Employee conduct and propriety
Aim
To provide clear guidelines for all employees about the level of conduct and propriety which
is expected within the organisation
In particular, this document covers:
1. General principles
2. Statutory and contractual background
3. Statutory monitoring
4. Financial matters
5. Fraud and corruption
6. County Council facilities
7. Confidentiality and information
8. Gifts
9. Bequests
10. Sponsorship
11. Hospitality
12. Where contractual involvement should be Avoided
13. Political neutrality
14. Conflicts of interest
15. Secondary employment
16. Politically restricted posts
17. Personal relationships
18. Collections for colleagues
19. Intellectual property
20. Equality issues
21. Offences
22. Confidential reporting of concerns about others conduct.
1. General Principles
The public is entitled to demand conduct of the highest standard of anyone involved in local
government service. Accordingly, no reasonable suspicion must be allowed to arise that
any County Council employee could in any way be influenced by improper motives, or
obtain improper personal advantage from or through his/her work.
All employees must act honestly, fairly and objectively. No member of the public should
receive a better or worse service because of attitudes to:
• gender or gender reassignment; marital status; sexual orientation; race, language,
ethnic or national origins and nationality (including citizenship); religious belief;
disability and / or medical conditions; age; whether they have dependants or are
pregnant; trade union membership status and activity and or political views/
affiliations, or
• because the employee concerned has a personal or financial interest in the outcome
of the decision which is to be made or the service which is to be given.
1
All local authority employees are expected to abide by codes of official conduct. There are
specific codes of conduct for senior local government officers and for members of particular
professions. A breach of the code of official conduct could lead to serious consequences,
both for the authority and the individual.
Apart from the special case of political restrictions (more information is given later in this
document), the main circumstances in which there are potential difficulties affecting official
conduct are:
• Where an external organisation is seeking to provide work, goods or services to the
County Council
• Where an external organisation needs some decision or authority (e.g. in relation to
planning applications) from the County Council.
Employees in some Business Units (e.g. Planning Services and Procurement Support) will
be well aware of these issues already, but employees in all Business Units need to be made
aware of them.
New employees are made aware of these issues through specific information given in their
Statement of Written Particulars and in the attached Associated document (the “Blue
Pages”). Guidance on these issues is also contained in the Staff handbook, which is issued
to all new starters.
2. Statutory and contractual background
There are several statutory provisions that relate to the conduct of local authority
employees in specific instances such as:
• Standards of official conduct
• Fraud and corruption
• Disclosure of information
• Contracts for goods or services
• Outside commitments and personal business interests
• Political neutrality
• Councillor – employee relationships
• Intellectual property
• Equality issues
• Recruitment matters
The main sources of information are shown in the “Sources of Information” document and
the “West Sussex County Council Standards of Conduct” document, which can be
downloaded from the People Management Guide.
Some responsibilities apply to all employees within local government; but there are also
provisions drawn up specifically within the County Council.
There may be further local procedures within Business Units to deal with particular
circumstances.
2
Individual members of staff should also ensure that they are aware of and observe the
relevant code of ethical behaviour for their professional body (if any).
3. Statutory Monitoring
The Local Government and Housing Act 1989 (Section 5) requires each local authority to
have a monitoring officer who has formal responsibility to investigate any breach of
statutory requirements or breach of (for example) professional codes of conduct. In West
Sussex County Council it is the Head of Legal Services who has this role, reporting to the
Council.
The County Treasurer undertakes a similar monitoring role on financial matters under the
Local Government Act 1988. Major problems of propriety may need to be dealt with
through this mechanism if they are not resolved by more routine methods.
THE FOLLOWING SECTIONS OF THIS TOPIC ARE TAKEN FROM THE WSCC CONSTITUTION,
AND READERS SHOULD REFER TO THE CONSTITUTION FOR THE MOST UP TO DATE
VERSION OF THIS DOCUMENT.
4. Financial Matters
Any member of staff who is responsible for financial matters (whether in a line
management or accounting role) must follow the County Council’s Financial Regulations.
• Staff responsible for the procurement of goods and services must also comply with
Standing Orders on Contracts and guidance on good practice in procurement
matters.
• Staff must ensure that invoices for payment are certified only in accordance with
authorised procurement procedures and Standing Orders on Contracts.
• All invoices should be capable of being identified as relating to an official order.
Where the sums involved are significant, a formal contract must be agreed and
signed by the supplier before invoices are authorised for payment.
• Payment under contract must be made in accordance with the terms specified in the
contract. These may include payment schedules, requirement of confirmation of
successful completion of acceptance tests. Where there is no written form of
contract, staff must certify invoices for payment when they are satisfied that the
work has been done or the goods have been received and that the correct prices
have been charged and the proper discounts have been taken.
Specific procedures apply to home care staff employed within Adults and Children’s
Services. Details can be found in the handbook, ‘Guide for Home Care Staff’. Please see
the end of this document for a link to this document.
3
5. Fraud and Corruption
West Sussex County Council has an Anti-Fraud and Corruption Strategy – Policy Statement.
This can be accessed through the People Management Guide or from the Fraud Hotline
pages on the internet hosted by Internal Audit.
6. County Council Facilities
Staff are reminded that they cannot use County Council facilities for private purposes
without permission, although this may be given in either general or specific terms.
All staff should be aware of and abide by the West Sussex County Council Acceptable Use
of Computer systems policy. This policy can be access from the People Management
Guide.
7. Confidentiality
In general staff should act upon the presumption that open government serves the public
better than secrecy.
• Staff should be aware of and comply with relevant statute and common law which
provides for either confidentiality or rights of access to information for County
Councillors, auditors and members of the public. A list of these documents can be
found in “Sources of Information” – available from the People Management Guide.
• Personal information, in particular, must be treated in compliance with the provisions
of the Data Protection Act 1998.
• Staff should not use the information obtained in the course of their employment for
personal gain or benefit nor should they pass it to others who might use it in such a
way. Staff must not abuse their right of access to information for other than
legitimate employment-related purposes, e.g. personal curiosity.
• Where staff obtain confidential information belonging to the County Council as such
they must not disclose it to any person not authorised to receive it (unless they are
required to do so by law or by court order.) Advice and further details on this should
be obtained from the Head of Legal Services.
• Staff should observe all security arrangements (e.g. IT security procedures, safety of
files) designed to protect confidentiality of information, particularly personal or
commercially-sensitive information. Confidential papers, files and valuables should
not be left unattended on desks and should be securely locked away when no longer
required for immediate use.
• Responsibilities as set out above will apply to treatment of information obtained
while at work even after a member of staff has retired or otherwise left the
employment of the Authority.
4
8. Gifts
The general rule is that staff should tactfully refuse all offers of gifts from organisations or
persons who do or might provide work, goods or services to the County Council or who
need some decision from the County Council.
Many staff are working in close proximity to individual recipients of services and their
families and friends. The general rule in that case also is that staff should not accept gifts
in any circumstances. Any offer of a gift should be reported to the line Manager, and in the
case of a Executive Director or other Chief Officer, to the Chief Executive or the Head of
Legal Services.
Exceptions include:
• modest gifts of a promotional character given to a wide range of people, such as
calendars, diaries, articles for use in the office etc, or
• a small gift on the conclusion of a courtesy visit to a factory or firm provided it is of
a sort normally given by the firm to visitors.
Such exceptions relate only to modest gifts and obviously an expensive gift should raise a
question even if it would otherwise fall within one of the above categories.
It is, however, recognised that there are instances where to refuse a gift of small value, i.e.
up to £10, would be hurtful to individual recipients of services. Acceptance, therefore, on
an occasional basis, of such small personal gifts would not be seen as infringing the general
rule. In such circumstances, the member of staff should report the matter to his or her
manager, who will consider the circumstances of the gift and if he/she is satisfied that no
undue influence has been exercised in obtaining the gift, shall approve the acceptance of it
and record the acceptance and circumstances in a log book to be retained in the managers
office. Reporting gifts is particularly important. Guidance from more senior managers may
be appropriate in complex cases.
Gifts to the value of more than £10 should be returned to the service user by the manager.
Staff should not enter into any commercial transactions (including buying and selling
properties or products or loaning or borrowing products) with any service user and should
not act on a service user's behalf in such transactions unless the specific action forms part
of the staff member's agreed duties (e.g. shopping for an elderly person). Entering into
commercial transactions, apart from those specifically authorised (for example, in Adults’
Services a care plan for an individual), will be a disciplinary matter.
9. Bequests
Staff should not act as an executor of a will or encourage any gift or bequest from a service
user as such.
• If a member of staff discovers that they have been named as a beneficiary under the
will of a service user, a previous service user or other work contact, they should
5
declare the bequest to their Executive Director who will determine whether the
acceptance of the bequest is authorised or not.
• Acceptance of bequests up to a value of £250 may be authorised by the Executive
Director or other Chief Officer following full consideration of the circumstances
relating to the bequest. This will apply only where individual members of staff have
been providing personal services to the service user concerned and not in any other
circumstance.
• Acceptance of any bequest without the express permission of the Executive Director
or other Chief Officer will be considered as gross misconduct and may result in the
member of staff being dismissed.
Executive Directors and other Chief Officers may delegate the operation of the policy to
Business Unit Heads.
10. Sponsorship
Sponsorship by external organisations
• Where outside organisations wish to sponsor local government activities, potential
sponsors should disclose whether their organisations are contracted by the County
Council to provide goods or services. Staff involved in setting up such sponsorship
arrangements should draw this to the attention of sponsors.
• County Council Sponsorship
• Where the County Council wishes to sponsor an event or service, neither a member
of staff nor any partner, spouse or relative must benefit from such sponsorship in a
direct way without there being full disclosure to the appropriate manager of any such
interest.
• Similarly, where the County Council, through sponsorship, grant aid, financial or
other means, gives support in the community, staff should ensure that impartial
advice is given to the beneficiaries and that no conflicts of interest are involved.
11. Hospitality
When to accept hospitality is clearly a matter of judgement. It would be wrong to produce
an atmosphere in which even those in a representative capacity for the County Council,
such as staff acting as a formal representative of the County Council, refuse all invitations
for social involvement with those who have, or may seek to have, business dealings with
the County Council. Contacts that are established in a social environment can often be
helpful to the County Council’s interests.
However, it is important to avoid any suggestion of improper influence or giving others the
opportunity reasonably to impute improper influence.
All units will maintain hospitality registers. Heads of Business Units should ensure that
checks are made not less than once every six months, to confirm that each hospitality
6
register is properly completed. The register will be subject to normal audit review on a
periodic cycle.
The following general guidelines are intended as examples only:
Acceptable
• A working lunch of a modest standard provided to allow the parties to discuss
business, or following/prior to business discussions. A useful test would be whether
the County Council would provide refreshments if the venue were reversed. If there
is a series of meetings requiring hospitality, the County Council should seek to act as
host on an approximately alternate basis.
• An invitation to a professional society dinner or one associated with a body with
whom that member of staff may have been working, e.g. a private architect’s
invitation to a RIBA dinner.
• An invitation to join other company guests as County Council representatives at
sponsored events e.g. cultural, sporting or other public occasions in West Sussex or
neighbouring counties. Non-reciprocal company invitations to events further afield,
including London, should always be notified to the County Secretary, as should any
invitations to particularly costly or exclusive occasions.
• An invitation to join other company guests in a company jubilee, opening or other
special occasion.
The first three points are permissible arising out of occasional invitations. However,
accepting frequent invitations from the same source could well lead to criticism and render
the otherwise acceptable, unacceptable.
Unacceptable
• Paid holiday or leisure travel or accommodation.
• Tickets for premium events which are offered on a personal basis.
• Use of a company flat or hotel.
• Discounted services, materials, labour, etc. from contractors or suppliers which are
not equally available on the same basis to others not having an actual or potential
business link with them. Staff may consider it appropriate to get more than one
quote for private works, e.g. on their own house, if a supplier to the County Council
is involved.
When a particular person or firm has a matter currently in issue with the County Council
then clearly common sense dictates a more restrictive approach. An important criterion in
exercising judgement is what interpretation others might reasonably put on acceptance. In
case of doubt, the responsible manager, Business Unit Head, Executive Director, Head of
Legal Services or Chief Executive should be consulted, according to the level and
significance of the offer.
7
12. Where Contractual Involvement Should Be Avoided
Where there is any financial or close personal connection the staff member should not be
involved in making any decision for the placement of contracts or for a decision carrying
value for the person on behalf of whom it is made (as for example with the granting of
planning permission). This includes not only making such decisions but also participating in
them whether by attending or advising members who are making such decisions or
advising or managing other staff members who are doing so.
13. Political Neutrality
Staff serve the County Council as a whole. It follows they must serve all County Councillors
and not just those of the controlling group, and must ensure that the individual rights of all
the County Councillors are respected.
Subject to the West Sussex conventions, staff may also be required to advise political
groups. They must do so in ways which do not compromise their political neutrality.
Staff, whether or not politically restricted, must follow every lawful expressed policy of the
County Council and must not allow their own personal or political opinions to interfere with
their work.
14. Conflicts of Interest (Financial or Personal)
Conflicts of interest refer to any situation where the financial or personal interests of
individuals could affect, or be thought to affect, their professional or other working
involvement. An important safeguard for the County Council, and for staff, is that they
should be open about any interests and should declare them.
Members and senior officers are required by statute and by governmental directive to
declare their interests. However, it is important for all staff, particularly those who are or
may become involved in contracting decisions, to be aware of their responsibilities when
they have financial and other interests which relate to work. It is also important for the
County Council to be aware of such interests.
An example of where a conflict of interest might arise would be:
• Where a member of staff (or their close relative or those with whom they live) with
responsibility for the purchase of goods or services on behalf of the County Council
has a financial interest in the organisation supplying the goods or services.
• Where a member of staff (or their close relative or those with whom they live) has
an interest in an organisation or body which needs some decision or authority (e.g.
in relation to planning applications) from the County Council.
• There are special cases of political restrictions (which are covered in greater detail
below).
8
15. Secondary Employment
• Permission from the County Council through line management at a level to be set
and monitored by the Executive Director, Chief Officer or Head of Business Unit is
required if a member of staff wishes to take secondary work.
• Any secondary work must not prejudice the way in which the member of staff carries
out his/her work for the County Council. Where volunteers or contractors are
involved the same principles must be observed.
• For employees with a basic pay at or above spinal column point 31, and for all
management grades, Teachers, Soulbury or JNC Youth, it is a condition of
employment that they may not engage in any other business, or take up any other
additional appointment which may affect the performance of their official duties
without the consent of the Head of Business Unit.
• The off-duty hours of local government members of staff are their personal concern
but they should not subordinate their duty to their private interests to put
themselves in a position where their duty and their private interests conflict.
• The employing authority should not attempt to preclude staff from undertaking
additional employment, but any such employment must not, in the view of the
authority, conflict with or react detrimentally to the authority’s interests, or in any
way weaken public confidence in the conduct of the Authority’s business.
• Particular attention will be paid to the impact of the Working Time Regulations and
other statutory protection of staff.
• A secondary job with an organisation that supplies work or services to the County
Council, for example, could create a conflict – especially if the main employment
involved responsibilities for acquiring those supplies or services. The Local Conditions
of Service reflect this principle.
• Staff should not use County Council facilities and assets, e.g. accommodation,
computing resources (including electronic mail and access to the Internet) for the
purpose of any secondary employment. Management approval may be given for the
use of such assets/facilities outside normal working hours to support voluntary work
on a case by case basis.
16. Politically Restricted Posts
The Local Government and Housing Act 1989 requires local authorities to prepare and
maintain a list of politically restricted posts. People occupying the listed posts cannot be
politically active in the ways described in the legislation.
Posts are listed if they fall in any of the following categories:
a) The Remuneration Criteria
9
Any appointment made for posts on Spinal Point 44 or above are subject to the
"Politically Restricted Post" provisions and these must be brought to the attention of
the member of staff at the time of appointment. Similarly, where someone is
appointed on a scale which will eventually allow them incremental progression to
that point, the provisions that would then apply should be brought to their attention
at the time of appointment.
b) The Politically Sensitive Criteria
Posts which involve one or both of the following:
• Giving advice on a regular basis to the County Council or any of its Committees
or Sub-Committees or to any Joint Committee on which it is represented.
• Speaking on behalf of the County Council on a regular basis to the media.
c) Other Criteria
Executive Directors, other Chief Officers, Business Unit Managers and officers to
whom functions of the County Council are delegated in their own right are also
restricted, but do not have any right of appeal.
The terms and conditions of employment of politically restricted post holders are deemed
to incorporate the following restrictions:
• Standing for election as an MP, MEP, or member of a local authority except a
parish to town council.
• Acting as an election agent.
• Holding certain offices in a political party.
• Canvassing on behalf of a political party or on behalf of a candidate for election.
• Speaking or writing publicly with the apparent intention of affecting public
support for a political party.
If the holder of a politically restricted post feels that the post has been wrongly listed
he/she should discuss it initially with his/her Executive Director/other Chief
Officer/Business Unit Manager. If after discussion, the Executive Director/other Chief
Officer/Business Unit Manager confirms that, in the authority's view the post has been
correctly listed, the post holder may appeal or apply for exemption to the County Council’s
Standard’s Committee.
Those appointed to politically restricted posts should be issued with the document 'Political
Restrictions on Local Government Officers' with their Written Statement of Particulars. To
view a copy of this document, please see the end of this topic.
A member of staff whose post becomes politically restricted through salary advancement
should receive a copy of the document as and when they qualify. Full details about an
individual's rights of appeal are given in the document.
10
17. Personal Relationships
Elected Members
Mutual respect between County Councillors and officers is essential to good local
government. Close personal familiarity between individual County Councillors and officers
can damage the relationship and prove embarrassing to other County Councillors and
officers (National Code of Local Government Conduct paras 23,24 and the West Sussex
Conventions).
There is no bar to people who have a close personal relationship both working for the
County Council, or even working in the same Business Unit. However, certain proprieties
have to be observed.
When a candidate for an appointment is related to or has a personal relationship with an
Elected Member, Executive Director, other Chief Officer or Deputy Chief Officer or Business
Unit Manager, he/she must disclose the fact. Likewise, a Executive Director, other Chief
Officer or Deputy Chief Officer or Business Unit Manager who knows of such an application
must inform People Management Support.
Other Staff
For similar reasons, no member of staff may be involved in the selection, appointment,
promotion or disciplinary procedures involving a person with whom they have a close
relationship.
If, through promotion or for other reasons, a line manager is likely to come to have
responsibility for a member of staff with whom he/she has a close personal relationship
then they must both understand that adjustments will have to be made. This would be to
avoid any suggestion that the personal relationship is improperly affecting the working
situation. Such a situation would be dealt with wherever possible by means of a mutually
acceptable resolution. Reference to the National Code on Local Government Conduct is also
useful if there is a problem in this area.
Contractors
Any personal relationships with contractors or potential contractors should be made known
in accordance with the legal requirements to declare financial interests.
18. Collections for Colleagues
It is acceptable common practice in many work-groups to make a collection and to provide
a gift for a colleague who is leaving or on bereavement, marriage or birth of a child.
However, it is not normally permissible to solicit contributions from contacts outside the
County Council. Executive Directors, other Chief Officers and Business Unit Managers have
discretion to allow contributions from outside contacts including other Business Units where
close day-to-day working relationships make this appropriate.
11
19. Intellectual Property
Inventions and Patents
Inventions made before 1 June 1978 are the property of the employer if made in the
course of that employer’s employment. However, the Patents Act 1977 states that after 1
June 1978 inventions are only the property of the employer if:
• They have been made in the course of the member of staff's normal duties.
• They have been made in the course of duties specifically assigned to the member of
staff and where invention might be reasonably expected.
• It was made in the course of the member of staff’s duties and at the time the
member of staff had (because of the nature of his duties and particular
responsibilities arising from them) a special obligation to further the interests of the
employer.
Any staff involved in:
• Research or analysis work
• Software development using IT facilities
• Design work
in the course of their employment shall treat any resulting invention or innovation as the
property of West Sussex County Council.
20. Equality Issues
Staff should be aware of the provisions of and their responsibilities under the following
Acts:
• Sex Discrimination Act 1975
• Race Relations Act 1976
• Disability Discrimination Acts 1975 and 1995, as amended 1999 and 2004
• The Human Rights Act 1998
• Employment Equality (Age) Regulations 2006
Staff should also be aware of the County Council’s Equality and Diversity Policy.
Compliance
All members of the local community, customers and other staff have a right to be treated
with fairness and equity. All local government staff should ensure that policies relating to
equality issues, as agreed by the County Council, are complied with in addition to the
requirements of the law. Discrimination on any grounds, e.g. age and sexual orientation or
personal interest, is completely unacceptable.
To view a copy of the County Council’s Equality and Diversity Policy, please see the link at
the end of this document.
12
21. Offences
All applicants are asked to declare on the job application form any history of offences,
other than spent offences, before they are appointed. For some posts (e.g. those involving
contact with children or vulnerable people), no offences are regarded as "spent". Checks
may be made, via the Criminal Records Bureau, with the consent of the applicant.
The Rehabilitation of Offenders Act 1974 sets out when and in what circumstances offences
are "spent" and so do not have to be disclosed. This information is available from the
People Management Guide in the “Recruitment” section.
Any member of staff who is charged with a criminal offence other than traffic violations
which do not carry an endorsement while in employment with West Sussex County Council
should notify their line manager immediately. This notification may lead to precautionary
steps being taken. This is only likely in a limited number of cases (e.g. a charge of child
abuse, even if outside their work, for a careworker) but it could mean, for example,
suspension until the case is heard.
Failure to disclose such a charge may be considered as a disciplinary offence.
The offence itself will affect the member of staff's employment only if it affects their ability
or suitability to undertake their work. Even if they are not convicted, however, the
circumstances that gave rise to the charge could result in disciplinary action being taken.
22. Concern about Possible Impropriety from Others
Staff may, during the course of their work, become aware or begin to suspect that other
staff have breached the guidelines set out in this document.
There may also be similar difficulties with reference to contractors, clients or elected
members. The County Council has approved a confidential reporting policy, which has been
circulated to all staff, to support staff in such situations and staff should observe the
guidance set out in the policy. This policy is available via the People Management Guide or
from the Internal Audit pages on the intranet.
Attachments
-
Guide for Home Care Staff
-
Sources of Information
-
West Sussex County Council Standards of Conduct
-
Acceptable use of computer systems
-
Anti fraud and corruption strategy
-
Political restrictions on Local Government officers
-
Equality and Diversity Policy
-
Confidential reporting Policy
Produced by:
Legal Services and HR Strategy team
Date written:
May 2001
Date this version issued: Oct 2005
Quick Review:
July 2008
13
Document Outline