An overview of the new ethical framework

Report: 4
Date: 01 March 2002
By: Clerk

Summary

This report provides an introduction to the new ethical framework and the role of the Standards Board for England and the Authority's Standards Committee.

A. Recommendations

1. That the report be noted;
2. That Members consider how they wish to take forward the work of the Committee

B. Supporting information

General principles

1. The Local Government Act 2000 introduced a new ethical framework for local government to articulate the standards of conduct which members of public authorities should be expected to meet in carrying out their public duties. The basis for this was a set of general principles that should underpin the conduct of these members. These are attached as appendix 1.

Code of Conduct

2. After a lengthy process of consultation, the Government issued a Model Code of Conduct, which came into force on 27 November 2001. This brought together for the first time and in one place clear rules of conduct with which members of authorities will be expected to comply. The model code replaces the previous National Code of Local Government Conduct and in doing so clarifies and simplifies some of the uncertainties of the old code, particularly around the situations in which members' should declare a personal/financial interest in issues being considered by their authority.

3. Every public authority has to adopt its own Code of Conduct by 5 May 2002, and this Code must contain all the provisions contained in the government's model code. Because the first task of the MPA's Standards Committee will be to recommend a Code of Conduct to the Authority itself for adoption, this is addressed in a separate report on the agenda for this meeting.

Upholding standards of members' conduct

4. The general principles and the code of conduct establish what is required of members in carrying out their public duties. The structure introduced by the government to ensure that standards are promoted and maintained consists of, at the national level, the Standards Board for England and, at the local level, Standards Committees appointed by each public authority.

The Standards Board for England

5. The Standards Board for England came into being in March 2001, although it is only in the early part of this year that it has started to promote its work. Though set up by Parliament, it is independent of central government and its job is to work with local government and other public authorities to promote and maintain high standards of conduct by councillors, members and co-opted members. It is responsible for providing guidance to those serving on local public bodies and for investigating allegations of misconduct under the members' code of conduct and to take action when appropriate. Whilst it will seek to promote good practice, it cannot provide advice on specific cases as this would compromise its ability to investigate should a complaint be made about that case.

6. In particular, the Board: 

• can issue guidance on matters relating to the conduct of members and co-opted members
• can issues guidance on the qualifications or experience that monitoring officers in such authorities should have (the MPA's Clerk is the monitoring officer); and
• must consider written allegations that a member or co-opted member has failed to comply with the authority's own code of conduct. 

The Board does not have any responsibility for the conduct of staff in these authorities.

7. The Standards Board is run by a board of nine members appointed by the Secretary of State. They are responsible for setting the work programme, issuing guidance and deciding upon the validity of complaints before authorising an investigation by an Ethical Standards Officer.

8. The Standards Board will consider any written complaints that allege that a member has broken the code. If there is sufficient evidence of this, an Ethical Standards Officer will carry out a detailed investigation. If this officer considers the matter serious enough he or she may refer the case to an independent panel who will make a final judgement with a range of possible penalties up to suspension or disqualification of the councillor or member for up to five years. Where there is a minor breach, the case will probably be referred to the local authority's Monitoring Officer for action.

Local Standards Committees

9. All public authorities are required to establish their own Standards Committees. These committees must include a number of independent representatives who are not connected in any way with that authority. The main roles for these committees are to advise the authority on its own local code of conduct and to help members of the authority to abide by the code through advice and training. In conjunction with the authority's monitoring officer, these committees will also act as a link with the Standards Board, for instance when matters or cases are referred from the Board.

10. Investigations into alleged misconduct or breaches of the code will be carried out by the Standards Board for England and local Standards Committees will not, therefore, have an investigative role. Where the Standards Board find that a breach has occurred, their recommendation on what action should be taken will be sent to the authority's monitoring officer (the MPA's Clerk). Although not yet clear, it is likely that authorities will have little if any scope for changing this 'recommendation' without very good reason. In such cases, the Clerk will report to the Standards Committee on the recommended action and so that the committee can consider if there are any general lessons to be learned from a particular case.

10. The terms of reference for the MPA's Standards Committee are as follows. These include the functions required in the Local Government Act 2000. 

1. the promotion and maintenance of high standards of conduct by members of the Authority; 
2. to advise the Authority on the adoption or revision of its code of conduct;
3. to monitor the operation of the authority's code of conduct;
4. to assist members in observing the code of conduct, including arrangements for training on matters relating to the code of conduct;
5. to advise the Authority on liaison arrangements with the Standards Board for England; and
6. in accordance with any statutory requirements, to monitor and advise the Authority on compliance with the requirements for registration of interests and registers of gifts and hospitality

Conclusions and the future working of the Standards Committee

11. Members of the Committee are invited to discuss how they wish to take forward their role and responsibilities. The immediate task is to recommend a code of conduct to the Authority for approval – this is the subject of a separate report. It can be seen from the above that the general role envisaged for Standards Committees is essentially: 

• proactive: for instance, in recommending and monitoring the operation of the authority's code of conduct; and in helping members to observe the code through adequate training etc 
• reactive: in acting as the MPA's link with the Standards Board and considering any issues that arise from individual cases

12. Having said this, the new ethical framework will no doubt develop and change in the light of experience. For instance, the Standards Board may, once it has a clearer picture of the demands of its role, start referring more minor possible breaches to the authority's monitoring officer and the Standards Committee's role may therefore develop in this respect.

C. Financial implications

None.

D. Background papers

Local Government Act 2000

The Police Authorities (Model Code of Conduct) Order 2001

E. Contact details

Report author: Simon Vile, Secretariat, MPA.

For information contact:

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

Appendix 1

The general principles

Selflessness

1. Members should serve only the public interest and should never improperly confer an advantage or disadvantage on any person.

Honesty and integrity

2. Members should not place themselves in situations where their honesty and integrity may be questioned, should not behave improperly and should on all occasions avoid the appearance of such behaviour.

Objectivity

3. Members should make decisions on merit, including making appointments, awarding contracts, or recommending individuals for rewards or benefits.

Accountability

4. Members should be accountable to the public for their actions and the manner in which they carry out their responsibilities, and should co-operate fully and honestly with any scrutiny appropriate to their particular office.

Openness

5. Members should be as open as possible about their actions and those of their authority, and should be prepared to give reasons for those actions.

Personal judgement

6. Members may take account of the views of others, including their political groups, but should reach their own conclusions on the issues before them and act in accordance with those conclusions.

Respect for others

7. Members should promote equality by not discriminating unlawfully against any person, and by treating people with respect, regardless of their race, age, religion, gender, sexual orientation or disability. They should respect the impartiality and integrity of the authority's statutory officers and its other employees.

Duty to uphold the law

8. Members should uphold the law and, on all occasions, act in accordance with the trust that the public is entitled to place in them.

Stewardship

9. Members should do whatever they are able to do to ensure that their authorities use their resources prudently and in accordance with the law.

Leadership

10. Members should promote and support these principles by leadership and by example, and should always act in a way that secures or preserves public confidence.

Send an e-mail linking to this page

Feedback