1. Foreword
1.1 North York Moors National Park Authority believes in a strong ethical organisational culture. It aims to promote the highest levels of conduct by its Members, staff and volunteers, to increase public trust in the delivery of its purposes.
1.2 While standards of behaviour within the Authority are generally excellent, there is no room for complacency. We fully subscribe to the principles underpinning the ethical framework and expect all Members, staff and volunteers to do the same. The statement of the Authority’s Values and the work that is done on a daily basis to live up to them is a key part of our ethical approach. We are both committed to working together to lead by example and to upholding the ethical well-being and effective governance of the Authority.’
Jim Bailey, Chair of the Authority
Andy Wilson, Chief Executive
March 2016
2. Background
2.1 The Authority first developed an Ethical Framework in 2008. Since then both the Authority and the wider world have changed significantly, particularly the expectations from the public of those working for public sector bodies. This updated ethical framework seeks to reflect these heightened expectations.
2.2 The Ethical Framework is concerned with the overall culture and behaviour in the Authority. While there are a set of rules and procedures within which the Authority operates, more importantly in this context are our Values. These describe the attitudes and behaviour that the Authority seeks to promote. And it is these less tangible traits of an organisation that ultimately determine how ethical it is.
2.3 The Ethical Framework is mindful of the statutory provisions contained within the Localism Act 2011. It sets out the standards of behaviour that the Authority expects of its Members, staff and volunteers in all areas of their conduct and also clarifies roles and responsibilities for the interaction between these groups.
2.4 It relates to the achievement of Park purposes and the Park Management Plan and to the well-being of all who interact with the Authority. It aims to focus on the public interest and morality rather than a temporary set of rules.
3. The Ethical Framework
3.1 While the Ethical Framework contains a number of important constituent parts (as outlined in the Appendices) to give the Authority a context in which to operate, it is essentially about culture and behaviour as embodied in our Values.
3.2 Within the rapidly changing environment in which the Authority is working, there is a commitment to developing its Ethical Framework in the future to ensure that it is entirely “fit for purpose” and reflects all relevant best practice guidance.
3.3 Responsibility for the development, implementation, monitoring and promotion of the Ethical Framework rests with the Authority’s Finance, Risk, Audit and Standards Committee. Ultimately, however, the success of the Framework depends on input from a wide range of individuals and bodies, and is the responsibility of the Authority corporately.
3.4 A variety of mechanisms are in place to foster a positive corporate culture. These include rewards and incentives, both formal and informal, such as the staff appraisal scheme with its emphasis on team performance, and events such as regular staff meetings. The Chief Executive outlines key cultural attributes to all new staff and Members as they join the organisation. Evening Seminars help to promote team working among Members.
3.5 The work done as part of the recent leadership development programme, which all staff had the opportunity to take part in emphasised the need to continue to ensure that our Values remain at the forefront, particularly as resources become tighter. The programme also focussed on culture, trusting individuals to make decisions, the effectiveness of teamwork and the power of open and honest feedback, all of which are key components to the way in which we are expected to behave.
3.6 The ‘One Team’ approach envisaged in the new Volunteer Strategy and the way in which the contribution of volunteers is encouraged and embraced is a key component in demonstrating that ethical working has considerable substance.
3.7 Volunteers have been engaged in the development of this ethical framework and previously in determining the Values. Volunteers are keen to ensure that the same standards of behaviour apply to them as to paid staff. The behavioural aspects of this approach apply equally strongly to volunteers as well as Members and paid staff.
4. Statement of Values
4.1 Underpinning all work the Authority does are the Values which determine the culture of the organisation and describe the way in which those coming into contact with the Authority can expect to be treated. The Values were developed with significant input from Members, volunteers and staff. The Values are aspirational and describe the attitudes, beliefs and behaviours of those working on behalf of the Authority.
4.2 We aspire to:
1. Champion the qualities that make the North York Moors a unique and special place.
2. Promote opportunities for everyone to get involved.
3. Treat everyone with respect.
4. Have a personal approach to delivering services.
5. Always try to improve what we do.
6. Use money and other resources carefully.
7. Help our communities flourish.
8. Respect the best of tradition whilst recognising the need for innovation.
9. Contribute positively to sustaining the global environment.
10. Do what we promise.
4.3 These Values imply that the Authority will use an ethical approach to its work, but in order for them to be credible, the Authority needs to be able to demonstrate that the way in which it works and the framework within which decisions are taken are ethical. Examples of the sort of things that we do on a daily basis include; * We place extra emphasis on delivering our service with people, not complex automated systems. This applies to phone calls, site visits, continuing to be available to the public in person for the full working week and so on.
- We maximise what we can spend in the National Park, on its landscape and communities and visitors. This is done, partly, by minimising internal bureaucracy and processes;
- Our volunteers contribute a huge quantity of working days (the equivalent of 45 full time staff) and include people from a very wide range of backgrounds.
- There is nearly 50 years difference in age between our youngest and oldest members of staff and 1 in 8 of our staff are young apprentices/trainees from the local area;
- We involve local people in our work through the Parish Forum network, Awareness, Recreation and Business Forum, Conservation and Land Management Forum, Volunteer Service, Apprentice training schemes and so on.
- We regularly find out from our customers what they think of our services and use this insight to deliver the services that people want and appreciate;
- We help the global environment in a small way with our conservation work within the National Park and by having high standard for recycling, insulation and reducing mileage.
5. Responsibility and Development
5.1 As outlined above, responsibility for the development, implementation, monitoring and promotion of the Ethical Framework rests with the Authority’s Finance, Risk Audit and Standards Committee. The Ethical Framework is formally reviewed every 2 years.
5.2 On a day to day basis it is the responsibility of individual Members, staff and volunteers to adhere to the standards of conduct and behaviour outlined within the Ethical Framework. Directors and line managers have a particular role to play in ensuring that those whom they manage are clear about their roles and what is required of them. All managers should also promote the highest standards of conduct amongst their staff and lead by example at all times, and there is an especial need for those in the highest positions to demonstrate their commitment to this Framework by practical action.
Appendices to the Ethical Framework
1. The General Principles of Conduct (Nolan Principles)
2. Internal Control Mechanisms
1. The General Principles of Conduct (Nolan Principles)
The Nolan Principles for public service are at the heart of the Code of Conduct for Members. They are regarded as integral to the Authority operating and being seen to operate in an ethical manner.
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 when 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 Judgment
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.
2. Internal Control Mechanisms
There are a wide variety of ‘policies’ and rules that underpin the day to day working of the Authority and provide a strong framework to support the ethical approach. The key areas are briefly outlined below, but further detail is easily available elsewhere.
Corporate Governance
The Authority is responsible for ensuring that its business is conducted in accordance with the law and proper standards, and that money is safeguarded and properly accounted for, and used economically and effectively. Corporate Governance is the sum of the systems by which the Authority directs and controls its functions in delivering its business. The internal control processes which are the cornerstone of the corporate governance system are reviewed annually by the Chief Executive and Treasurer. Their assessment, together with recommendations for improvement, is presented to Members annually for their approval.
The Scheme of Delegation
The Scheme of Delegation sets out the way in which the Authority operates, including details regarding the way in which decisions are made and the rules and procedures to be followed to ensure that all decisions are taken in an appropriate, open and transparent manner. The Scheme permits swift and effective policy and decision making by Members and managerial and operational decision making by staff within a framework of accountability to the public and key stakeholders.
Financial Regulations
These Regulations form an integral part of the procedural and control framework within which Members and officers can ensure the best standards of financial management. Named staff and budget holders are responsible for ensuring that the regulations are followed in carrying out their duties.
Standing Orders
The Standing Orders contained in the Members Handbook provide a set of ‘rules’ which regulate the way in which meetings of the Authority’s various committees are run. This ensures that the business of the Authority is conducted in a consistent, fair and open manner in order that the decisions made can be seen to have been taken in an appropriate manner.
The Code of Conduct for Members
The Code adopted by the Authority sets out the standards of conduct that Members are required to adhere to whenever they are conducting the business of the Authority, whenever they are carrying out business of the position to which they have been elected or appointed and when they are acting as a representative of the Authority. At the heart of the Code are the Nolan Principles for public service (these are attached at the end of this document).
The Authority has adopted a code which, in the interests of maintaining high standards, goes beyond the minimum statutory requirements. It was updated in 2012 to take account of the changes made by the Localism Act with further minor changes made in 2014 to clarify interests which Members should disclose. Alleged breaches of the Code of Conduct are considered initially by the Authority’s Finance, Risk Audit and Standards Committee as advised by the Monitoring Officer and an Independent Person.
The Code outlines the general principles of conduct required of Members plus detailed guidance on their general obligations, what constitutes a personal interest, and the requirements for disclosure of personal interests and also an outline of what would be considered to be prejudicial interest.
Register of Interests
The Authority’s Code of Conduct requires all Members to register their financial and other interests in the Authority’s Register of Interests. A copy of the full register is available in the Authority’s offices at The Old Vicarage, Bondgate, Helmsley.
Other Supporting Codes and Protocols for Members
The Authority has produced further Codes and Protocols to augment the Code of Conduct and these are contained within the Members’ Handbook. The further Codes in force are as follows:-
- Protocol on Gifts and Hospitality
- The Principles of Good Decision Making
- Codes of Practice for Site Visits by the Members and pre-application presentations to Members by developers.
New Members receive training in all these areas as soon as they are appointed.
Code of Conduct for Authority Staff
The Authority’s long established Code of Conduct for Staff was substantially reviewed and approved by Members in 2015.
The Code is supported by detailed Guidance Notes and links with other Authority policies. In addition to matters specifically mentioned elsewhere within this Ethical Framework document, the Code reminds staff of their responsibilities in terms of;
- Political neutrality;
- Relations with Members, volunteers, the public and other employees;
- Personal interests and rules on the declaration of gifts and hospitality;
- Undertaking paid work outside the Authority;
- Treatment of confidential and sensitive information in accordance with the Data Protection and Freedom of Information Acts and Environmental Information Regulation;
- Contact with the press and media;
- Compliance with the Authority’s environmental policies;
- Responsibility to act and be seen to act with integrity, honesty, impartiality and objectivity;
- Working positively with volunteers;
- Use of social media,;
- Health and safety responsibilities;
- Responsible use of Authority property, for example, which uses of the Authority’s IT equipment are acceptable/unacceptable.
The Code of Conduct is issued to all new starters on their first day of employment, reissued to all staff periodically and is available on the Intranet.
National Park Customer Service Standards
The Customer Service Standards summarise the way in which the public can expect to be treated when they contact the Authority either in person, via the telephone, by letter or email. Some of these standards have been in place for a while but others, particularly in relation to electronic communication, have been recently developed. They are contained within the Clear Communication guide and displayed in public areas of our buildings. All new starters receive a copy and they are also available on the Intranet.
Volunteers and Voluntary Rangers
The Authority has a very large number of volunteers (equivalent of 45 full time staff) who work alongside paid staff in providing services direct to the public in areas as diverse as our Gallery at the Moors Centre, public rights of way maintenance, leading events and providing information at our visitors centres and so on.
An induction process for volunteers currently includes the framework of values within which the Authority operates.
The Authority has a significant number of Voluntary Rangers who, although unpaid, regularly come into contact with the public. They undergo training programme including the basic principle of dealing with the public and the framework of values within which the Authority operates.
Following the review of the staff code of conduct, it is proposed that a tailor-made volunteers code of conduct be developed (by June 2015)
Environmental Policies
The Authority has a wide range of administrative systems and detailed policies which are designed to help put into effect the Value ‘Contribute positively to sustaining the global environment’. These relate to waste, purchasing, transport, heating etc. Summaries of the Authority’s achievements in this field are published regularly. Compliance with the Authority’s environmental policies is a formal element of the staff appraisal system.
Equalities and Diversity
The Authority has a Comprehensive Equalities Policy outlining its overall approach to equality. This relates both to the delivery of services to the public and in employment, both paid and unpaid. An assessment of equality impact has been an important feature of corporate policy development, particularly relevant when resources are declining to ensure that no sector of the population is disproportionately affected by service changes.
Whistle-Blowing Policy
A Whistle-Blowing Policy was introduced by the Authority under the Public Interest Disclosure Act 1998, and recently updated, to enable employees to raise any concerns about malpractice – to the right person – at an early stage and in the right way without fear of retribution. To enhance the confidentiality and impartiality of the system, the Whistle-Blowing Officer is the head of the legal team at Scarborough Borough Council.
Anti-Fraud and Corruption
The Anti-Fraud and Corruption Policy has been developed specifically to ensure that the Authority’s corporate governance continues to improve and that the Authority meets the highest standards of probity and accountability in discharging its duties. It outlines the principles of conduct that are expected of Members and staff and provides a framework for reporting and investigating suspected financial misconduct