Protocol on Member / officer relations

Report: 11
Date: 25 March 2004
By: Clerk

Summary

This report proposes a protocol setting out the respective roles and reasonable expectations of members and officers.

A. Recommendation

That the Authority approves or amends the attached protocol.

B. Supporting information

1. An increasingly common element of the corporate governance framework of local government is a protocol or statement on member / officer relations. Such protocols are intended to be supportive rather than inhibiting, by setting out the respective roles and reasonable expectations.

2. The attached draft protocol is based on examples from local authorities, but introduces MPA specific items. A distinction has to be made between MPA Secretariat / Internal Audit staff and MPS officers and staff. However, the protocol is drafted in such a way that it can also apply to the relationship between members and MPS officers and police staff.

3. Comments on the draft protocol were invited from all members and staff. The Standards Committee considered it at its meeting on 27 February. Members suggested some changes, which have been included in the draft (including an urgency provision in paragraph 23; and referring to mediation as an option in paragraph 32). A member of the committee raised concerns about the statement on GLA researchers in paragraph 20. It was also proposed that a statement of the link member role and responsibilities should be included as an appendix. It is suggested that this awaits a review of the link member role which is proposed as part of preparations for the Authority’s second term.

4. As mentioned in paragraph 2, the principles set out in the protocol are also meant to apply to the relationship between MPA members and MPS officers and police staff. However, the Standards Committee members suggested that there is a need to develop something more specific about that relationship. This could usefully be included in the induction programme for the new Authority, but thought will also be given to producing written guidance.

5. This protocol sits alongside the Authority’s code of member conduct. The other piece of the jigsaw – an officer code of conduct – is currently being developed.

C. Equality and diversity implications

These are addressed in the draft protocol and are an important consideration. One of the guiding principles of this protocol is to ensure equality of treatment and access to all members and staff.

D. Financial implications

None.

E. Background papers

• Member/Officer protocols from Camden, Haringey, Richmond and Ealing.

F. Contact details

Report author: Simon Vile, MPA.

For more information contact:

MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18

Appendix A

Protocol on Member / officer relations

Introduction

1. The relationship between MPA members and officers is important to the successful working of the Authority. It should be characterised by mutual respect and trust. Members and officers must feel able to speak to one another openly and honestly. This protocol is intended to support rather than hinder this relationship, by setting out respective roles and expectations and by giving guidance on what to do on the rare occasions when things go wrong.

2. It is part of the MPA’s ethical and corporate governance framework. It sits alongside the Members’ Code of Conduct, the requirements placed on staff in the Staff Handbook, and the Anti Fraud and Corruption Policy. The Standards Committee, and the Monitoring Officer on its behalf, will monitor the operation of this protocol.

3. It addresses the relationship between members and staff directly employed by the MPA (in its Secretariat and Internal Audit). However, with the exception of some specific provisions, it also informs the relationship between MPA members and staff and MPS officers and police staff. The Commissioner supports the principles set out in this protocol.

4. Co-opted members and independent members of the Standards Committee are expected to abide by this protocol in the same way as full members of the Authority.

The roles of members and officers

MPA members and officers are engaged in a public service and, directly or indirectly, are accountable to Londoners for the way they do this. Their roles and responsibilities are interdependent but distinct. Members serve for a specified term of office. They determine the policy of the MPA and give leadership. MPA officers are employed by, and responsible to, the Authority. Their job is to give advice to members and the Authority, and to implement the Authority’s decisions and policies.

Officers do not make policy although they can propose it. In the main, members work at the strategic level and should not involve themselves in the day-to-day management of the Authority.

5. The MPA is composed of three types of members – GLA members, Magistrate members and Independent members. This membership mix helps to maintain the fundamental principle that police authorities do not exercise political control over the police force for which they are responsible. With particular reference to the GLA members on the Authority, it is recognised that they will be influenced by the policies of the political party they represent on the GLA. Officers will act in a politically neutral manner and will not seek to promote the policies of any political party over those of another.

6. The Authority has agreed ‘job profiles’ which set out the roles and responsibilities for its members both generally and when they occupy particular positions, such as a committee chair or lead member. These profiles are attached as Appendix 1. Where members have additional responsibilities, through their appointed position, this is recognised in the expectations they are entitled to have in their relationship with the officers.

7. In giving advice to members, and in preparing and presenting reports, an officer will express his or her own professional views and recommendations. If a member has a contrary view, he or she should not seek to pressure the officer to make a recommendation contrary to the officer’s professional view. This applies as much to committee chairs as to ordinary members, although it is recognised that often chairs have the opportunity to express their views on proposals at the developmental stage.

8. Certain officers, e.g. Head of Paid Service (the Clerk), Monitoring Officer (the Deputy Clerk) and Chief Finance Officer (the Treasurer) have responsibilities in law over and above their obligations to the Authority and individual members which they must be allowed to discharge.

Expectations

9. Members can expect from officers:

1. a commitment to the Authority as a whole
2. respect, dignity and courtesy
3. appropriate confidentiality, unless this would place the officer in breach of their responsibilities to the Authority as a whole
4. that they will work with all members equally and fairly
5. a working partnership with an understanding of, and support for, respective roles, workloads and pressures
6. a timely response to enquiries and complaints
7. professional advice, not influenced by political views or preference
8. reports that are comprehensive, well researched, accurate and objectively presented, so that members are in a position to make an informed decision
9. regular and up to date information on matters that can reasonably be considered appropriate and relevant to their needs, having regard to any individual responsibilities that they have and positions that they hold.
10. not to have personal issues raised with them by the officers outside the agreed procedures. Officers will not use their relationship with a member to advance their personal interests or to influence decisions improperly and will not contact members over the heads of managers about personal employment issues.
11. that they will respect the need for members to maintain a work / life balance

10. Officers can expect from members:

1. leadership and direction
2. a working partnership, characterised by respect, dignity and courtesy
3. an understanding of, and support for, respective roles, workloads and pressures
4. that they will at all times comply with the Authority’s Code of Members’ Conduct
5. that they will fulfil the role expected of members as set out in the job profiles (appendix 1)
6. an acceptance that officers are accountable to their manager and that they are politically neutral in their work
7. that where they have differences with another member, they will not seek to involve officers, other than the Clerk or Deputy Clerk with a view to constructive resolution of any such differences, or the Monitoring Officer formally in relation to an alleged breach of the code of conduct
8. that they will respect the need for officers to maintain a work / life balance

11. In line with the expectations that are placed upon the MPS, for both members and officers integrity is non-negotiable.

Limitations

12. The distinct roles of members and officers necessarily impose limitations upon behaviour. By way of illustration and not as an exclusive list:

1. close personal relationships between members and officers can confuse these separate roles, not least in creating the perception in others that a particular member or officer may secure advantageous treatment as a result
2. members need to take particular care when their paid employment brings them into contact with officers. This is especially the case in circumstances where officers might not be able to distinguish in what capacity the member is approaching them. This is equally relevant in other circumstances, for instance when the member is representing the interests of another organisation with which they are connected. The test for members is whether the subject matter is such that it would require them to declare a personal or prejudicial interest were it to be considered in committee
3. it can be misconduct for members of staff to seek to circumvent agreed staff disciplinary or consultative procedures by lobbying members on matters which directly concern them as employees

Contact between members and officers

13. There must be mutual respect and courtesy in all public and private meetings and contact between members and officers. Officers are constrained in any response that they make to public comment from members, and so the latter should not make personal attacks on officers in public or through the press.

14. Members do, however, have the right to criticise reports, actions or work of a section of the Authority or the Metropolitan Police Service where they believe such criticism is warranted. But such criticism should be objective and not personal, should be expressed in temperate and fair terms and should allow for the officer to offer an explanation or response.

15. Members may have contact with officers at all levels in the Authority. However, they should involve or keep the relevant senior officer informed on matters which are more than routine.

16. Officers should not seek to involve members inappropriately in any disagreement they may have with another officer.

Member access to documents and information

17. All members (even those not on a relevant committee) have a legal right to inspect any Authority document provided that they can show that it contains

• information reasonably necessary to enable them to perform their duty as a member (the ‘need to know’ principle)
• material relating to any business to be transacted at a committee meeting

18. Sometimes a member’s ‘need to know’ will be presumed. For example, a request to inspect documents relating to the functions of a committee on which the member sits is unlikely to be refused. At other times, for example when documents contain personal information about third parties, the member will need to satisfy the Clerk or Monitoring Officer about their ‘need to know’.

19. Members are given confidential and ‘exempt’ information both formally in committee reports and informally, for instance by way of briefings. As required by the Code of Conduct, members must not breach this confidentiality. Because co-opted members are not legally bound by the Code of Conduct they have no right to confidential reports being considered by the committee of which they are a member. Their access to these reports will be decided on a case-by-case basis. The Independent Member appointed by the Home Secretary will have access to confidential information about the MPS’s national and international functions which may not be available to other members.

20. There have been some occasions when GLA members on the Authority have asked whether their researcher can attend a confidential briefing in their place. As there is no contractual relationship between the MPA and these GLA staff, the MPA will consider such requests on a case-by-case basis but must reserve the right to refuse.

21. In providing briefings for members, either individually or as a group, officers must be clear that they cannot look for formal decisions or authority to act. Equally they must ensure that they do not compromise a member’s position. This might happen, for instance, through inappropriate briefings on disciplinary investigations which might prejudice a member’s ability to consider formal action in relation to that case impartially in the future.

22. All members are able to request information on a particular issue. This may be by way of a briefing from the relevant MPA or MPS officer. In doing so, however, members are asked to be reasonable in their requests. Where an unreasonable amount of effort would be required to produce the information, the officers may discuss the member’s requirements further with him or her.

23. Member requests for information should be directed to the Committee, Liaison & Members Services Unit, who will liaise with the appropriate MPA or MPS unit. The response target time is seven working days unless the request is urgent, in which case an earlier response time will be aimed for.

24. Section 1 (paras 1.6 and 1.7) of the Authority’s Standing Orders sets out members’ rights in terms of asking questions at Authority meetings and placing items on Authority or committee agendas.

25. By virtue of their role, committee Chairs may commission reports for their committee. In doing so they must be clear about the issues they want the report to address. Where the report is being commissioned from the MPS the Chair should do this through the MPA policy lead officer who will produce the brief. That policy lead officer must give the brief to the relevant MPA committee administrator to pass to the MPS. This does not preclude the Chair also talking direct to the report author to discuss requirements. The ability to commission reports in this way does not extend to other members.

26. Committee reports are written in the name of the Clerk, Treasurer or Commissioner, by that chief officer or their representative. The report is the officer’s and may not be amended unilaterally by the Chair or any other committee member. Neither can a member instruct an officer not to present a report to committee if the officer has sound professional or management reasons for doing so. It is recognised, however, that Chairs play an important role and can rightly influence the content of a report in its developmental stage, provided that the officer is able to agree to any changes without prejudicing their professional judgement.

27. From time to time members are asked to make speeches as a representative of the Authority, for instance at a conference. Wherever possible the Secretariat will provide information or a draft speech for the member. Requests should be made to the Director of Communications who will make arrangements with the relevant policy officer. Members are asked to bear in mind that officers will need adequate notice so that their other work is not disrupted.

Equalities issues

28. If a member has a disability this may make it harder for them to carry out their role and may place greater demands on them. MPA and MPS officers must recognise this and be prepared to give that member additional support to enable him or her to function at the same level as other members. For instance, at the time of writing this protocol one member is blind and has particular requirements as to how reports are presented (without tables, graphs etc) and may request an oral briefing from the report author. The MPA committee section will produce written advice for officers based on the specific member and disability concerned, having first discussed this with the member and having obtained his or her consent.

29. All officers and members are required to abide by the MPA’s equal opportunities statement. For instance, by:

• promoting equality of opportunity for all persons irrespective of their race, sex, disability, age, sexual orientation or religion;
• working towards eliminating unlawful discrimination; and
• promoting good relations between persons of different genders, racial groups, religious beliefs and sexual orientation.

When things go wrong

Procedure for officers

30. From time to time the relationship between members and officers may break down or become strained. Whilst it will always be preferable to resolve matters informally, officers may refer a problem to the Clerk or the Monitoring Officer. If the issue relates to an alleged breach of the Authority’s Code of Members’ Conduct then it should be raised with the Standards Board for England.

Procedure for members

31. If a member is dissatisfied with the conduct, behaviour or performance of an officer, the matter should be raised with the Clerk. Where the officer concerned is the Clerk, the matter should be raised with the Monitoring Officer. If the matter cannot be resolved informally, it may be necessary to invoke the Authority’s disciplinary procedure.

Mediation

32. Depending on the seriousness of the issue, mediation should be considered as an option.

March 2004

Appendix 1

Members’ “Job Profiles”

On 30 January 2003, the Authority agreed the following “job profiles” as a description of the role of its members and the consequential responsibilities that they are expected to fulfil.

Metropolitan Police Authority Member

Role

• To ensure that there is an effective and efficient police force for the metropolitan police district
• To ensure that local communities receive best value in local policing services
• To set the strategic direction for the force and exercise effective oversight of force performance
• To represent the interests of all those who live in, work in, or visit the police authority area and to ensure that the views of local people are reflected in the nature and style of local policing
• To ensure that policing services are provided fairly and in a way which does not discriminate against any group or individual
• To participate constructively in the good governance of both the authority and the force

Responsibilities

1. To carry out collectively all statutory and locally determined requirements of a police authority member, including participation in the formulation of policy, decision making and other activities of the full authority (such as determining the budget and precept, determining local policing priorities, agreeing the annual policing/best value plan and other strategies).
2. To participate effectively as a member of any committee, panel, task group or other authority forum to which the member is appointed
3. To participate in best value reviews, as nominated by the authority
4. To comply with all relevant codes of conduct and maintain the highest standards of conduct and ethics
5. To maintain an up to date knowledge and awareness of national and local policing issues
6. To maintain a good working knowledge of force policies and practices and to establish good working relationships with officers of both the authority and the force
7. To scrutinise, challenge and monitor all aspects of force performance
8. To participate fully in local consultative arrangements and actively engage in communication and dialogue with local people about local policing services. In particular this responsibility will be discharged through the member’s link member role
9. To represent the views of the police authority within local communities and the views of local communities to the authority
10. To participate actively in any outside body or forum on which the member is appointed to represent the authority
11. To be involved in the appointment, discipline or dismissal of senior officers, as appropriate
12. To monitor the way in which complaints are dealt with by the force and deal with complaints against chief officers, as appropriate
13. To promote equality of opportunity and work to eliminate unlawful discrimination both internally within the authority and force and in the provision of policing services
14. To attend local, regional and national conferences/seminars/briefings, if nominated by the authority
15. To participate in inspections and audits of the force and authority, as appropriate

The remuneration for MPA members – the basic allowance – is based on the estimate that a member has to make a time commitment of 1 to 2 days per week to fulfil his/her responsibilities.

Chairs of major committees or panels

Role

To fulfil the basic responsibilities of an authority member and to chair a major committee, panel or similar of the authority or act as a lead member for a particular portfolio which attracts a special responsibility allowance (currently audit and estates issues)

Additional responsibilities

1. To lead the work of a major committee of the authority
2. To act as the authority's lead member and spokesperson on the areas within the committee's remit
3. To develop and maintain up to date knowledge and specialist expertise in the area for which responsible
4. To liase closely with authority and force staff in developing and managing the work of the committee
5. To contribute to national policy development, national events or APA networks or initiatives on the areas for which responsible

The Special Responsibility Allowance for Chairs and portfolio holders is based on the estimate that a member has to make a time commitment of 1.5 to 2.5 days per week to fulfil his/her responsibilities.

Lead Member roles

The MPA Co-ordination & Policing Committee on 6 September 2002 agreed the following basis for the appointment of lead members:

1. To act as champion for that particular subject area, recognising that on occasions the lead member should have the freedom to act in a scrutiny or questioning capacity.
2. To be the initial point of contact for the MPS or others wishing to discuss issues informally with an MPA member or to sound out views.
3. Under some circumstances, and particularly in the event of non-availability of the Chair, to act as a spokesperson.
4. To contribute to policy development locally and nationally as appropriate, by representing the MPA on other bodies etc.
5. Committee Chairs are by definition the lead member for those areas in their committee’s terms of reference, unless another member has been allocated a specific responsibility – in such cases it is preferable for that member to be drawn from the committee’s membership.
6. Lead members do not have the authority to commit the MPA to a course of action or to make decisions on its behalf.
7. In carrying out their role or speaking publicly, the lead member must promote and represent views or policies agreed by the MPA or its committees even if these are not their own views.
8. Lead members have a responsibility to keep the relevant committee informed of their work by way of regular written updates, and to keep themselves informed of the key developments and issues in their lead area
9. A lead member can request briefings/information on their subject area from MPA and MPS officers (within reason in terms of the time it might take to produce a briefing).
10. The lead member role will be reviewed annually at the time of the Authority’s annual meeting. The lead member will be asked to produce a written report of their activities during the year and an assessment of whether there is a continuing need for the role.

The lead member role does not attract a special responsibility allowance unless specifically agreed by the MPA and the general assumption is that SRAs will not apply, given that basic allowances were set at a comparatively high level to recognise such demands on MPA members.

Deputy Chairs of the Authority

Role

To fulfil the basic responsibilities of a police authority member and to hold the office of deputy chair of the authority

Additional responsibilities

1. To deputise for the Chair when necessary
2. To liaise closely with the Chair and assist him/her in overseeing conduct of the authority's business as described in the Chair's job profile
3. To represent the authority on the APA, if nominated to do so

Chair of the Authority

Role

To fulfil the basic responsibilities of a police authority member and hold the office of chair of the authority

Additional responsibilities

1. To provide leadership, ensuring that the authority works as a coherent and corporate body
2. To preside at authority meetings, applying standing orders and ensure that members have a fair opportunity to participate in debates
3. To represent the authority to the press and outside organisations
4. To oversee co ordination of police authority business at member level and develop, review and monitor implementation of the policies and strategies of the police authority
5. To liaise with the Clerk, Treasurer and Commissioner to facilitate authority business
6. To hold regular strategic meetings with the Commissioner and to maintain the tripartite arrangement with the Home Secretary and the Commissioner
7. To liaise with the Mayor of London on policing issues
8. To attend GLA Functional Bodies Question Time to answer questions on policing issues
9. To satisfy himself/herself that arrangements are in place for effective management of the police authority
10. To be involved in the performance appraisal and objective setting for the Clerk and Treasurer of the Authority
11. To represent the authority on the Association of Police Authorities
12. To attend regional networks and national tripartite gatherings, as required

Where the Chair is an independent or magistrate member the position will attract a special responsibility allowance which is based on the assumption that a time commitment of 2.5 to 3.5 days a week is required.

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