalf of the Council or as the ward member. 

12.2	All correspondence should normally be open to the inspection of the public in accordance with the Council's adopted policies.  This does not apply to correspondence written in connection with legal proceedings, contractual matters or any other matter where papers can remain 'exempt' within the meaning of Schedule 12A to the Local Government Act 1972, as amended, or if this would be in conflict with the data protection legislation. 

13.0	Breach of the Protocol by a Member

13.1	Members are required to report any matter that they believe may be a breach of the Code of Conduct or this protocol to either the Monitoring Officer or direct to the Standards Board. The Monitoring Officer should refer the complaint to the Standards Board for England if there is evidence that there has been a breach of the Code of Conduct.

13.2	Where there has been an alleged breach of the protocol which is not a matter for the Standards Board, an alleged breach by a non-voting co-opted member for example, the Monitoring Officer may refer the complaint to full Council to be considered further.

13.3	The Monitoring Officer, in conjunction with the Chief Executive, may refer the alleged breach to the leader where appropriate.  

14.0	Breach of the Protocol by an Officer

14.1	Complaints of an alleged breach should be raised with the relevant service director and/or the Chief Executive.  The provisions of section 9 of this protocol will then apply.

15.0	Further Advice 

15.1	Advice on the application of this protocol should be sought from either the Chief Executive or the Monitoring Officer.

16.	Arbitration

16.1	When necessary, the Chief Executive will arbitrate on the interpretation of this protocol following consultation with the Monitoring officer and Director of Finance (Section 151 Officer).



 
THE ROLE OF THE MONITORING OFFICER - PROTOCOL 
1.	The Monitoring Officer undertakes to discharge his or her responsibilities outlined in this protocol with determination and a manner which will enhance the reputation of the Council. In general terms his or her ability to discharge these duties depends on excellent working relations with colleagues and members but also the flow of information and access to debate particularly at early stages.
2.	The following arrangements and understandings between Monitoring Officers and colleagues and members are designed to help ensure the effective discharge of their functions:
a.	As a member of the Chief Officers' Management Team, Monitoring Officers will have advance notice of those meetings and agenda and reports and the right to attend and speak without prior notice. 
b.	Advance notice of meetings whether formal or informal between Chief Officers and Committee Chairs will be given to Monitoring Officers where any procedural, vires or other constitutional issues are likely to arise. 
c.	Chief Officers will alert Monitoring Officer to all emerging issues of concern including legality, probity, vires and constitutional issues as soon as reasonably practicable. 
d.	Monitoring Officers or their staff will have copies of all reports to members. 
e.	Monitoring Officers are expected to develop good liaison and working relations with the Standards Board, the District Auditor and the Ombudsman including the giving and receiving of relevant information whether confidential or otherwise. 
f.	Monitoring Officers will have a special relationship with the Chair of the Council, Chair of the Standards and Overview and Scrutiny Committee and will ensure the Head of Paid Service and Chief Financial Officer have up-to-date information regarding emerging issues. 
g.	Monitoring Officers are to be expected to make enquiries into allegations of misconduct in the absence of a written complaint being received by the Standards Board and if appropriate will make a written report to the Standards Committee unless the Monitoring Officer and Chair of Standards Committee agree a report is not warranted. 
h.	The Head of Paid Service, Chief Financial Officer and Monitoring Officer will meet regularly to consider and recommend action in connection with current governance issues and other matters of concern regarding probity. 
i.	In carrying out any investigation (whether under Regulations or otherwise) Monitoring Officers will have unqualified access to any information held by the Council and any employee who can assist in the discharge of their functions. 
j.	Monitoring Officers will have control of a budget sufficient to enable him to seek Counsel's opinion on any matter concerning their functions. 
k.	Monitoring Officers will be responsible for preparing a training programme for members on the ethical framework subject to the approval of the Standards Committee 
l.	Monitoring Officers will report to the Council from time to time on the Constitution and any necessary or desirable changes following consultation in particular with the Head of Paid Service and Chief Financial Officer. 
m.	In consultation with the Chairman of the Council and Standards Board, Monitoring Officers may defer the making of a formal report under Section 5 LGHA 1989 where another investigative body is involved. The Standards Committee to be kept informed of such situations. 
n.	Monitoring Officers will make a report to the Council from time to time as necessary on the staff, accommodation and resources they require to discharge his/her functions. 
o.	The Monitoring Officer will appoint a deputy and keep him or her briefed on emerging issues. 

Summary of Monitoring Officer Functions
 
 
DESCRIPTION
 	SOURCE
1.    	 
Report on contraventions or likely contraventions of any enactment or rule of law.
 	Section 5 Local Government and Housing Act 1989.
2.    	 
Report on any maladministration or injustice where Ombudsman has carried out an investigation.
 	Section 5 Local Government and Housing Act 1989.
3.    	Appointment of Deputy.	Section 5 Local Government and Housing Act 1989.
4.    	Report on resources.	Section 5 Local Government and Housing Act 1989.
5.    	 
Receive copies of whistleblowing allegations of misconduct.
 	Model Code.
6.	 
Investigate misconduct in compliance with Regulations (when made) and directions of Ethical Standards Officers.
 	Regulations when made.  Directions when made in individual cases.  LGA 2000 Section 66(1)+66(6).
7.    	 
Establish and maintain registers of Members interests and gifts and hospitality.
 	Section 81 LGA 2000 and Model code.
8.    	Advice to Members on interpretation of Code.	Model Code and Consultation Paper.
9.	 
Key role in promoting and maintaining high standards of conduct through support to the Standards Committee.
 	Statutory Guidance paragraph 8.20.
10.	Liaison with Standards Board and Ethical Standards Officers.	New ethical framework, practical implications.
11.	New ethical framework functions in relation to Parish Councils.	Section 83(12) LGA 2000.
12.	Compensation for maladministration.	Section 92 LGA 2000.
13.  	 
Advice on vires issues, maladministration, financial impropriety, probity and policy framework.
 	DTLR.