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UKHO HR Manual
Volume 7
Conduct
Standards and Matters of conscience, personal behaviour, political activities, outside
interests and appointments, gifts rewards and hospitality, disclosure of information,
complaints and grievance
Note: This document is the property of the United Kingdom Hydrographic Office. It
must not be copied or transmitted to any third parties without the written permission
of the Owner. © Crown Copyright 2011
Document Control
Author
HR
Reference Number
HRM007
Summary of Change from previous
version
Version
V 4.2
Update guidance on acceptance of gifts,
Date of changed version Apr 2010
benefits or other incentives (MOD Policy
7.9.2009)
Master Soft Copy
BMS
Approval
Title,
Name
Senior HR Manager
Date 22.04.2010
Next Review
OCTOBER 2011
Document Security
Any person, other than the authorised holder, upon obtaining possession of the document should
take it to the nearest Police Station or forward it, together with their name and address in a
sealed envelope to:
The Principal Security Advisor
The UK Hydrographic Office
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Taunton
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Chapter 1 Introduction
1. The special position of public servants
The UKHO, like all other Civil Service departments and agencies, sets itself high
standards which go beyond normal standards of conduct. In view of their special
position as public servants, employees must act in accordance with the normal
codes governing personal behaviour, and accept certain limitations and rules
during their working day and outside it. Disciplinary action may be taken against
an individual who fails to observe the rules of conduct set out in:
•
the Civil Service Code;
•
this volume;
•
regulations published elsewhere in the UKHO HR Manual;
•
other manuals or local standing orders.
Similarly, any other unreasonable conduct which impedes the efficient despatch
of UKHO business might result in an individual facing disciplinary action.
2. What this volume is about
This volume sets out the high standards of behaviour UKHO requires of all of its
civilian staff and explains the implications of failing to meet them. It covers:
• standards and matters of conscience;
• personal behaviour;
• political activities;
• outside interests and appointments;
• gifts, rewards and hospitality;
• disclosure of information;
• complaints and grievance procedures.
3. Who this volume is for
This volume is intended for:
• all civilian staff, both industrial and non industrial;
• civilian and Service line managers who are managing civilian staff;
• personnel managers.
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4. Legislation
The main legislation relevant to conduct is contained in:
Criminal Justice Act 1993
Disability Discrimination Act 1995
European Assembly Elections Act 1978
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Chapter 2 General Principles
Section 1 Standards and Matters of Conscience
1.1
Framework
The Civil Service Code sets out the constitutional framework within which civil
servants work and the values which they are expected to uphold. A copy is at Annex
A of Chapter 3.
1.2
Standards
The Civil Service requires high standards of personal honesty and integrity from all
its staff. The nature of the relationship between the Crown and civil servants means
that, as a civil servant, you must not behave in a way that brings discredit on the
Crown. You must give your undivided allegiance to the state, where the state has a
claim on your services. You must not put yourself in a position where your duty and
your private interests conflict. You must avoid activities that might conflict with the
interests of the UKHO or MOD or discredit the UKHO or MOD by, for example,
indulging in heavy gambling, impairing your usefulness or being inconsistent with
your position as a public servant. You must not make use of your official position to
further your private interests, or lay yourself open to suspicion of dishonesty. This
section sets out the detailed guidance on the nature of the standards and various
rules covering how the standards apply to circumstances that arise when working in
the UKHO and MOD.
1.3
Constitutional position of civil servants
As a civil servant you are a servant of the Crown. For all practical purposes the
Crown in this context means, and is represented by, the Government of the day.
The Civil Service as such has no constitutional personality or responsibility separate
from the duly constituted Government of the United Kingdom, the Scottish
Executive or the National Assembly for Wales.1 It is there:
• to provide the Administration with advice on the formulation of policies;
• to assist in carrying out the decisions of the Administration;
• to manage and deliver the services for which the Administration is
responsible.
Some civil servants are also involved, as a proper part of their duties, in the
process of presentation of the Administration’s policies and decisions.
1
For the remainder of this volume we use the term Administration to mean Her Majesty’s
Government of the United Kingdom, the Scottish Executive or the National Assembly for Wales as
appropriate.
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1.4
Accountability of Ministers and civil servants
Each Minister is responsible to Parliament1 for:
• the conduct of his or her department; and
• the actions carried out by the department in pursuit of the
Administration’s policies or in the discharge of responsibilities laid
upon them as a Minister.
Civil servants are responsible to Ministers for their actions and conduct.
1.5
Duty of civil servants to Ministers
The Civil Service serves the Administration of the day as a whole, that is to say Her
Majesty’s Ministers collectively. The Chancellor of the Duchy of Lancaster is the
Minister for the Civil Service. The duty of individual civil servants is first and
foremost to the Minister of the Crown in charge of the department in which they are
serving.
It is the duty of MOD, including UKHO staff:
• to serve Ministers with integrity and to the best of their ability;
• to bear in mind in dealings with the public that people have a right
to expect that their affairs will be dealt with sympathetically,
efficiently and promptly.
1.6
Confidence in a non-political Civil Service
Confidence is the indispensable foundation of a good relationship between Ministers
and civil servants. You must conduct yourself in such a way as to:
• deserve and retain the confidence of Ministers, and
• to establish the same relationship with those whom we may be
required to serve in some future Administration.
Your conduct must at all times be such that Ministers and potential future Ministers
can be sure that confidence can be freely given.
You must conscientiously fulfil your duties and obligations to assist, advise and
carry out impartially the policies of the duly constituted Administration of the day.
1.7
Responsibility for policy
Subject to the conventions limiting Ministerial access to papers of previous
Administrations, your duty as a member of MOD staff is to:
• make available to Ministers all the information and experience at your
disposal which may have a bearing on the policy decisions which the
Ministers are committed to or are preparing to make; and
1
For the remainder of this volume the term Parliament should be read as appropriate, to include
the Parliament of the United Kingdom, the Scottish Parliament or Assembly Secretaries to the
National Assembly for Wales.
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• give Ministers honest and impartial advice without fear or favour, whether
the advice accords with the Ministers’ views or not.
You would be in breach of your duty, and damage your integrity as a servant of the
Crown if you:
• deliberately withhold information from Ministers;
• give Ministers advice other than the best you believe you can give;
• seek to obstruct or delay a decision simply because you do not agree with it.
Once Ministers have been given all relevant information and advice, it is your duty
to carry out Ministerial decisions, loyally, energetically, and with the same goodwill,
whether you agree with them or not.
1.8
Confidentiality
You are under an obligation to keep the confidences to which you become privy in
the course of your work. The maintenance of trust between Ministers and civil
servants and the efficiency of the Administration depends on you doing so. There is
a general duty on all staff, serving or retired, not to make disclosures which breach
that obligation, unless authorised. This duty applies to any document or information
or knowledge obtained in the course of duty. If you disclose information without
authorisation you are liable to disciplinary action which may include dismissal, or to
civil law proceedings. This applies whether the disclosure is made for political or
personal motives or for monetary gain. This is distinct from liability to prosecution
under the Official Secrets Acts 1911-1989.
1.9
Providing information to Select Committees, the media and individuals
In giving evidence to Parliamentary Select Committees your first duty is to your
Minister. Thus, when you give evidence to a Select Committee on the policy or
actions of the Department:
• you do so as a representative of the Minister in charge of the Department
and subject to the Minister’s instructions; and
• you are accountable to the Minister for the evidence you give. This is without
prejudice to the Minister’s responsibility and accountability to Parliament in
respect of the policies, actions and conduct of the Department. The ultimate
responsibility to decide what information to make available, and how and
when to release it, lies with Ministers. This applies to information made
available to Parliament, Select Committees, the media, or individuals. You
must not seek to frustrate policies or decisions of Ministers by the disclosure
outside the Administration of information to which you have had access. This
also applies to former members of staff.
1.10 Matters of law
As a civil servant you should not be required to do anything unlawful. In the very
unlikely event of being asked to do something which you believe would put you in
clear breach of the law, you should report this to a senior officer in your
management line, in accordance with the procedures set out in paragraph 1.11.
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You may alternatively report the matter to a senior officer (see paragraph 1.14)
who should, if necessary, seek the advice of the Legal Adviser.
1.11 Matters of propriety or conscience
You must raise matters with your third line manager (minimum B1 level) if you
believe that you are being required to act in a way which:
• is illegal, improper, or unethical;
• is in a breach of constitutional convention or a professional code;
• may involve possible maladministration;
• is otherwise inconsistent with the Civil Service Code;
• raises a fundamental issue of conscience.
You must also report evidence of criminal or unlawful activity by others, and any other
breaches of the Civil Service Code.
Chapter 3 Annex A
If the third line manager is unable to resolve the matter to your satisfaction, you
may appeal to your Chief Executive, then to PUS.
The aim is a response at each stage within not more than 20 working days. If this
does not happen in the first two stages, you may draw the attention of the PUS’s
office to the need to expedite the process.
If you believe that PUS’s reply does not represent a reasonable response to your
grounds for concern, you may report the matter in writing to the Civil Service
Commissioners. The Commissioners will not consider any appeal until the MOD’s
internal procedures have been exhausted.
Your appeal to the Civil Service Commissioners should be copied to PUS, and
addressed to:
Secretary to the Civil Service Commissioners
Room 69a/2
Horse Guards Road
London SW1P 3AL
If the appeal concerns highly classified information you must inform the Secretary
to the Commissioners so that the necessary arrangements can be made to handle
the information securely.
1.12 Unresolved matters
If the matter cannot be resolved on a basis that you can accept, you must either
carry out the instruction, or resign from the UKHO. Even after resignation you are
bound to keep the confidence to which you became privy as a serving official.
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1.13 Urgent matters
In urgent cases where full process for internal review cannot be completed within
the timescale for the action in question, you should carry out the request or
instruction and immediately afterwards formally record your dissent and the reasons
for it in writing. The procedures for internal review and complaint to the Civil Service
Commissioners may still be followed after the event if you have a continuing
concern about the action.
1.14 Opportunity to discuss with senior staff
While appeals and complaints must be raised through the management line you
may, at any stage in the procedure, discuss concerns on an in-confidence basis with
a senior officer outside your organisation. DGCPHROps-Conduct Team can advise
you of the name of the nominated senior officer whom you can approach.
1.15 Representation at interviews
In any interview which takes place within the UKHO you may be accompanied by a
representative of your professional organisation or trades union or by a colleague.
Representation at any interview with the Civil Service Commissioners is at the
discretion of the Commissioners.
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Section 2 Personal Behaviour
2.1
Purpose of the section
The purpose of this section is to explain what the UKHO expects of its staff in terms of
personal behaviour. Failure to observe these rules may result in disciplinary action and
in some cases criminal action being taken against the individual concerned.
2.2
Waste or embezzlement
As a member of UKHO you have a duty to prevent the improper use, waste or
embezzlement of public:
money;
services;
stores;
materials;
labour.
You should report abuse of this kind to a senior line manager.
You must report all cases of loss or damage to official property at once to a senior line
manager.
If you waste or embezzle UKHO resources, or are party to malpractice, you may be
liable to:
prosecution; and/or
disciplinary action which may result in dismissal.
2.3
Prohibited activities
You must not:
accept materials, including scrap, from contractors working on UKHO premises;
remove UKHO property without authorisation, including scrap, whatever its condition
and however small its value;
repair personal items using UKHO resources;
do unofficial work during working hours;
possess unauthorised firearms or explosives on UKHO premises;
loan UKHO property to individuals for private purposes.
2.4
Return of loaned items
You must return all UKHO property when no longer required for official duties or when
your employment with MOD ceases.
2.5
Private use of official post, IT facilities1 stationery
You must not:
carry on private correspondence from your place of duty;
use the official transit systems for the transmission of private letters;
misuse UKHO IT facilities; Annex N
use official stationery for private purposes;
use an official paid envelope for private purposes.
1
IT facilities encompasses all IT related equipment including hardware, electronic
communications equipment, peripherals and storage media, software applications, passwords and
all files and materials held on them.
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The entitlements of Trades Union representatives are set out in the Facilities Agreement
at Annex H-1 of Volume 12.
The rules governing the private use of official telephones are in Chapter 3 Annex E.
2.6
Problem drinking, alcohol dependency and the misuse of drugs
Being unfit or behaving badly under the influence of drink or intoxicating substances is
a disciplinary offence.
Annexes B and C explain the role to be played by colleagues, line managers, welfare
officers and personnel managers in helping to identify and overcome any individual’s
problems with drink or drugs.
Buying, selling or possessing illegal drugs is a serious disciplinary matter.
It can result
in criminal and departmental disciplinary action. This may result in dismissal.
Where you suspect a drugs related criminal offence has been committed you must
inform MOD Police immediately.
Every assistance must be given to those who are alcohol or drug dependent, but the
normal inefficiency rules and standards continue to apply. Each case must be
considered sympathetically on its merits. In particular where individuals persistently
refuse help or treatment and as a result their work suffers, inefficiency action may be
taken against them. (
RESTORING EFFICIENCY)
2.7
Smoking
You are prohibited from smoking in some areas. You will commit a disciplinary offence
if you smoke or take smoking materials into a prohibited area. The UKHO smoking
policy gives more details
2.8
Discrimination
You must not discriminate against staff on grounds of gender, marital
status, race or ethnic origin, sexual orientation, age, religious belief or physical or
mental disability. If you believe you have been the subject of discrimination
you may
complain under the grievance procedure.
EQUAL OPS Section 7
2.9
Harassment and victimisation
If you harass and bully for whatever reason, or victimise individuals who bring
complaints of discrimination or harassment, these are forms of misconduct which may
result in disciplinary action. If you believe that you have been the subject of
harassment, bullying or victimisation you may complain under the harassment
complaints procedure.
EQUAL OPS
2.10 Borrowing and lending money
You must not: lend money as a matter of business; or borrow money from a
subordinate.
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2.11 Gambling
Gambling on UKHO property is prohibited. But the Chief Executive may approve
applications to hold sweepstakes or lotteries for charitable or other fund-raising
purposes provided that they do not disrupt work or bring the UKHO into disrepute.
2.12 Liability to be searched
You have a liability to be searched under the conditions described in Chapter 3 Annex
D. Searches fall into two categories:
Statutory searches. All persons, whether or not employees of the Crown, are liable to
be searched by the MOD Police in accordance with the Police and Criminal Evidence Act,
1984, or under other statutory powers vested in the MDP.
Conditions of service searches. In addition to Police searches, it is a condition of service
that all MOD employees have a liability to a search of their person, belongings or
transport.
2.13 Reporting of arrests
If you are: arrested; or charged or convicted by the civil police for any reason, other
than a minor traffic offence, i.e. where no penalty of imprisonment or suspension of
driving licence is imposed; or given a Police caution; or put on probation; or absolutely
or conditionally discharged; or given a suspended sentence or bound over after being
convicted of any offence; you must report the facts immediately to your personnel
manager through senior line management.
2.14 False statements
You must not make or conspire to make any false statement or claim or withhold
information relevant to a claim certificate.
Such an offence could lead to disciplinary action or criminal prosecution, either of which
could lead to dismissal.
2.15 Safety regulations
You must comply with all safety regulations relating to your work and take every
precaution against accidents occurring. You must for example: refrain from driving
motor vehicles or riding pedal cycles dangerously; obey speed limits within any MOD
establishment; wear the safety harness provided when travelling in official vehicles.
2.16 Prohibited and smuggled goods
You must not smuggle or bring prohibited goods into any MOD establishment, aircraft
or vessel. Articles liable for duty must only be handled with the approval of HM Customs
and in accordance with local instructions.
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2.17 Solicitation of outside influence to support personal claims
You must not use political or other outside influence to support personal claims or
attempt to gain concessions not available to others. This does not include contacting
your MP or using statutory rights of appeal such as those contained in the Sex
Discrimination or Race Relations Acts. You are free to seek the help of your Trades
Union at any time.
2.18 Purchase from the Government
You must not purchase surplus Government property if you have: been able to get
special knowledge about the condition of the goods because of your official duties; or
been officially associated with the disposal arrangements; or been offered a discount
that would not be available to a member of the public.
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1.1 Section 3 Political Activities
3.1
Introduction
You are required to carry out your duties loyally, regardless of your political persuasion.
So that Ministers and the public may have confidence in the political impartiality of the
UKHO’s staff, restrictions have been placed on the political activities shown below. The
extent to which the restrictions apply to any individual is set out in paragraph
3.2.
National political activities:
• Holding, in a party political organisation, office which impinges wholly or mainly
on party politics in the field of Parliament or the European parliament; Speaking
in public on matters of national political controversy;
• Expressing views on such matters in letters to the press, or in books, leaflets or
articles;
• Being announced publicly as a candidate for Parliament or the European
Parliament;
• Canvassing on behalf of a candidate for Parliament or the European Parliament,
or on behalf of a political party.
Local political activities:
• Candidature for, or co-option to, local authorities;
• Holding, in a party political organisation, office impinging wholly or mainly on
party politics in the local field;
• Speaking in public on matters of local political controversy;
• Expressing views on such matters in letters to the press, or in books, articles or
leaflets;
• Canvassing on behalf of candidates or election to local authorities or a local
political organisation. You may take part in parish council affairs, but must
withdraw from discussions about locally controversial issues concerning the
policy or actions of the UKHO. You should not speak in public, or have published
in the press, books, articles or leaflets, any opinions on such issues.
3.2
Political freedom
You will fall into one of the following groups which determines your degree of political
freedom.
The politically free group consists of all industrial and office support grades. This group
is allowed to take part in political activities; although if they wish to stand for
Parliament or the European Parliament they are bound by the rules set out in Annex F.
The politically restricted group consists of all staff in pay band C and above, and
members of the fast stream development programme. Staff in this group are banned
from national political activities. They may seek permission from senior line
management to take part in local political activities, and must comply with any
conditions laid down by the MOD.
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The intermediate group consists of staff outside the “politically free” group and the
“politically restricted” group. Staff in this group must seek permission from senior line
management to take part in national or local political activities and must comply with
any conditions laid down by the MOD.
3.3
Guidelines for approval
The guidelines and principles to be followed in considering applications to participate in
political activities are set out in Annex G. Permission to participate in political activities
cannot normally be granted to staff:
• assisting Ministers in policy matters;
• in areas that are acutely politically sensitive, or subject to considerations of
national security;
• who represent the Administration or the UKHO or MOD in dealings with
companies, pressure groups, local government, local authorities, foreign
governments or any other body, where they have influence in the Administration
policy affecting those organisations.
3.4
Participation in political activities
Line management must make clear when granting permission to participate in political
activities that permission can be withdrawn at any time and without prior notice if there
is a change in circumstances. On posting, you must seek permission from senior line
management to continue the activities. And you must give up those activities if you
move to a post where permission cannot be granted. If you participate in political
activities you must follow the Code of Discretion at Annex H. If you are not in the
politically free category, and have not been given permission to engage in political
activities, you must retain, at all times, a proper reticence in matters of political
controversy so that your impartiality is beyond question. You must not take part in any
political activity when on duty, or in uniform, or on official premises. Nor must you
attend outside conferences or functions convened by or linked to a party political
organisation in an official capacity. If you are given permission to take part in local
political activities you must inform the UKHO if you are elected to a local authority.
3.5
Parliamentary candidature
The rules governing the resignation and reinstatement of those who seek election to the
House of Commons, the Scottish Parliament, the National Assembly for Wales or the
European Parliament are set out in Annex F
3.6
Trades unions and political activities
You do not need permission to take part in activities organised by your Trades Union.
Elected Trades Union representatives may comment on Government policy when
representing the legitimate interests of their members, but in doing so they must make
it clear that they are expressing views as representatives of the union and not as
members of the UKHO or MOD.
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3.7
Right of appeal
You are entitled to a full explanation of the reasons for:
• being refused permission to take part in political activities;
• having permission withdrawn. You must be informed of your right to appeal
under the grievance procedure and, ultimately, to the Civil Service Appeal Board.
Notification of the intention to appeal to the Board should be submitted within
eight weeks of being told the MOD’s final decision, and a full written case should
be submitted within four weeks of the date of lodging the appeal.
Chapter 3
Annex I.
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1.2 Section 4 Outside Interests and Appointments
4.1
Introduction
You must not engage in any outside appointments, occupations or activities that:
• would require attendance during working hours, or impair the efficient
execution of your duties; or
• might conflict with the interests of the UKHO and MOD; or
• would be inconsistent with your position as a public servant.
The holding of executive directorships or undertaking executive work for public and
private companies (except under authorised secondment or loan arrangements) is
generally prohibited. Permission to become an executive director of a small “family
type” private company may, however, be granted by senior line management
provided there is no conflict with the principles outlined above.
Chapter 3 Annex J
4.2
Advisory work
Before accepting an invitation to act in an advisory capacity for a company you
must apply for permission to your senior line manager. Permission will not normally
be granted where the consultative work:
• is in your special field of activity;
• has a connection with your special duties;
• is on behalf of a firm that is in a contractual, or other special, relationship
with the MOD.
Other Government Departments. Before undertaking work for another Government
Department in an official capacity you must apply for permission to your senior line
management. For payment for such work see paragraph 4.4.
Foreign Governments. You must apply for permission to DCP ER-Conduct Unit
before undertaking work for a Foreign Government.
Professional Associations. If invited to hold office in a professional association you
must consult your senior line manager. Permission to accept the office is dependent
on maintaining reticence when discussing public affairs, particularly those
concerning the UKHO or MOD. The line manager may withhold permission if:
there is a conflict of interest between the association and the Government; or
• holding the office impinges on official time; or
• holding of office is inconsistent with any of the rules set out in this
volume. Outside appointments cannot be taken into account in posting
decisions, nor is special leave allowed to facilitate the activity.
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4.3
Volunteer service with the reserve and auxiliary forces
You must obtain prior written consent from your senior line manager before you join
or re-engage in any reserve or auxiliary forces. You do not need permission to join
Cadet Forces which have no liability to be called up in an emergency.
4.4
Payment for unofficial activities
The requirement of the UKHO must be the first call on the time of every full-time
member of staff. But, in general, the UKHO does not impose restrictions beyond
those necessary to ensure that official work does not suffer. Provided that outside
activities are not considered improper, the UKHO will only concern itself with outside
activities involving any of the following:
Use of official time. If you receive payment for an extra-official activity involving
some use of your official time, you must report the matter to Director of Corporate
Development who may allow part or the whole of the payment to be retained if:
• the amount of official time is small and is either made up, or treated as unpaid
leave; or
• the activity produces something so outstanding as to bring credit on the UKHO,
and it would be unreasonable to see it as being covered by normal pay.
Use of official information or experience. You must seek permission from your senior
line manager before becoming involved in an extra-official activity using official
information or experience. If the activity has already started you must obtain
permission before the product of the work is disposed of. The Government might
acquire the product.
Payment from Government Departments. You may retain payment for work which is
not part of official duty. If you receive a fee for any publication, broadcast, lecture
or writing as part of your official duties you must forward the sum received to
Director of Corporate Development.(DCD). If an activity is carried out partly or
wholly in your own time, DCD may allow you to retain all or part of the fee.
4.5
The relationships between defence contractors and UKHO and MOD
employees
No Government contract may be let to:
• a civil servant employed in the Department letting the contract; or
• a partnership of which the person is a member, or
• any company of which the individual is a director, unless he or she is a
Government nominee, or has disclosed that interest to, and received permission
from your senior line manager. If you come into contact with any official matter
in which you have a private financial interest you must disclose that interest to
your senior line manager (see also paragraph 4.6 Private investments).
If your official duties involve dealings with a company or organisation in which your
spouse, partner or other close relative is employed, you must report the matter to
your senior line manager. You must not use your official position to raise funds for
charity or sponsorship by involving companies with which you have official contact.
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You must avoid private transactions with companies with which you are officially
involved, unless in the course of normal commercial practice. You must not accept
any favour or preferential treatment from any such company.
4.6
Private investments
It is a criminal offence to use information obtained in the course of your official
duties for personal advantage or to prevent a financial loss. It is also a criminal
offence for you knowingly to obtain any such information (directly or indirectly) from
staff or former staff who you know, or have reasonable cause to believe, held the
information by virtue of their position or former position within the Department.
Chapter 3 Annex J
You must not:
• use your official position to further your private interests;
• take or contribute to any decision that would affect the value of your private
investments or private interests, or the private interests of those to whom
you may give advice;
• use information acquired in the course of your official duties to advance your
private financial interest, or those of others to whom you give advice. You
may hold stocks, shares and other investments provided they do not conflict
with your official duties. You must report to your senior line manager all
investments, and those of your spouse, partner and children as far as you
are aware of such interests, in any company with which you have official
dealings. Your senior line manager will discuss with you what further action
may be necessary or desirable if it is considered that there may be a conflict
of interest.
4.7
Private trading and canvassing for trade
You must not trade or canvass for gain, either on a personal basis or for others,
during official hours or on official premises. You may work on behalf of officially
recognised bodies with the consent of your senior line manager.
4.8
Bankruptcy and insolvency
Your private financial affairs are of departmental concern only if they impair
efficiency or discredit the UKHO or MOD. If you are declared bankrupt or insolvent
you must report the matter immediately to your senior line manager.
4.9
Officially sponsored non-executive directorships
POSTINGS
If you are appointed as a non-executive director you do not represent the UKHO or
MOD, but are still subject to their requirements and responsibilities. You should
avoid any conflict of interest by withdrawing from a Board discussion if a matter
arises concerning the UKHO or MOD. If it becomes apparent that a lasting conflict of
interest is likely, you must inform the Chief Executive. You are bound by the Official
Secrets Acts and must also observe the company’s right to confidentiality. If you are
offered a fee by the company you must make it over to the UKHO. HR will contact
MOD DGCPHROps-Conduct Unit for advice about its disposal.
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4.10 Acceptance of outside appointments by non-industrial staff after service
(the “Business Appointment Rules”)
It is in the public interest that staff with experience of public administration should
be able to move into business freely without raising suspicion that
• the advice given and decisions taken might have been influenced by the hope
or expectations of future employment with a particular firm or organisation;
or
• a particular firm may obtain an unfair advantage over competitors by
employing an official who had access to commercial, technical or other
information that those competitors could legitimately regard as their trade
secrets.
All non-industrial staff who are considering taking up paid employment with, or as a
consultant to:
• an organisation connected with their official duties; or
• a foreign government or foreign publicly-owned organisation
must apply for permission, for a period of 2 years after leaving Crown service. A
member of the Senior Civil Service in salary band 4 or above and in a post attracting
a minimum JESP score of 13 must apply within that period for permission to take up
any paid appointment.
Staff on secondment from the MOD to other organisations are subject to the rules in
the same way as other Crown servants.
Staff on secondment to the MOD from other organisations are also subject to the
rules in the same way as Crown servants unless they return to their seconding
organisation at the end of their secondment and remain there for 2 years. Special
Advisers are subject to the rules in the same way as other Crown servants unless
they are offered a post by the same employer which they left on being appointed as
advisers and remain there for 2 years.
Applications are not required for:
• unpaid appointments in non-commercial organisations;
• Special Advisers appointed before 1 April 1996 on terms exempting them
from the rules, unless they have volunteered to be subject to them;
• appointments in the gift of Ministers;
• in the case of part-time staff, appointments held with the UKHO’s or MOD’s
agreement while they were in Crown service. As processing applications can
take up to 3 months you should submit even a speculative request for
approval as early as possible. Application forms may be obtained from
DGCPHROps-Conduct Unit. You must wait for formal approval before taking
up an appointment.
Approval to take up appointments may be unqualified or subject to one of the
following conditions:
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• A waiting period of up to 2 years from the last day in Crown service, or,
where different, the final day in post.
• A ban on involvement in dealings with the Government on behalf of the
prospective employer for up to 2 years. This ban may be either absolute or
with reference to a specific issue.
• A ban on involvement in dealings between the prospective employer and a
named competitor of that employer for up to 2 years.
Appointments approved by the Prime Minister on the advice of the Prime Minister’s
Advisory Committee, which are subsequently taken up, may be the subject of a
public announcement. Staff at those levels are required to confirm their intentions to
take up any appointment for which an application has been considered by the
Committee. The new employer may wish to include a reference to the Prime
Minister’s approval in their own announcement of the appointment, and applicants
should discuss with the Department and the new employer the terms of the
statement; in other cases, the Government reserves the right to publish the terms
of the Prime Minister’s decision.
Where conditions are imposed on the acceptance of an appointment, the applicant
may have an interview with the appropriate departmental officer. DGCPHROps-
Conduct Unit will arrange this. If appropriate, the application will be reconsidered at
a higher level.
4.11 Offers of employment while in Crown service
Anyone who is considering any approach from an outside employer offering
employment for which approval would be required under the business
appointment rules, must report the approach. The Chief Executive must inform
the Minister. People in the Senior Civil Service must report to 2nd PUS as
Chairman of the MOD Advisory Panel on Business Appointments, and all others
to a senior member of staff 2 steps
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1.3 Section 5 Gifts, Rewards and Hospitality
5.1
Legal position
The acceptance of gifts and other considerations (including hospitality) can be a
criminal offence:
• Under the Prevention of Corruption Acts 1906 and 1916 it is an offence for staff
to accept, in their official capacity, any gift or other consideration as an
inducement or reward for doing or refraining from doing anything, or for showing
favour or disfavour to any person.
• Under the Prevention of Corruption Act 1916, any money, gift or other
consideration (which includes hospitality) a member of staff receives from a
person or organisation holding or seeking to obtain a Government contract would
be deemed by the courts to have been received corruptly unless, on the balance
of probability, it is proved to the contrary by the defendant. Observance of these
laws prevents staff from being put into a position of temptation or into the power
of somebody to whom they will owe a favour.
The offer of a bribe or commission made by contractors or their agents or by a member
of the public or by another crown servant must be reported immediately to the Chief
Executive.
5.2
Principles to be observed
You should not place yourself in a position where your actions might give the
impression to anyone, inside or outside the UKHO that you may have been or might be
influenced to show favour or disfavour to any person or organisation by receiving any
gift, reward, hospitality, loan or other consideration. You should have regard not only to
whether you feel yourself to have been influenced, but also to the impression that your
actions will create on others. The acceptance of a gift, reward, hospitality or other
consideration will be allowed only in exceptional circumstances. You should normally
refuse such offers. Any offer that could be construed as an inducement or bribe (e.g.
offers of holidays, use of vehicles and lavish hospitality) must always be refused and
must be reported immediately to your senior line manager. The same considerations
apply to offers made to relatives or friends, where those offers are made because of a
relationship or association with a member of the UKHO. The soliciting of money from
defence contractors, for whatever purpose, is prohibited.
5.3
Gifts from defence contractors
You may accept inexpensive seasonal gifts (eg diaries and calendars) and other isolated
gifts with a retail value of less than £50 where this would not give rise to public
concern. You must not accept gifts with a retail value of over £50 unless refusal would
cause offence. If a gift that is not trivial is accepted, you must either:
• forward the item to DGCPHROps-Conduct Unit for disposal; or
• display the item in the workplace until it can be passed to DGCPHROps-Conduct
Unit for disposal;
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• purchase the item from the UKHO; or
• unwanted trivial gifts, such as plaques, should be disposed of locally at the
appropriate time.
5.4
Exchange of gifts
You may have to accept a gift as a matter of courtesy and to offer a formal official gift
in return, for example when dealing with a foreign government. You should not
generally initiate such an exchange, but where it is considered appropriate, the gift
received remains subject to the rules set out above. Except where delegated authority
has been granted, you must obtain the prior approval of the Chief Executive to present
a gift in return. Further guidance can be found in JSP 462, Annex C to Chapter 1.
5.5
Gifts from colleagues
Gifts from colleagues or from official contacts who are also personal friends may be
accepted only where they are purely personal presents and where their receipt does not
breach the principles set out above.
5.6
Awards or prizes
Senior line management may approve the retention of an award or prize, provided it is
consistent with the principles set out above, and is offered in recognition of personal
achievement in competition with others.
5.7
Complimentary vouchers
If you travel by air on official business, and at public expense, you must not make
private use of any customer benefits that might arise as a result of that expenditure.
These could include various frequent flyer bonuses (including Air Miles) and companion
or “two-for-one” tickets. You may, however, collect such bonuses to enable you to use
the associated benefits (e.g. priority booking, special lounges) in respect of official
travel. You must record the receipt of any benefits accruing from official travel in a
Hospitality Book (see below). You should also state in the hospitality book that you
have informed the budget manager, in case the bonuses might be used for official
purposes.
5.8
Other incentives
Other favours or considerations may be offered by a company or organisation, which
are not clearly a gift or hospitality e.g. special discounts or privileges not available to
others. You must not accept any offer involving the purchase of goods or services
through a contractor, consultant or supplier using their trade discount or from outlets
not open to the general public. This does not include minor incidental benefits, i.e.
petrol tokens acquired on official journeys for which motor mileage allowance is
claimed.
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5.9
Hospitality
It is common practice for defence contractors and other organisations to offer
hospitality. It can range from working lunches, to offers of tickets for sporting or
cultural events or even to holidays. You must be very careful about accepting any
hospitality from companies with which you are dealing.
Chapter 3 Annex L
5.10 Recording of gifts, rewards and hospitality
You must record all offers of gifts, rewards and hospitality in a Hospitality Book,
regardless of whether or not the offer was accepted or declined. Senior line
management must make arrangements for the assessment and approval of such offers,
and for the regular inspection of the books to ensure that invitations are being accepted
and recorded in accordance with the rules. If you are located at a contractor’s premises
your senior line manager must designate which of the contractor’s facilities (for
example subsidised canteen meals) you may use. Detailed guidance on the acceptance
of gifts, rewards and hospitality is set out in Annex L of Chapter 3.
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Section 6 Disclosure of Information
6.1
Principles governing disclosure of information
This section describes the principles governing the public disclosure of information by
serving or former members of the UKHO and sets out the rules that apply those
principles to specific cases. The activities governed by this section are:
• public lectures and speeches, interviews with or communications to the press or
other media, film, radio and television appearances and statements to non-
Governmental bodies, including MOD-sponsored conferences and seminars;
• books, monographs, articles, letters or other text, including supposed fiction;
• theses for degrees, diplomas or MOD-sponsored fellowships;
• participation in outside study conferences, seminars and discussions.
You must not make comment on, or make disclosure of:
• classified or “in confidence” information;
• relations between civil servants and Ministers, and advice given to Ministers;
• politically controversial issues;
• material covered by copyright, unless prior permission has been obtained.
Particular care must be taken where the origin of the material is obscure;
• information that would conflict with MOD interests or bring the Civil Service into
disrepute;
• information that may jeopardise the commercial interests of the MOD or
companies or organisations collaborating with the MOD;
• information that would undermine the security or other national interests of
collaborating countries;
• anything that the MOD would regard as objectionable about individuals or
organisations;
You must not publish or broadcast personal memoirs reflecting your experience as a
Government official, or enter into commitments to do so, while in Crown employment.
6.2
Greater openness in Government requires:
• the fullest possible exposition to Parliament and the public of the reasons for
Government policies and decisions once these have been announced; and
• improving public understanding about the way the processes of Government
work and the factual and technical background to Government policies and
decisions. Ministers are responsible for the exposition of Government policies
and decisions. Staff must avoid being drawn into public discussion on
justification of Government policies.
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6.3
Seeking permission
You must obtain authority, before taking part in any outside activity involving:
• the disclosure of information obtained in the course of official duties;
• the use of official experience;
• the public expression of views on official matters.
The procedures for obtaining permission are set out in Annex M to Chapter 3.
You are responsible for seeking this authority in sufficient time to allow proper
consideration. Failure to obtain permission before undertaking any such activity is a
disciplinary offence. Elected officials of a recognised trades union or staff association do
not need to obtain UKHO authority if they are publicising their association’s or union’s
views on an official matter which, because it directly affects the conditions of service of
members, is of legitimate interest to them. This exemption does not apply to the
(probably rare) case where the official duties of the union or association representative
as a public servant are directly concerned with the matter in question;
You do not need permission to take part in activities organised by, or on behalf of,
unions or staff associations, although conduct in public should still be consistent with
the principles set out above.
Paragraph 6.1
6.4
International organisations
When serving in an international organisation, or with visiting forces, you must observe
the rules and regulations of that body. You must consult Defence Information Division
(D-INFOD) wherever material concerns the UK, or in any cases of doubt.
6.5
Former members of staff
After leaving the MOD you must obtain official sanction from the MOD before publishing
any information gained as a result of your official duties.
6.6
Press announcements
Official communications to the Press are made by the public relations staff, or other
duly authorised personnel. You must not comment on issues of a politically
controversial nature.
6.7
Broadcasts and media interviews
If you are approached directly about participation in a radio or TV programme, or about
co-operating in the production of a programme you must report the matter in
accordance with the detailed instructions in Annex M to Chapter 3. A member of the
Defence Information Division or a duly authorised officer must be present at all press
interviews.
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6.8
Release of information at MOD conferences, seminars, etc
Sponsors of UKHO conferences and seminars, at which classified information is to be
discussed, must obtain approval from the Principal security Officer (PSyO) before
issuing invitations.
6.9
Political conferences
You must obtain the permission from a senior line manager before attending
conferences of a political nature in an official capacity.
6.10 Outside seminars and study conferences
If you receive an invitation from a non-governmental body to participate in a study,
conference, seminar or discussion you must seek prior permission from the PSyO, who
will consult D Def Pol in any case of doubt. You must submit texts in advance in
accordance with the procedures set out in the Annex M to Chapter 3.
6.11 Outside organisations
You do not need prior approval to take part in the proceedings of the following
institutes:
• International Institute for Strategic Studies (IISS).
• Royal Institute of International Affairs (RIIA).
• Royal United Services Institute for Defence Studies (RUSI).
Your participation is, however, subject to the following conditions:
• if nominated by the MOD to participate in a study, conference or seminar on
defence problems you are encouraged to make as useful a contribution as
possible but, if you are in doubt, you should consult D Def Pol;
• when participating in a discussion, you must be aware that your remarks may be
reported and publicised: you should avoid conflict with MOD or Government
policy;
Annex N
• you must not reveal classified or commercially sensitive material.
6.12 Questionnaires
You must not:
• complete outside questionnaires if it involves disclosing detailed and significant
information about official duties. If in doubt you must consult the Principal
Security Officer or the appropriate publication clearance authority;
• take part in your official capacity in surveys or research projects, even non-
attributably, if they deal with attitudes or opinions on political matters or matters
of policy.
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6.13 Disclosure to others
Instructions are contained in the relevant security manuals about disclosure of
information to:
• MPs;
JSP 440 · foreign governments or foreigners;
• committee members, consultants and defence lecturers;
• contractors.
6.14 Defence Press and Broadcasting Advisory Committee (DPBAC)
Defence Advisory Notices are addressed to national and provincial newspaper editors, to
radio and television organisations, and to some publishers or periodicals and books on
defence and related subjects. (DA Notices are issued and amended on the authority of
the DPBAC). The Secretary of the DPBAC is available at all times to advise on questions
that arise on the application of a DA Notice to some particular set of circumstances. Any
advice requested by the press as a whole on the publication of items of information
which appear to come within the scope of a DA Notice should be referred to the
Secretary DPBAC, via the Corporate Communications Manager.
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Section 7 Complaints and Grievances (w.e.f. 24th November 2003) (Source
document MOD PI 116/03)
7.1
Complaints and grievance procedures
If you have a grievance arising out of your service with the UKHO and wish to lodge a
complaint, or to make any request with regard to the grievance, you may do so through
the normal channels or through your Trades Union. You should state, clearly from the
outset, the details of your complaint and the remedy or outcome you are seeking.
7.2
Timing
A time limit of three months will normally apply to the eligibility of an employee to
initiate a formal grievance unless there are exceptional circumstances, e.g. a
particularly serious allegation, a delay in submitting a complaint due to sick absence,
evidence of differential treatment becoming apparent after that date or the recurrence
of a previous complaint.
Further timescales will also apply during the formal grievance procedures and these are
explained below.
7.3
The three stage procedure
There are three stages to the grievance procedure:
• Informal discussions
• Formal grievance
• Grievance appeal
7.4
Informal Discussion
You should take the opportunity, if appropriate, to resolve your grievance informally
and locally through discussion. Informal grievances should normally be raised, in the
first instance, with your line manager, or the officer who was responsible for the
decisions or action about which you are complaining. In raising your complaint, you
may also wish to seek advice from your Personnel Officer, Trades Union Representative,
Equal Opportunities Officer, or a Welfare Officer. Formal grievances will not normally be
considered unless there is clear evidence that the opportunities for informal resolution
have been fully explored or are clearly inappropriate. The successful outcome of an
informal grievance should be documented on the grievance form and submitted to the
DGCP HR Ops Conduct Team.
7.5
Formal grievance
If the informal approach is inappropriate, or if you are dissatisfied with the outcome of
an informal grievance, then you may raise the matter formally in accordance with these
procedures. The grievance form at Annex P should be completed. This is required in
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order for you to set out, clearly and in writing, the grounds for your grievance and the
redress that you seek. The formal procedure at this stage is as follows:
• You should submit your grievance (using the form at Annex P) to your second
line manager or (if your second line manager is part of the grievance) to an
appropriate senior line manager who becomes the Grievance Deciding Officer.
• You must set out clearly and precisely on the form the grounds of your complaint
and the remedy that you seek.
• The Grievance Deciding Officer must offer you an interview at this stage and this
should normally take place within 10 working days of receipt of your grievance.
The availability of representation where requested will be taken into account
when setting dates.
• A colleague or Trades Union representative may assist you with your written
statement and represent you at the interview.
• A Personnel Officer may also be in attendance to provide advice on the grievance
procedure and any other policy issues.
• A summary
record of the interview is to be produced by the personnel officer or
an appropriate note taker within 5 working days of the interview and a copy
handed to you for agreement or amendment as necessary.
• You will be allowed a further 10 working days to comment.
• The Grievance Deciding Officer will then give you the final record, the decision
and a full written explanation within a further 10 working days.
• The Grievance Deciding Officer must copy the written outcome to HR.
The successful outcome of a formal grievance should be documented on the grievance
form and submitted to the DGCP HR Ops Conduct Team.
7.6
Grievance Appeal
If you are dissatisfied with the response to your formal complaint, you may appeal,
normally within 10 working days of receipt of the written outcome. This time limitation
may be flexed to allow for later submission where there is a credible reason for delay,
for example, where you or your representative are absent due to sick leave. If you
need longer to prepare your appeal or to seek advice you should give notice of your
intention to appeal within 10 working days, explaining when your appeal will be
submitted. You may appeal against the formal grievance outcome using Part 3 of the
grievance appeal form, to either:
• A more senior line manager within your line management chain, or;
• The independent Grievance Appeal Panel
The choice of route rests with you, but only one route of appeal may be pursued.
This will be the final level of adjudication on your grievance and the outcome will be
binding on all parties.
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7.7
Consideration of your grievance appeal by a more senior line manager, within
your line management chain i.e. the Grievance Appeal Deciding Officer.
• You may submit your grievance appeal to your 3rd line manager (or the next
senior line manager if you originally raised your grievance to your 3rd line
manager) who becomes the Grievance Appeal Deciding Officer.
• You will be offered the opportunity of an interview, normally within 10 working
days of the receipt of your appeal.
• You may be accompanied by your trades union representative or colleague.
• Should you choose not to attend or be represented; the Grievance Appeal
Deciding Officer will come to a decision based on your written submission.
• The line manager who considered your grievance and a personnel officer may
also attend the interview.
• A summary record of the interview is to be produced by the personnel officer or
appropriate note taker within 5 working days of the interview and a copy handed
to you for agreement or amendment as necessary.
• You will be allowed a further 10 working days to comment.
• The Grievance Appeal Deciding Officer will then give you the final record, the
outcome and a full written explanation within a further 10 working days.
• The Grievance Appeal Deciding Officer must copy the written outcome to the HR.
• The outcome of this appeal will be final.
7.8
The independent Grievance Appeal Panel
If you opt to appeal to the Grievance Appeal Panel, you should submit your appeal to
the Panel through HR.
• A copy of your appeal should also be sent to the DGCP HR Ops Conduct Team
and to your 3rd line manager.
• You will be offered the opportunity of an interview with the Panel, and you may
be accompanied by your Trades Union representative or a colleague.
• Should you choose not to attend or be represented; the Panel will meet and
come to a decision based on your written submission.
• The Conduct Team, in conjunction with HR, will arrange for the Panel to
interview you at a location as near to your workplace as possible. You will be
informed, normally within 20 working days of receipt of your appeal, of the date
for the Panel.
• You will be granted paid time-off to attend the interview and you may claim any
expenses that you incur in the normal way.
• HR will prepare a written submission to the Panel and will copy this to you and
your representative, to the Conduct Team and to your 3rd line manager, at least
10 working days before the date of the Panel interview. This submission will
summarise the facts, explain the handling of your grievance to date and will
include any relevant policy guidance. All relevant papers, redacted as necessary
to remove any privileged legal advice or third party personal data, will be
disclosed to you.
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• The line manager who considered your grievance and a personnel officer may
also be present at the interview.
• A summary record of the interview is to be produced by the personnel officer or
an appropriate note taker within 5 working days of the interview and a copy
handed to you for agreement or amendment as necessary.
• You will be allowed a further 10 working days to comment
• The Chair of the Panel will then send you the final record of the hearing and a
full written explanation of the Panel’s decision, including whether it was a
unanimous or majority decision, within 5 working days of receipt of your
comments.
• The decision of the Panel will be final.
• The Chair of the Panel must copy the written outcome to HR.
• You should complete Section 9 of the grievance form and submit it to the DGCP
HR Ops Conduct Team.
7.9
Composition of the Panel
• The Panel will normally
consist of the Chair and 2 members.
• The Panel will be chaired by either a serving or recently-retired Senior Civil
Servant, appointed by PUS and acting on his authority.
• A second panel member will be a civilian of sufficiently senior rank but no lower
than Band B1.
• A third panel member will be drawn from a centrally held list of acting or
recently retired senior
Trades Union officials.
• Exceptionally, should the availability of panel members be difficult, the Chair
may be supported by two civil servants or by two Trades Union officials. You
would have to agree any change in the panel make-up. Agreement to proceed
without a Trades Union member should be ratified by a senior Trades Union
official from the union representing the member.
7.10 Grievances concerning Performance and Development Reviews (PDRs)
Any issues about your PDR may be dealt with in accordance with the grievance
procedure outlined above.
7.11 Not Allocated
7.12 Grievances regarding decisions or actions taken by persons in other
TLBs/HLBs/Line Management Areas
A grievance concerning a decision or action taken by a person employed in another
TLB/HLB/Line Management Area or by a delegated authority should be pursued in that
TLB/HLB/Line Management Area in accordance with the procedures described above.
Similarly, if you have a grievance against an action taken in a TLB/HLB/Line
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Management Area you have just left you should raise the matter initially with your
former line manager at your last place of duty.
• You may have the assistance of a colleague or trades union representative in
doing so.
• You should first raise the matter with the appropriate officer in the TLB
concerned, in accordance with the informal procedures at paragraph 7.1.
• If you are dissatisfied with the outcome of your informal enquiries you should
raise the matter formally with the second line manager of that officer (minimum
Band C2 or equivalent) in accordance with Stage One of the procedures.
• If you have reason to raise a grievance against an action taken in another
TLB/HLB/Line Management Area you should inform your current line manager.
• If you are dissatisfied with the outcome you may pursue the matter in
accordance with the grievance appeal stage of the procedures to a more senior
line manager within the appropriate management chain, or to the independent
Grievance Appeal Panel
• The decision of the senior line manager or independent Grievance Appeal Panel
will be final.
7.13 Grievances about policy regulations
Grievances which give rise to matters of policy should be dealt with through the
procedures described in paragraphs 7.5 and 7.6 above. Should the line manager or
Panel considering the appeal consider that a policy change is justified in order to resolve
the grievance, they should refer the grievance appeal to the appropriate Director for
consideration and final agreement. In the event that the Director does not agree with
the line manager’s or Panel’s view, the matter would be referred to PUS through the
DGCPHROps-Conduct Team.
7.14 Grievances about JOBs
If you are unhappy with the way in which the JOB was handled you should first try and
resolve the matter informally with the appropriate officer in the area that ran the JOB.
If you are dissatisfied with the outcome of your informal enquiries, you should raise the
matter with the Head of the area that ran the JOB in accordance with the formal
procedures described at paragraphs 7.5 and 7.6 above.
Where you believe that line management is not progressing your JOB application in a
timely manner to meet the required timetable or you are aggrieved that your
application for a post was not supported, the grievance procedure can be activated in
tandem with the JOB self nomination process. That a grievance complaint is being
taken forward may be annotated on the application form by way of an explanation as to
the missing or unsupportive line management comments.
7.15 Harassment complaints
The procedures for raising complaints of harassment are set out in Annex G to Volume
13 of the MOD Personnel Manual. There is no appeal against the outcome of a formal
investigation conducted under those procedures. The grievance procedures may only be
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used if you are dissatisfied with the way in which a harassment complaint has been
handled.
7.16 Collective complaints
The procedure for dealing with collective complaints and disputes at the workplace is
contained in MOD Personnel Manual, Volume 12.
7.17 Personnel advice
It is important that line managers should consult personnel officers at each stage of the
grievance procedure. A personnel officer should normally be present at a grievance
interview to provide policy advice and guidance as required.
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Annex A The Civil Service Code
1. The constitutional and practical role of the Civil Service is, with integrity,
honesty, impartiality and objectivity, to assist the duly constituted Government
of the United Kingdom, the Scottish Executive or the National Assembly for
Wales1 constituted in accordance with the Scotland and Government of Wales
Acts 1998, whatever their political complexion in formulating their policies,
carrying out decisions and in administering public services for which they are
responsible.
2. Civil servants are servants of the Crown. Constitutionally, all the Administrations
form part of the Crown and, subject to the provisions of this Code, civil servants
owe their loyalty to the Administrations1 in which they serve.
3. This Code should be seen in the context of the duties and responsibilities set out
for UK Ministers in the Ministerial Code, or in equivalent documents drawn up for
Ministers of the Scottish Executive or for the National Assembly for Wales, which
include:
• accountability for Parliament2 or, for Assembly Secretaries, to the
National Assembly;
• the duty to give Parliament or the Assembly and the public as full
information as possible about their policies, decisions and actions, and
not to deceive or knowingly mislead them;
• the duty not to use public resources for party political purposes, to
uphold the political impartiality of the Civil Service, and not to ask civil
servants to act in any way which would conflict with the Civil Service
Code;
• the duty to give fair consideration and due weight to informed and
impartial advice from civil servants, as well as to other considerations and
advice, in reaching decisions; and
• the duty to comply with the law, including international law and treaty
obligations, and to uphold the administration of justice; together with the
duty to familiarise themselves with the contents of this Code.
7 Civil servants should serve their Administration in accordance with the principles
set out in this Code and recognising:
• the accountability of civil servants to the Minister3 or, as the case may
be, to the Assembly Secretaries and the National Assembly as a body or
to the officer holder in charge of their department;
1
In the rest of this Code, we use the term Administration to mean Her Majesty’s Government of
the United Kingdom, the Scottish Executive or the National Assembly for Wales as appropriate.
2
In the rest of this Code, the term Parliament should be read, as appropriate, to include the
Parliament of the United Kingdom and the Scottish Parliament.
3
In the rest of this Code, Ministers encompasses members of Her Majesty’s Government or of the
Scottish Executive.
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• the duty of all public officers to discharge public functions reasonably
and according to the law;
• the duty to comply with the law, including international law and treaty
obligations, and to uphold the administration of justice; and
• ethical standards governing particular professions.
8 Civil servants should conduct themselves with integrity, impartiality and honesty.
They should give honest and impartial advice to the Minister or, as the case may
be, to the Assembly Secretaries and the National Assembly as a body or to the
office holder in charge of their department, without fear or favour, and make all
information relevant to a decision available to them. They should not deceive or
knowingly mislead Ministers, Parliament, the National Assembly or the public.
9 Civil servants should endeavour to deal with the affairs of the public
sympathetically, efficiently, promptly and without bias or maladministration.
10 Civil servants should endeavour to ensure the proper, effective and efficient use
of public money.
11
Civil servants should not misuse their official position or information acquired in
the course of their official duties to further their private interests or those of
others. They should not receive benefits of any kind from a third party which
might reasonably be seen to compromise their personal judgement or integrity.
12 Civil servants should conduct themselves in such a way as to deserve and retain
the confidence of Ministers or Assembly Secretaries and the National Assembly
as a body, and to be able to establish the same relationship with those whom
they may be required to serve in some future Administration. They should
comply with restrictions on their political activities. The conduct of civil servants
should be such that Ministers, Assembly Secretaries and the National Assembly
as a body, and potential future holders of these positions can be sure that
confidence can be freely given, and that the Civil Service will conscientiously
fulfil its duties and obligations to, and impartially assist, advice and carry out the
lawful policies of the duly constituted Administrations.
13 Civil servants should not without authority disclose official information which has
been communicated in confidence within the Administration, or received in
confidence from others. Nothing in the Code should be taken as overriding
existing statutory or common law obligations to keep confidential, or to disclose,
certain information. They should not seek to frustrate or influence the policies,
decisions or actions of Ministers, Assembly Secretaries or the National Assembly
as a body by the unauthorised, improper or premature disclosure outside the
Administration of any information to which they have had access as civil
servants.
14 Where a civil servant believes he or she is being required to act in a way which:
• is illegal, improper, or unethical;
• is in breach of constitutional convention or a professional code;
• may involve possible maladministration; or
• is otherwise inconsistent with this Code; he or she should report the matter
in accordance with procedures laid down in the appropriate guidance or
rules of conduct for their department or Administration.
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A civil servant should also report to the appropriate authorities evidence of
criminal or unlawful activity by others and may also report in accordance with
the relevant procedures if he or she becomes aware of other breaches of this
Code or is required to act in a way which, for him or her, raises a fundamental
issue of conscience.
12
Where a civil servant has reported a matter covered in paragraph 11 in
accordance with the relevant procedures and believes that the response does
not represent a reasonable response to the grounds of his or her concern, he or
she may report the matter in writing to the Civil Service Commissioners, 35
Great Smith Street, London, SW1P 3BQ. Telephone: (020) 7276 2613.
13. Civil servants should not seek to frustrate the policies, decisions or actions of
the Administrations by declining to take, or abstaining from, action which flows
from decisions by Ministers, Assembly Secretaries or the National Assembly as
a body. Where a matter cannot be resolved by the procedures set out in
paragraphs 11 and 12 above, on a basis which the civil servant concerned is
able to accept, he or she should either carry out his or her instructions, or
resign from the Civil Service. Civil servants should continue to observe their
duties of confidentiality after they have left Crown employment.
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Annex B Problem Drinking and Alcohol Dependency
1. This Annex explains the UKHO’s policy on problem drinking and alcohol
dependency. It also provides guidance on the role played by colleagues, line
managers (either Service or civilian), welfare officers and civilian management
staff in helping to identify and overcome any individual’s problems.
2. UKHO/ MOD/TU Policy
Alcohol dependency and problem drinking are recognised by the UKHO as
appropriate areas for management concern and caring action. The Trades Union
sides of the MOD Whitley Council also recognise that management, trades unions
and colleagues need to co-operate in giving sympathetic understanding to help
those suffering from this problem.
3. Colleagues
Everyone has a role to play in helping the problem drinker in the working
environment. It is especially important that signs which may point towards a
colleague having a drink problem are not overlooked or ignored out of kindness
or a misplaced sense of loyalty. No one should feel guilty about drawing
management’s attention to a possible problem drinker, since failure to identify
drink problems at an early stage can lead to a decline in efficiency or
unacceptable behaviour, either of which must be dealt with by normal
inefficiency or discipline procedures. The involvement of management can often
be the spur for someone to start to recognize that they have a problem and to
seek help to overcome it.
4. The Line Manager
In some work situations excessive drinkers may be a danger to themselves and
also to colleagues. In these circumstances line managers must ensure that
employees are aware of their responsibilities under the Health and Safety at
Work Etc Act 1974. This is particularly important where the work is of a
hazardous nature or involves explosives, dangerous chemicals, vehicles or other
machinery. Line managers must remove an employee from work of this nature,
even if only temporarily, where drinking impairs the ability to work safely.
5. When a line manager first notices signs of a decline in an employee’s
performance and/or attendance, or such signs are brought to the manager’s
attention, he or she should encourage the employee to discuss the reasons for
the deterioration, whether or not an alcohol problem is suspected in the first
instance. As well as the more obvious indications, other signs which may point to
an alcohol problem include frequent lateness or absence from work, lack of
concentration at work and more mistakes than usual, changes in mood and
behaviour and frequent headaches or stomach ailments. Should there be any
indication that the problem is drink related, the line manager should make every
effort to persuade the employee to discuss the problem, to seek help voluntarily
from the welfare officer, the employee’s own GP or an appropriate agency such
as Alcoholics Anonymous, and to undergo any necessary treatment. Line
managers should consult civilian management staff and seek advice at an early
stage from welfare officers, who are experienced counsellors, on the best way to
handle individual cases.
6. Once a problem has been identified the line manager should carefully monitor
performance and attendance. The restoring efficiency rules on dealing with
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problems of attendance or performance have to be followed as in any case.
However, absence specifically for a course of prescribed treatment will be
covered under normal sick leave arrangements and will not count toward the
total of irregular attendance for restoring efficiency purposes. It is a matter for
management discretion whether relapses leading to further treatment are
treated in the same way: line managers should refer cases of doubt to HR.
7. Identification of a drink problem does not provide any exemption from the rules
governing discipline. Misbehaviour, unauthorised absence from duty and
unfitness for duty due to alcohol have to be dealt with under normal disciplinary
procedures in the same way as any other offence. (See Volume 5 Discipline).
8. The Welfare role
Following discussion between the individual and his or her line manager, either
of them may ask a welfare officer for assistance. The line manager should make
every effort to encourage the employee to seek welfare or other help.
Alternatively the individual may approach the welfare officer independently.
9. The welfare officer can provide support, counselling and advice on where further
help and assistance can be obtained for both the employee and the family if
necessary. Welfare involvement will be conducted with the appropriate
confidentiality, but the employee will be encouraged to discuss the matter with
the line manager if this has not already been done. Where the drinking problem
could lead to a danger to the employee or colleagues (see paragraph 4 above),
the welfare officer is obliged by the Health and Safety at Work Act to inform the
line manager, if the employee cannot be persuaded to do so. While a course of
treatment is undertaken welfare support will continue to be available.
10. Educative role of CM staffs
Many people are unsure of what action to take when first confronted with a
problem drinker in the workplace. Line managers should discuss all such cases
with the personnel manager concerned, and HR can give advice as required.
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Annex C Misuse of Drugs
1 This Annex explains the MOD’s policy on misuse of drugs. It also provides guidance on
the role played by colleagues, line managers (either Service or civilian), welfare officers
and civilian management staff in the early detection, and consequent prevention, of the
problems that arise from the misuse of drugs amongst civilian employees. Drugs which
are misused may be “over the counter” drugs (including solvents etc), medically
prescribed drugs or illegal drugs. Managers risk criminal and/or disciplinary charges if
they knowingly allow illegal drugs to be used, supplied or produced on MOD premises.
2 MOD/TU policy and aims The Government and the Civil Service Trades Unions have
agreed that Departments should concern themselves with any misuse of drugs which
affects the behaviour of staff at work. The aim is to act within the law and departmental
discipline and inefficiency regulations, to identify and help any employee in difficulties
as early as possible. The effects of misuse of drugs may show first in behaviour at work,
and could be detrimental to the Department through extended sick leave absence, loss
of efficiency, mistakes and accidents. The MOD therefore wishes to ensure that:
• staff are well-informed about the effects of different drugs on health and work
performance, and of the possible employment and legal consequences of drug
misuse;
• line managers are aware of the problems which can be caused at work by drug
misuse and are aware of the signs of possible misuse;
• under the guidance of welfare officers, employees with problems are told about
appropriate sources of information, help and advice and encouraged to make use
of them.
3 Colleagues
Everyone has a role to play in helping the employee who misuses drugs in the working
environment. It is especially important that signs which may point towards a drug
problem are not overlooked or ignored out of kindness or a misplaced sense of loyalty.
No-one should feel guilty about drawing management’s attention to a possible case
since failure to identify a colleague’s drug problem at an early stage can lead to more
serious problems for them later. From management’s point of view, the employee may
also decline in efficiency or behave unacceptably, which must be dealt with by the
inefficiency or disciplinary procedures respectively.
4 The line manager
In some work situations drug misusers may be a danger to themselves and also to
colleagues. In these circumstances, line managers must ensure that employees are
aware of their responsibilities under the Health and Safety at Work Etc Act 1974. This is
particularly important where the work is of a hazardous nature or involves explosives,
dangerous chemicals, vehicles or other machinery. Line managers must remove an
employee from work of this nature, even if only temporarily, where drugs impair the
ability to work safely.
5 When a line manager first notices signs of a decline in an employee’s performance or
attendance, or they are brought to his or her attention, the line manager should
encourage the employee to discuss the reasons for the decline, whether or not a drug
or alcohol problem is suspected in the first instance. In the case of drug misuse, line
managers should be alert to the behaviour of their staff at work. Depending on the
drugs used, the effects can be either hyperactivity or a decline in work performance.
Increased absenteeism, sharp swings of mood, recurrent or unexplained minor
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ailments, changes in relations with colleagues and poor timekeeping can be the result of
drug misuse although, of course, there could be many other causes. Any of the work
symptoms often associated with an inability to cope with stress, domestic unhappiness
or excessive drinking can equally well be caused by drug misuse; often these problems
can come together in the same individual.
Chapter 3 Annex B 6 Some drug misusers will not admit to having a problem until they reach an advanced
state of dependency, and not always even then. Line managers therefore need to adopt
a common-sense approach and a preparedness to seek expert advice, and knowledge of
where to find it. Where they suspect drug misuse they should discuss the situation
confidentially with the employee, or invite him or her to do so with the civilian
management staff or welfare officer. If there is any suspicion of criminal activity line
managers should seek the advice of the Ministry of Defence Police.
7 Welfare Officer support Following discussion between the individual and his or her line
manager, either of them may ask a welfare officer to assist. Alternatively the individual
may approach Welfare independently. The welfare officer can provide support,
counselling and advice on where further help and assistance can be obtained for both
the employee and family if necessary. Welfare involvement will be conducted with the
appropriate confidentiality but the employee will be encouraged to discuss the matter
with the line manager if this has not already been done. While a course of treatment is
undertaken the welfare officer will continue to provide support and encouragement to
persevere. The welfare officer will consider each case on its merits and give sympathetic
consideration to professional recommendations for long-term treatment.
8 Inefficiency action
Staff who misuse drugs and undertake treatment to overcome a drug problem will be
considered sympathetically, but in fairness to the UKHO and to other employees they
remain subject to the same rules governing poor attendance or poor performance.
Absence specifically for a course of prescribed treatment will be covered under normal
sick leave arrangements and will not count towards the total of irregular attendance for
sick leave purposes. It is a matter for management discretion whether relapses leading
to further treatment are treated in the same way. Managers should refer cases of doubt
to DGCP ER-Conduct Unit.
RESTORING EFFICIENCY 9 Discipline
It is stressed that unauthorized possession or supplying of certain drugs (of the so-
called “soft” type such as cannabis as well as hard drugs) is illegal and the MOD will
view such behaviour very seriously. Buying and selling of drugs, especially at work, are
regarded as offences of particular gravity and will not be tolerated. Any charge or
conviction for drug offences must be reported immediately. The effect of such an
offence on an employee’s career will be viewed very seriously and dealt with under the
disciplinary procedures. Whilst each case will be considered on its merits, dismissal is
the most likely outcome in all work-related cases, and even in some cases which take
place outside work.
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10 Conclusion
All staff should note their own responsibilities towards themselves and their colleagues
under Section 7 of the Health and Safety at Work Etc Act 1974. This makes it the legal
duty of every employee to “take reasonable care for the health and safety of himself
and of other persons who may be affected by his acts or omissions at work”.
Educational leaflets about drug misuse are available on request from DGCP HROps -
OWS.
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Annex D Liability to be Searched
The conditions under which searches may be carried out are:
1. Statutory searches
Where such searches are being conducted under statutory Police powers, the
nature of the search should be made clear at the outset of the search
proceedings.
2. The power to conduct a search is legally enforceable and applies irrespective of
any official pass or other document carried, authorising access to MOD property
or the movement of equipment or material of any kind. In order to conduct such
a search, the Ministry of Defence Police (MDP) must have reasonable grounds for
suspicion that an offence has been or is about to be committed.
3. Statutory powers give the MDP the power to search the person, personal
belongings and vehicles. They also permit searches in employees’ homes or
other premises, when:
• the employee is under arrest at the time of the search; or
• when a warrant has been obtained to conduct a search; or
• the employee has given consent. Consent in this situation is entirely
voluntary.
However, withholding consent may then constitute legal grounds for suspicion
referred to at paragraph 2 above.
4. Condition of service searches
These searches may be made on a random basis, and are intended to combat
terrorism, to deter or prevent theft, or as a health and safety measure. The
liability applies whether or not the employee may be carrying any official pass or
other document authorising access to MOD property or the movement of
equipment or material of any kind.
5. Refusal to agree to the “Condition of Service” search as described here may be a
disciplinary offence but refusal in itself would not give grounds for a search
under PACE powers.
6. These searches may be conducted by the MDP, by security personnel including
military police or, in exceptional circumstances, by other personnel appointed by
the Head of Establishment after consultation with the Trades Unions. They
should be conducted under the recognised guidelines used by MDP and other
security forces.
7. Searches of the person will be conducted under cover and in private.
8. A body search may be carried out only by a person of the same sex. Transport
and personal belongings may be searched by a person of either sex. If an
employee requests that personal belongings be searched by a person of the
same sex, management should accede where a searcher of the same sex is
readily available. Search of belongings will not be delayed or avoided by the
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non-availability of a searcher of the same sex. Refusal to submit belongings to a
search by a searcher of the opposite sex when no-one of the same sex is readily
available could be a disciplinary offence.
9. If an employee refuses to agree to a search on entry to an establishment,
admittance may be denied. Refusal could also be a disciplinary offence under
paragraph 5 above.
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Annex E Private Use of Official Telephone Facilities
1. Responsibilities
It is everyone’s personal responsibility not to misuse the official telephone
system. Line managers should be alert to any abuse and should make the
following rules clear to their staff, especially those who have recently joined the
UKHO.
2. You must:
• use a telephone charge card or public call box for personal calls. You may
also send a fax using your card, provided it does not interfere with official
business;
• encourage your private callers from outside to be brief and keep such calls to
a minimum.
3. You may:
• when authorised by your line manager, make a call home if you are detained
unexpectedly at work after the normal leaving time;
• make a call from an official phone in cases of genuine emergency and real
need.
4. You must not:
• make personal calls from an official phone (except in circumstances
described in paragraph 3);
• make private calls over networks (tie lines);
• use your office telephone number in external advertisements.
5. Abuse of the official telephone system, by making unauthorised private calls, is
in no way different from misuse of equipment, materials or other services. All
official telephones are subject to monitoring and staff discovered making private
calls are liable to disciplinary action.
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Annex F Parliamentary Candidature for the House of Commons and the
European Parliament
1. Civil servants are disqualified from election to Parliament (House of Commons
Disqualification Act 1975) and from election to the European Parliament
(European Parliamentary Elections Act 1978). They must therefore resign from
the Civil Service before standing for election in accordance with paragraphs 2
and 3 below.
2. Staff in the politically free group are not required to resign on adoption as a
prospective candidate. But to prevent their election being held to be void
(Section 3.2)
they must submit their resignation before giving their consent to
nomination in accordance with the Parliamentary Election Rules.
3. All other staff, including those on secondment to outside organisations, must
comply with the provisions of the Servants of the Crown (Parliamentary,
European Parliamentary and Northern Ireland Assembly Candidature) Order
1987. They must not issue an address to electors or in any other manner
publicly announce themselves or allow themselves to be publicly announced as
candidates or prospective candidates for election to Parliament or the European
Parliament; and they must resign from the UKHO on their formal adoption as a
Parliamentary candidate or prospective candidate in accordance with the
procedures of the political party concerned. Staff not in the politically free group
who are candidates for election must complete their last day of service before
their adoption papers are completed.
4. Staff in the politically free group who resign to stand for election must be
reinstated provided they apply within a week of declaration day if they are not
elected. If they are elected, they must still be subsequently reinstated if:
• they cease to be a Member of Parliament after an absence from the MOD of
not more than five years; and
• they have had not less than 10 years service before their election; and
• they apply for reinstatement within three months of ceasing to be a Member
of Parliament. If the first two of these conditions are not met, reinstatement
is at the discretion of the Department, but applications will be treated
sympathetically.
5. THE UKHO have discretion to reinstate civil servants who are not in the politically
free category following resignation to stand for election to Parliament or the
European Parliament. Discretion to reinstate will normally be exercised only
where it is possible to post staff, at least initially, to non-sensitive areas.
6. Where a former member of staff is reinstated, the period of the break will not
count for pay or superannuation purposes. Salary will not be payable during the
break.
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Annex G Guidelines and Principles on Participation in Political Activities
1. In exercising discretion over participation by members of their staff in local or
national political activities Directors must pay regard to the following principles:
• permission should normally only be refused where staff are employed in
sensitive areas in which the impartiality of the Civil Service is most at risk.
Permission may be granted to individuals or groups to undertake either
national or local political activities;
• permission should normally be granted in all other circumstances, provided
the Director is satisfied that the individual concerned is aware of the need to
observe the principles set out in section 3 of this volume and the other rules
governing the conduct of UKHO employees, including those relating to the
use of official information.
2. In applying these principles, line managers should regard posts as being
“sensitive” if:
• they are closely engaged in policy assistance to Ministers (or to non-
departmental Crown bodies) such as tendering advice or executing
immediate Ministerial directives;
• they are in the private offices of Ministers or senior officials or in areas which
are politically sensitive or subject to national scrutiny;
• they require the post holder regularly to speak for the Government or the
UKHO in dealings with commercial undertakings, pressure groups, local
government, public authorities or any other bodies;
• the post holder represents the Government in dealing with overseas
governments; or
• the post holder is involved in a significant amount of face to face contact with
members of the public who may be expected to know of the post holder’s
political activities and makes, or may appear to make, decisions directly
affecting them personally.
3. Personnel managers will be as helpful as possible in posting staff who wish to
become or remain politically active, provided the staff concerned understand
that this may have the effect of limiting their range of experience; and will
identify blocks of posts in which staff may be granted advance permission to
take part in local or national political activities.
4. Where a member of staff is adopted as a parliamentary candidate and is
therefore required to resign, the Chief Executive may, at his discretion, make an
ex-gratia payment equivalent to the period of notice to be given to the individual
if the adoption process does not reasonably allow for the individual to give full
notice.
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Annex H Code of Discretion for Participating in Political Activities
Even when permission to engage in political activities is given to staff in the
intermediate or politically restricted groups, their political views should not be so strong
as to inhibit or to appear to inhibit, loyal and effective service to Ministers of a different
political persuasion. Such permission is therefore subject to the following code of
discretion:
• Individuals in the intermediate and politically restricted groups (Section 3.2)
undertaking political activities should bear in mind that they are servants of the
Crown, working under the direction of Ministers, who collectively form the
Government of the day. While they are not debarred from advocating or
criticising the policy of any political party, comment should be expressed with
moderation, particularly in relation to matters for which their own Ministers are
responsible, and indeed all comment avoided if the departmental issue
concerned is controversial. Personal attacks must be avoided.
• Every care should be taken to avoid embarrassment to Ministers or to the UKHO
or MOD which could result, inadvertently or not, from bringing themselves
prominently to public notice, as civil servants, in party political controversy.
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Annex I Political Activities – Right of Appeal
1. A member of staff who is refused permission to take part in political activities or has
permission to do so withdrawn, must be given a full explanation of the reasons for
the decision. The individual must be informed of his/her right of (
Chapter 2)
appeal
under the grievance procedure and, ultimately, to the Civil Service (
Section 7)
Appeal Board. The grievance procedure is set out in Chapter 2, Section 7.
2. Notification of the intention to appeal to the Board should be submitted within 8
weeks of being told the UKHO’s final decision, and a full written case should be
submitted within 4 weeks of the date of lodging the appeal.
3. The Board will forward the appellant’s full written case to the UKHO which should,
within 4 weeks of receiving it, explain the reasons for its decision and comment if it
wishes on points made by the appellant. The Board will send a copy of the UKHO’s
submission to the appellant.
4. The Board will tell the appellant when it will consider the case and ask if the
appellant wishes to appear in person and to be assisted. If the appellant appears
before the Board, the UKHO will be invited to attend.
5. The Board may seek relevant evidence from the UKHO or from any other person it
considers qualified. The UKHO must, if required by the Board, give the appellant
access to other papers which he or she wishes to see, if the Board considers they
are necessary for the presentation of the appellant’s case. In such circumstances
the Board will consider carefully any security consideration before requiring the
UKHO to release any papers to the appellant.
6. Appellants have the right to:
• give further evidence either orally or in writing; and
• ask a trades union representative or a colleague to assist them with their
case and to submit evidence on their behalf.
7. The UKHO may give further evidence orally or in writing.
8. The Board will consider the appeal in the light of the rules on political activities. It
may recommend to the UKHO that permission to undertake the activity in question
should or should not be granted or that there should be specific conditions applied
to the granting of permission. The Board will tell the appellant and the UKHO of the
Board’s recommendation.
9. If the Head of Department does not accept a recommendation of the Board that
permission to undertake political activity should be granted, the UKHO must submit
the case for final decision to the Minister and must tell the appellant and the Board
of the final decision.
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Annex J Private Interests
1. This Annex sets out the rules governing the way in which individuals are
required to order their affairs so that no conflict arises, or may be perceived to
arise, between their private interests and their public duties. These rules apply
to all MOD civilian staff.
2. Criminal offences
It is a criminal offence under Section 52 of the Criminal Justice Act 1993 for a
person, who has information about securities as an insider, to deal in securities
whose price may be affected by that information. In this context, a person is an
insider if he or his source (whether direct or indirect) has access to the inside
information by virtue of his office or employment, and he knows this to be the
case.
3. Principles
Civil servants must not be involved in taking or contributing to any official
decision that would affect the value of their private investments or private
interests, or the private interests of others to whom they may give advice. Nor
should they use information acquired in the course of their official duties to
advance their private financial interests, or the private interests of others to
whom they may give advice. The following guidance is intended not only to
avoid any actual conflict of interest between an individual’s public duty and
private affairs, but also to protect individuals from being placed in a position
where their actions might give the impression to anyone, inside or outside the
Department, that they might have acted improperly.
4. Investments
Civil servants may hold any stocks, shares or other investments, unless they
conflict with their official duties. Individuals must, however, declare to their
Director all investments in any company with which they have official dealings.
These declarations should also include details of such investments held by an
individual’s immediate family. The scope of family declarations will depend on
good judgement, but must include investments held by a civil servant’s spouse
or partner and children, as far as he or she is aware of such interests, or could
reasonably be expected to have known of them. Changes in the private interests
(e.g. share disposals or acquisitions) of all those covered by these instructions
must also be declared. It is not necessary to declare investments in Unit Trusts
or other managed funds, over which the individual has no control, unless a
sensitive company is the dominant factor in the investment.
5. Where an individual’s Director considers, as a result of these declarations, that
there may be a conflict of interest, he or she will discuss with the declarer what
further action might be necessary or desirable. This might range from a
voluntary undertaking not to deal in or advise on the holdings in question to, in
rare cases, instructions from the Department to dispose of personally held
investments. Failure to comply with such instructions may be a disciplinary
offence. Each case will be examined on its merits.
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6. Directorships, partnerships and other private commercial activities
The requirements of Crown Service must be the first call on the loyalty and time
of every civil servant. Civil servants who are themselves directors or partners, or
who hold any other appointment in a private sector commercial organisation
must, if the private interest is associated in any way with their
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Annex K Rules on the Acceptance of Business Appointments on Departure from
Crown Service
1. It is in the public interest that people with experience of public administration
should be able to move into business or other bodies, and that such movement
should not be frustrated by unjustified public concern over a particular
appointment. It is equally important that when a former Crown servant takes up
an outside appointment there should be no cause for any suspicion of
impropriety. The Business Appointment rules therefore make it possible,
exceptionally, for waiting periods and other conditions to be applied to those
proposed appointments that may give rise to such suspicion. The imposition of
conditions does not imply anything improper in a Crown servant’s relationship
with the prospective employer. Rather, it is an indication that an immediate
move from Crown service to the employer, or one without conditions, might be
open to criticism or misinterpretation.
2. The aim of the rules is to maintain public trust in the Crown services and in the
people who work in them, and in particular:
• to avoid any suspicion that the advice and decisions of an officer in the public
service might be influenced by the hope or expectation of future employment
with a particular firm or organisation; or
• to avoid the risk that a particular firm or organisation might gain an improper
advantage over its competitors by employing someone who, in the course of
their official duties, has had access to technical or other information which
those competitors might legitimately regard as their own trade secrets or to
information relating to proposed developments in Government policy,
including the development of market testing proposals, which may affect that
firm or its competitors.
3. Submission of applications
Within 2 years of leaving Crown employment, and in the circumstances set out
below, staff must obtain approval before taking any form of full, part-time or
fee-paid employment:
• if they are in the Senior Civil Service in salary band 4 or above and in a
post attracting a minimum JESP score of 13; or if they are specialists or
Special Advisers of equivalent standing; or
• if they have had any official dealings with their prospective employer
during the last 2 years of Crown employment; or
• if they have had official dealings of a continued or repeated nature with
their prospective employer at any time during their period of Crown
employment; or
• if they have had access to commercially sensitive information of
competitors of their prospective employer in the course of their official
duties; or
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• if their official duties during the last 2 years of Crown employment have
involved advice or decisions benefiting their prospective employer, for
which the offer of employment could be interpreted as reward, or have
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Annex K-1 The Acceptance of Outside Appointments on leaving Crown Service
This acknowledgement is to be signed by staff on promotion or appointment to a post in
the Senior Civil Service, and subsequently on leaving Crown service. These forms will
be retained by HR
I have read the Business Appointment rules, a copy of which is attached, requiring
officers promoted or appointed to posts in the Senior Civil Service to obtain the assent
of the Government before accepting, within 2 years of leaving Crown service, offers of
employment covered by the rules.
Signed ……………….………………………… Date ……………………..
Name …………………………………………..
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Annex L Gifts, Rewards and Hospitality
1. It is impossible to set out rules to govern every conceivable circumstance in
which a gift or hospitality might be offered. Much will depend on the nature of
the relationship between the UKHO and the organisation making the offer and
the role of the individual in that relationship. The principles set out in Chapter 2,
paragraph 5.2 can be applied to all cases and are intended to enable staff to act
with propriety when deciding whether or not acceptance is appropriate. If there
is any doubt, line managers should be consulted before accepting any gifts or
hospitality.
2.
Gifts
In general staff should not accept gifts, nor should gifts be accepted by relatives
or associates of Crown servants (for example spouses accompanying a member
of staff on official visits), where the gift has been given because of the donor’s
official relationship with the individual or with the UKHO.
The following special circumstances also apply:
•
Trivial gifts. Seasonal gifts such as diaries and calendars, and
other inexpensive gifts, can be retained. In general, gifts with a retail
value of over £50 should not be accepted, and gifts with a retail value
of less than £50 should only be accepted where they are occasional
and where acceptance would not give rise to public concern. In all cases the
event must be noted in the local hospitality book. In cases
of doubt staff should refer the matter to the general policy issue arises, they will
seek advice from the UKHO Finance Director Unwanted trivial gifts,
such as plaques, should be disposed of locally at the appropriate
time.
•
Where refusal might offend. Gifts that are not trivial
should invariably be refused. But there may be occasions when to
refuse such a gift could give offence (for example from foreign
Governments); in these rare circumstances the gift should be
accepted and then reported and surrendered to the UKHO
to be displayed in an office or sent to MOD for disposal, or bought by the
recipient.
•
Retention of gifts at the workplace. It may sometimes be
appropriate to keep a gift so that it can be displayed in the office. This would be
appropriate, for example, if the donor were paying a reciprocal visit. In
these circumstances the gift should be logged in the Hospitality Book and, when
the gift is no longer required for this purpose, it may either be sent to MOD for
Disposalor purchased by the recipient.
•
The purchase of gifts. Trivial gifts may be retained at no cost
(see paragraph 6a). More expensive gifts may be purchased by
recipients, who should contact Finance for advice and assistance with the
transaction. The recipient of the gift will be required to obtain a valuation, the
cost of which can be deducted from the final purchase price
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•
Offer of gifts in return for gifts received. Staff should
not generally initiate an exchange of gifts. But they may reciprocate
where a formal official gift has been received. The provision of funds for such
gifting is confined to the Chief Executive. It is not permissible to present official
gifts to UK citizens or other Crown servants, representatives of companies
and spouses or other persons in attendance, or to those providing a
service during visits (for example drivers and interpreters). Full details
of the rules on Ceremonial Gifting can be found in FP015.
•
Gifts from colleagues. Personal gifts may be accepted from
colleagues who are themselves Crown servants (for example
presentations at the end of a tour of duty). Occasionally gifts may be
offered by official contacts who are also personal friends, as a token
of that friendship: such gifts may be accepted only where they are
purely personal presents and where their receipt does not breach the
principles set out elsewhere in this instruction.
•
Awards or prizes. Crown servants may from time to time be offered awards
or prizes by defence contractors or other organizations (for example in
recognition of work of particular merit in the scientific field or for a display of
military skills). The Chief Executive may approve the retention of the award or
prize provided it is consistent with the principles set out above, and is offered in
recognition of personal achievement in competition with others. In deciding
whether the award would give rise to public criticism they should consider the
status of the awarding body (and in particular whether the awarding body might
benefit from the activity that merited the award), the machinery of selection and
the range of people to whom awards are made.
•
Competitions. Staff may enter competitions provided that they are open
to the general public and not specifically targeted at either the UKHO or Civil
Service staff. In these circumstances, the individual may retain any prize that
they might win.
•
Other Incentives. Other favours or considerations may be offered by
private companies, defence contractors or organisations that are not clearly gifts
or hospitality. These may include special discounts or privileges not available to
others, discount vouchers, tokens or loyalty points awarded as a result of the
purchase of goods or services with public or UKHO funds. Individuals are
reminded that they must not receive gifts or benefits of any kind from a third
party which might be seen to compromise their official position personal
judgement or integrity. While it is not appropriate for private use to be made of
such benefits arising from the expenditure of public or UKHO funds, this does not
apply to minor incidental benefits e.g. petrol tokens acquired on official journeys
for which mileage is claimed. If practicable, such benefits should be used to
offset official expenditure at a later date. Any offer involving the purchase of
goods or services through a contractor, consultant or supplier using their trade
discount, or from outlets not open to the general public, must be declined.
3.
Private use of benefits arising from official travel
Staff travelling on official business and at public expense, must not make private
use of any customer benefits which might arise as a result of that expenditure.
These could include various frequent flyer bonuses (including Air Miles) and
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companion or “two-for-one” tickets. The collection and use of bonuses, to enable
staff to use facilities such as priority booking arrangements or special lounges
when undertaking official travel, is permitted. See FG014 for further information.
4. It is essential that decisions regarding the airline or other travel service used for
official journeys or the type of ticket or service purchases is not, or perceived to
be, influenced by considerations of the personal benefits, which might be
obtained. Travel arrangements should be made in accordance with MOD
guidelines on efficiency and economy.
5. Staff travelling at UKHO expense, must not seek or accept an inferior class or
standard of travel than that to which they are entitled in order to use the
difference in cost (or saving) to purchase (in part or full) a second ticket for a
spouse or partner. Although the class of travel appropriate to a grade or rank is
an entitlement, an individual is free to forego that full entitlement should he or
she so wish. However, where an inferior entitlement is accepted at a lesser cost
any saving that is secured must fall to the UKHO and may not be used for
personal benefit.
6.
Compensation
Staff travelling on official duty who are offered compensation in respect of
personal hardship or inconvenience caused by disruption of an official journey
may retain the compensation. This includes the cancellation or overbooking of an
air flight, an excessive delay, or the imposition of a downgrading of class of
travel or accommodation. Where an individual accepts such compensation (e.g.
a meal or overnight accommodation, or payment in lieu of this) this should be
taken into account and identified in any subsequent claim for allowances. Travel
and subsistence allowances will normally only be paid in such circumstances to
cover any additional expenditure necessarily and actually incurred.
7. Any offer to an individual Crown servant involving the opportunity to purchase
goods or services through a contractor, consultant or supplier using their trade
discount, or from outlets not open to the general public, must be declined. This
excludes offers made through the Forces Discount Brochure and similar
arrangements available through membership of Trades Unions or other
associations.
8.
Rewards
Under no circumstances should anything be accepted from an external
organisation that could be construed as a personal reward for a service or
transaction which is, or might be, performed as part of an individual’s official
duties and which benefits the organisation giving the reward.
9.
Loans
Staff should not accept loans of cash or equipment, nor should loans be accepted
by the relatives or associates of Crown servants, where the loan has been given,
or could be construed as having been given, because of the donor’s official
relationship with the Crown servant or with the UKHO.
10.
Funds for charity
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Staff who could be expected to have influence on a particular company’s
business with the UKHO should avoid placing themselves in a position of
obligation by inviting the assistance of such firms in personal efforts to raise
funds for charitable purposes.
11.
Hospitality
It is common practice for defence contractors and other organisations to offer
hospitality to Crown servants. This can range from “working lunches”, to dinners,
to offers of tickets for sporting or cultural events, or even to holidays. When
deciding whether or not to accept such invitations (including invitations made to
relatives or associates) staff must have in mind the principles set out in Chapter
2, Section 5. In particular, staff working in posts that play a role in influencing
decisions related to the business activities of a particular contractor (for example
staff involved in setting or influencing equipment requirements, funding levels,
or timing of market testing, procurement or support projects, as well as those in
contracts posts, quality assurance, and project management) should be most
careful about accepting any hospitality from the companies with whom the UKHO
is dealing. This is particularly so at a time when any matters that could have
financial or other implications for the company are being considered or
discussed.
12.
The following specific guidance must also be followed:
• Invitations made in a representational role (i.e. where the person invited
is a representative of the UKHO and does not have any personal
involvement in dealing with the organisation that has made the
invitation) may generally be accepted, within the limits defined below.
• Hospitality that includes overnight accommodation paid for by a company
must not be accepted. Exceptionally it may be accepted where officials
act on behalf of a company in support of the sale of defence equipment
and it has been agreed that the company will provide travel and
accommodation. It may also sometimes be appropriate to accept
overnight hospitality where there is no convenient alternative to the
company’s accommodation (for example a company guest house at a
factory in a difficult or remote location), and where the offer arises
strictly in connection with an official (working) visit.
• Invitations to lunches or dinners with representatives of private sector
companies with whom the UKHO has business may normally be accepted
as long as the purpose of the lunch or dinner is to discuss UKHO business
and acceptance is considered to be necessary in the interest of the UKHO.
• Invitations of a social kind from private sector companies with whom the
UKHO has business, and in particular invitations to sporting and cultural
events, should normally be declined. Only in exceptional cases may such
invitations be accepted, where acceptance can be shown to line managers
to be necessary in the interests of the UKHO (for example entertaining a
foreign buyer or collaborator). The perception of conflict of interest that
may arise from one individual’s attending an event may be greatly
exacerbated by multiple or group attendance. On those rare occasions
where attendance can be justified for an individual, the justification
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should be interpreted as applying to just one individual and not to each
individual invited. Line managers must ensure that not only are individual
acceptances properly assessed, but that multiple invitations are detected
and further assessed in line with this guidance. Repeated invitations from
the same source to such events are particularly inappropriate and must
not be accepted.
• Transport costs must not be accepted as UKHO reimbursement
arrangements are expected to cover such expenditure. But local
transportation (for example a company car from the nearest station to a
factory) may be used. Exceptionally, it may sometimes be appropriate to
accept other offers of transport, where they form part of a wider offer to
a company’s customers, and where the offer arises in connection with an
official (working) visit.
• Such things as offers of holidays and the use of vehicles must always be
refused, and details of the offers reported to line management.
• No individual should be seen to be favouring one organisation over
others. But the acceptance of hospitality from a number of separate
Hospitality organisations or persons cannot be presumed to remove
suspicion of favour, and the preferable course is to accept none.
• There are various categories of staff who are physically located at a
contractor’s premises. Arrangements may have to be made to identify
which of the facilities they may enjoy (for example subsidised canteen
meals); the principles of conduct set out above still apply.
14.
The recording of offers of gifts, rewards and hospitality
The acceptance of gifts and hospitality can sometimes be the subject of criticism.
It is very much in the interests of individuals and the UKHO that, where it is not
justified, such criticism should be convincingly rebutted. To help counter any
suspicion of corruption or improper conduct, all offers of gifts, complimentary
vouchers, other incentives and hospitality are to be recorded.
15. To this end, each Director who has contact with persons, firms or organisations
holding or seeking to obtain Government contracts is to keep a book (the
“Hospitality Book”), which records all offers of gifts, complimentary vouchers,
other incentives and hospitality made to all staff in their management area
whether accepted or declined. Each Hospitality Book must be bound (not loose
leaf) and filled in as offers are made, to show in respect of every offer.
For gifts, complimentary vouchers and other incentives:
• The donor of the gift, complimentary voucher, other incentive.
• The date it was offered.
• Description of the gift etc.
• The name of the recipient.
• Whether it was accepted or rejected.
• The disposal action taken.
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For hospitality:
• The source of the hospitality.
• The date of the event.
• The venue and type of hospitality.
• The names of the individuals receiving the hospitality.
• Whether the offer was accepted or rejected.
16. Hospitality Books must be examined at regular intervals (at least once a year)
by line management at SCS/One-star level. Staff at and above Director level
must maintain their own Hospitality Books, and these must be inspected by staff
at a higher grade. An official record of all examinations and their findings must
be made and placed on a registered file for audit purposes. All completed
hospitality books must be retained for five years before destruction.
17.
Private transactions
Staff who have official dealings with contractors must avoid transacting any kind
of private business with them by any means other than normal commercial
channels. No favour or preference with regard to price or otherwise must be
sought or accepted which is not also available to the general public. This
regulation applies with equal force to staff acting on behalf of others.
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Annex M Procedures for Seeking Permission to Speak in Public, to Lecture, or
to Write for Publication
1.
Public speaking
Staff must seek the prior approval of the Chief Executive to make public
speeches, or film, radio or television1 appearances, or to communicate with the
Press or other non-Governmental bodies. In unusual circumstances, or in any
case of doubt, the Chief Executive, or his authorised representative, is to consult
the Press Secretary and Chief of Information. If there is insufficient time2 for the
necessary consultation, the invitation should normally be refused.
2. It may be desirable and useful to seek permission in principle before embarking
on the preparation of the full text where the activity is to be given advance
publicity.
3. The rules on payments for broadcasting, lecturing or writing for publication are
in Chapter 2, Section 4.
4.
Lecturing or writing for publication
• Applications for permission to publish any book, monograph, article, letter
or other textual material, to give a public lecture or to put forward any
thesis for a degree or diploma must be submitted through the author’s
senior line manager to D News Policy.
1
Public speeches should be submitted for prior clearance under the procedures for lectures
(paragraph 4) if their text is likely to be published afterwards, or quoted by a broadcasting
authority, newspaper or magazine, either in whole or in part if they contain scientific or technical
data, or if they comment on DPA projects, so that they may be fully cleared in all respects,
including Crown copyright aspects.
2
Normally permission to express views on politically controversial issues will be refused. For any
exception to this rule, D-INFOD will seek the prior approval of the Secretary of
State for Defence.
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Annex N Confidentiality and Official Information
1.
Rules
Departments and agencies must remind staff on appointment, retirement or
resignation that they are bound by the provisions of the criminal law, including
the Official Secrets Act, which protect certain categories of official information,
and by their duty of confidentiality owed to the Crown as their former employee.
2.
Standards of conduct to be reflected in local staff regulations
Civil servants are expected to be prepared to make available official information
which is not held in confidence within Government, in accordance with
Government policy and departmental or agency instructions. They must not,
without relevant authorisation, disclose official information which has been
communicated in confidence within Government or received in confidence from
others.
3. Civil servants must continue to observe this duty of confidentiality after they
have left Crown employment.
4. Civil servants must not take part in any activities or make any public statement
which might involve the disclosure of official information or draw upon
experience gained in their official capacity without the prior approval of their
department or agency. They must clear in advance material for publication,
broadcasts or public discussion which draws on official information or
experience.
5. Civil servants must not publish or broadcast personal memoirs reflecting their
experience in Government, or enter into commitments to do so, whilst in Crown
employment. The permission of the Head of the MOD and the Head of the Home
Civil Service must be sought before entering into commitments to publish such
memoirs after leaving the service.
6. Civil servants must not seek to frustrate the policies or decisions of Ministers by
the use or disclosure outside the Government of any information to which they
have had access as civil servants.
7. Civil servants must not take part in their official capacities in surveys or research
projects, even attributably, if they deal with attitudes or opinions on political
matters or matters of policy.
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Annex O The misuse of UKHO IT facilities
1. IT facilities are provided in the UKHO for the conduct of official business,
including the activities of the UKHO’s Trades Unions. When using UKHO IT
facilities staff must observe the normal standards of conduct, personal behaviour
and propriety. Where there is any doubt about the acceptability of a particular
activity, line management advice and approval should be sought.
2. It is recognised, however, that it is reasonable for line managers to allow limited
use of IT facilities for activities not directly related to the UKHO’s work where
these can bring benefits to the MOD and to staff. The responsibility for
determining what is reasonable rests with the line manager. Examples include
the limited use of internal e-mail to communicate with colleagues for social
purposes, the setting up and use of bulletin boards by authorised clubs and
societies, Trades Union activities, authorised use of the Internet to obtain travel
information or to book tickets, authorised fund-raising activities for charitable
purposes, the occasional use of word processors to produce documents to
support voluntary activities such as school governor duties.
3. Activities which will be considered to be misuse:
a. installing, accessing, storing, processing, downloading, producing, displaying
or distributing offensive, indecent or obscene material such as sexually
explicit or hate literature. This includes behaviour which annoys or harasses
others (e.g. by sending discriminatory or offensive material) and which is in
breach of the UKHO’s Equal Opportunities policy. The scope of this is far
wider than sexual or racial harassment;
b. any activity for political or private commercial purposes;
c. contravening System Security Policy and Security Operating Procedures for
example, connecting to the Internet without approval of the Sector Security
Authority or holding any material with a protective marking on a machine
connected to the Internet;
d. installing, storing, processing, or distributing classified, proprietary,
commercial or otherwise sensitive, or
for official use only information or
software on computer equipment or systems not explicitly approved for such
purposes;
e. obtaining, installing, storing, or using software or information obtained in
violation of the appropriate vendor’s patent, copyright, trade secret or license
agreement;
f. the use of another person’s account, password, or identity without his or her
explicit permission – e.g. forging e-mail; password abuse;
g. developing or introducing malicious software of any kind;
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h. amending, damaging, deletion or dissemination of other’s files,
communications or data without the appropriate authority or permission;
i. unauthorised personal encryption of files and e-mails;
j. the distribution or use of files, disks, CD-ROMs and other media without prior
checks for malicious software;
k. any activity which deliberately attempts to compromise IT facilities, prevent
access to them, damage them, cause degradation of performance, or to
mislead – without prior authorisation and other than as part of legitimate
system testing or security research;
l. publishing items on the Internet without formal editorial clearance from the
appropriate line authority.
This list is not exhaustive and where any doubt exists about the acceptability of a
particular activity, advice should be sought from line management. Staff are
reminded that the use of UKHO’s IT facilities may be monitored and that all
activities on the Internet are recorded by the Internet Service Provider.
4.
The consequences of improper use of IT facilities All staff should be aware
that the UKHO is likely to take disciplinary or administrative action against
anyone who misuses UKHO’s IT facilities, or even attempts to do so. This may
result in dismissal in the most serious cases.
5.
Responsibility for preventing and responding to the improper use of IT
facilities
All staff are responsible for ensuring that both they, and their colleagues, use IT
facilities in a proper manner. Suspected cases of IT misuse should be reported to
line management irrespective of any personal views on the gravity of the alleged
offence, or whether or not an individual has been directly affected or offended by
the activity in question. Line managers, in turn, must consider what, if any,
action to take in accordance with the disciplinary/security procedures.
6. Where criminal activity is suspected care should be taken not to take any action
that might later prejudice a criminal investigation. If in doubt please seek advice
from the appropriate Defence Police organisation (see below). Where any
contravention of MOD security regulations is suspected, the procedures for
dealing with security breaches must be observed in addition to any disciplinary
and criminal investigations. Security breaches may also give rise to disciplinary
action, or criminal prosecution.
7.
Where to get advice
If you require further information, please contact the appropriate branch listed
below:
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IT Security
DSy(Pol)2a
Tel: 83746MB
Policy
Directorate of Security (Policy)
Fax: 81165MB
Room 335
St Giles Court
1-13 St Giles High Street
London, WC2H 8LD
Harassment
DGCPHROps-DWLB Team
Tel: 86884MB
Equality & Diversity Unit
Fax: 81956MB
Room 450E
St Giles Court
1-13 St Giles High Street
London, WC2H 8LD
Civilian
DGCPHROps - Conduct
Tel: 86244MB
Conduct &
Room 458
Fax: 81956MB
Disciplinary
St Giles Court
1-13 St Giles High Street London,
WC2H 8LD
Cases of
MoD Police Fraud Squad Computer
Tel:
Suspected
Examination Unit MDP Wethersfield
01371 85
Criminal
Braintree
4465/4466
Activity
Essex, CM7 4AZ
Fax: 01371 854313
a. For further information on MOD’s policy on the use of the Internet and e-
mail please refer to the following: a. MOD Internet – Acceptable Use
Home Page- http://www/mod.uk/policy/internet/aup.htm b. JSP440 –
Volume 3.
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Annex P Form for submitting and recording grievance complaints (Source
MOD PI 116/03 Annex F)
FORM FOR SUBMITTING AND RECORDING GRIEVANCE COMPLAINTS
In accordance with the Data Protection Act 1998, the Ministry of Defence will collect, use,
protect and retain the information on this form in connection with all matters relating to
our personnel administration and policies.
The Policy and Procedures for raising a formal grievance/complaint are contained
in UKHO HR Manual Volume 7, Section 7.
This form is designed to track grievances through the full resolution process and to record
the outcomes. It should be completed at each stage then forwarded to the HR Ops Conduct
Team when the grievance is resolved or the process ends.
You may seek help from either your Trades Union Representative or from a colleague when
completing this form. A Trades Union Representative or colleague may also accompany
and/or speak for you at any interviews held in relation to your grievance.
You may also contact HR or the Welfare Officer for advice about the policy and
procedures for raising a grievance.
Part 1
COMPLAINANT’S DETAILS
1
Personal Details
Last Name:
Fore Name(s):
Grade:
Staff Number:
Unit/ Establishment:
TLB
Personnel Management Authority:
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Part 2
REASON FOR GRIEVANCE
2
What is your Grievance?
Explain your grievance
here
3
What is your desired
remedy?
Please note that
financial compensation
cannot be awarded
unless you have
suffered direct
financial detriment.
Part 3 INFORMAL GRIEVANCE PROCESS
You should take the opportunity, if appropriate, to resolve your grievance informally and
locally through discussion.
Informal grievances should normally be raised, in the first instance, with your line manager,
or the officer who was responsible for the decisions or action about which you are
complaining.
In raising your complaint, you may also wish to seek advice from your Personnel Officer,
Trades Union Representative, Equal Opportunities Officer, or a Welfare Officer.
You may attach any additional information to this form that you believe will be relevant to
your grievance.
Please list any attachments that you have included.
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Part 4
Outcome of the Informal Approach (If Appropriate)
4
Did you raise this
grievance informally?
YES/NO
If yes - who considered
NAME
POST
your grievance?
What was the outcome?
If this remedy was
acceptable please
complete Part 9
Part 5
FORMAL GRIEVANCE PROCESS
If the informal approach is inappropriate, or if you are dissatisfied with the
outcome of an informal grievance, then you may raise the matter formally with
these procedures.
You should submit your grievance to your second line manager or (if your second
line manager was part of the grievance) to an appropriate senior line manager who
will become the Grievance Hearing Officer. (The issue/incident that you are raising
should normally have occurred within the last 3 months. Try to be succinct. You
may attach supporting documents).
In pursuing your complaint, you may also wish to seek advice from your Personnel
Officer, Trades Union Representative, Equal Opportunities Officer, or a Welfare
Officer.
You may attach any additional information to this form that you believe will be relevant to
your
grievance
.
Please
list
any attachments that you have included
.
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Part 6
Outcome of the Formal Grievance Complaint
5. Who considered your
NAME
POST
grievance?
What was the outcome?
If this remedy was
acceptable please
complete Part 9
If this remedy was
unacceptable please
explain why.
Part 7
GRIEVANCE APPEAL
This process should be followed if you are dissatisfied with the result of your formal
grievance complaint.
Parts 1, 2, 3 & 4 of your original form must be attached. Your grievance and desired remedy
must remain the same to that as detailed in Part 2.
Your appeal should be submitted to either a more senior manager within your line
management chain (copied to your TLB/Agency Personnel Management Authority and the HR
Ops Conduct Team)
within 10 days of the date of the written response from your 2nd Line manager.
or
if you wish to have your grievance considered by the Grievance Appeal Panel, to your
TLB/Agency Personnel Management Authority (copied to your 3rd line manager and the HR
Ops Conduct Team) within 10 days of the date of the written response from your 2nd Line
manager. The Conduct Team will advise you normally within 20 working days of receipt of
your appeal, of the date of the appeal panel, the Appeal Chair Person and Panel members.
You may seek help from either your Trades Union Representative or from a colleague when
completing your appeal and a Trades Union Representative or colleague may accompany
and/or speak for you at the appeal hearing.
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Part 8
Outcome of the Grievance Appeal
6. Who considered your
NAME
POST
grievance appeal?
Was your grievance
Yes/No
If Yes – Date?
considered by the
Grievance Appeal Panel?
What was the outcome?
Part 9
MONITORING OF GRIEVANCE PROCEDURES
In order to assist us to measure the success of the grievance procedure and to ensure
continuous improvement, please complete the table below and send a copy of the whole
form to:
DGCP HR Ops Conduct Team
Room 458 St Giles Court
1-13 St Giles High Street
London WC2H 8LD
Or e-mail to: CHOTs: dgcphrops-cond3 or xxxxxxxxxxxxxxx@xxxxxxx.xxx.xx
Did you pursue an informal Grievance complaint?
7 Did you pursue a formal Grievance complaint?
Did you pursue a formal Grievance Appeal?
8 Do you feel that your grievance has been given fair consideration?
If not, please briefly explain
what else could have been done
to resolve your complaint?
Thank you for completing the monitoring survey.
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Annex P-1 Guidance for TLB/Agency Personnel Management Authorities
Preparing a Grievance to the Grievance Appeal Panel
1.
When preparing a grievance for submission to the Grievance Appeal Panel,
the following documents will need to be included in the brief to the Panel:
a.
Letter initiating the grievance process;
b.
Record of the interview held at the Formal Stage of the procedures;
c.
Letter advising of decision on the case at the Formal Stage;
d.
Letter from the Grievance Deciding Officer to individual with
decision on case at the formal stage;
e.
Annex P (Form for submitting and recording grievance complaints)
to the TLB/Agency PMA;
f.
Any other relevant supporting papers.
2.
HR must prepare a written submission to the Panel, which must be copied
to the complainant and their representative (redacted as necessary). The
submission should:
a. Analyse
the
grievance;
b.
Summarise the facts;
c.
Adequately investigate areas of concern and outstanding issues;
d.
Provide a view on the procedures that have been followed and draw
attention to procedural errors that may have occurred;
e.
Provide legal or policy advice where appropriate.
The submission will not:
a.
Express an opinion on the merits of the case;
b. Recommend
an
outcome.
3.
All the complainant’s Personal files – (PF, PAR, Medical, Discipline)
together with any locally-held Personnel files should be made available to the
TLB/Agency PMA.
Document Map
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