CHAPTER 5:
Members' Conduct
5.01 Members' conduct in the course of their
parliamentary duties is governed by a Code of Conduct, agreed
on 30 November 2009, and an accompanying Guide to the Code of
Conduct, agreed on 16 March 2010, and amended on 9 November 2011.
The full text of the Code, which came into effect at the start
of the 2010 Parliament, is as follows:
CODE
OF CONDUCT
FOR MEMBERS
OF THE
HOUSE OF
LORDS
Introduction
1. The House of Lords is the second Chamber of
the United Kingdom Parliament. As a constituent part of Parliament,
the House of Lords makes laws, holds government to account, and
debates issues of public interest.
2. Membership of the House is not an office,
and does not constitute employment; most Members' primary employment
is or has been outside Parliament. In discharging their parliamentary
duties Members of the House of Lords draw substantially on experience
and expertise gained outside Parliament.
3. The purpose of this Code of Conduct is
(a) to provide guidance for Members of the House
of Lords on the standards of conduct expected of them in the discharge
of their parliamentary duties; the Code does not extend to Members'
performance of duties unrelated to parliamentary proceedings,
or to their private lives;
(b) to provide the openness and accountability
necessary to reinforce public confidence in the way in which Members
of the House of Lords perform their parliamentary duties.
4. This Code applies to all Members of the House
of Lords who are not either
(a) on leave of absence;
(b) suspended from the service of the House;
or
(c) statutorily disqualified from active membership.
5. Members are to sign an undertaking to abide
by the Code as part of the ceremony of taking the oath upon introduction
and at the start of each Parliament.
General principles
6. By virtue of their oath, or affirmation, of
allegiance, Members of the House have a duty to be faithful and
bear true allegiance to Her Majesty The Queen, Her heirs and successors,
according to law.
7. In the conduct of their parliamentary duties,
Members of the House shall base their actions on consideration
of the public interest, and shall resolve any conflict between
their personal interest and the public interest at once, and in
favour of the public interest.
8. Members of the House:
(a) must comply with the Code of Conduct;
(b) should act always on their personal honour;
(c) must never accept or agree to accept any
financial inducement as an incentive or reward for exercising
parliamentary influence;
(d) must not seek to profit from membership of
the House by accepting or agreeing to accept payment or other
incentive or reward in return for providing parliamentary advice
or services.
9. Members of the House should observe the seven
general principles of conduct identified by the Committee on Standards
in Public Life. These principles will be taken into consideration
when any allegation of breaches of the provisions in other sections
of the Code is under investigation:
(a) Selflessness: Holders of public office should
take decisions solely in terms of the public interest. They should
not do so in order to gain financial or other material benefits
for themselves, their family, or their friends.
(b) Integrity: Holders of public office should
not place themselves under any financial or other obligation to
outside individuals or organisations that might influence them
in the performance of their official duties.
(c) Objectivity: In carrying out public business,
including making public appointments, awarding contracts, or recommending
individuals for rewards and benefits, holders of public office
should make choices on merit.
(d) Accountability: Holders of public office
are accountable for their decisions and actions to the public
and must submit themselves to whatever scrutiny is appropriate
to their office.
(e) Openness: Holders of public office should
be as open as possible about all the decisions and actions that
they take. They should give reasons for their decisions and restrict
information only when the wider public interest clearly demands.
(f) Honesty: Holders of public office have a
duty to declare any private interests relating to their public
duties and to take steps to resolve any conflicts arising in a
way that protects the public interest.
(g) Leadership: Holders of public office should
promote and support these principles by leadership and example.
Rules of Conduct
10. In order to assist in openness and accountability
Members shall:
(a) register in the Register of Lords' Interests
all relevant interests, in order to make clear what are the interests
that might reasonably be thought to influence their parliamentary
actions;
(b) declare when speaking in the House, or communicating
with ministers or public servants, any interest which is a relevant
interest in the context of the debate or the matter under discussion;
(c) act in accordance with any rules agreed by
the House in respect of financial support for Members or the facilities
of the House.
11. The test of relevant interest is whether
the interest might be thought by a reasonable member of the public
to influence the way in which a Member of the House of Lords discharges
his or her parliamentary duties: in the case of registration,
the Member's parliamentary duties in general; in the case of declaration,
his or her duties in respect of the particular matter under discussion.
12. The test of relevant interest is therefore
not whether a Member's actions in Parliament will be influenced
by the interest, but whether a reasonable member of the public
might think that this might be the case. Relevant interests include
both financial and non-financial interests.
13. Members are responsible for ensuring that
their registered interests are accurate and up-to-date. They should
register any change in their relevant interests within one month
of the change.
14. A Member must not act as a paid advocate
in any proceeding of the House; that is to say, he or she must
not seek by parliamentary means to confer exclusive benefit on
an outside body or person from which he or she receives payment
or reward.
15. Members are not otherwise debarred from participating
in proceedings in regard to which they possess relevant interests,
financial or non-financial; but such interests should be declared
fully. Members of the House should be especially cautious in deciding
whether to speak or vote in relation to interests that are direct,
pecuniary and shared by few others.
Enforcement of the Code of Conduct
16. A House of Lords Commissioner for Standards
is appointed to investigate alleged breaches of this Code, or
of the rules governing Members' financial support or use of parliamentary
facilities. Any such investigation is conducted in accordance
with procedures set out in the Guide to the Code of Conduct.
17. After investigation the Commissioner reports
his findings to the Sub-Committee on Lords' Conduct; the Sub-Committee
reviews the Commissioner's findings and, where appropriate, recommends
a disciplinary sanction to the Committee for Privileges and Conduct.
The Member concerned has a right of appeal to the Committee for
Privileges and Conduct against both the Commissioner's findings
and any recommended sanction.
18. The Committee for Privileges and Conduct,
having heard any appeal, reports its conclusions and recommendations
to the House. The final decision rests with the House.
19. In investigating and adjudicating allegations
of non-compliance with this Code, the Commissioner, the Sub-Committee
on Lords' Conduct and the Committee for Privileges and Conduct
shall act in accordance with the principles of natural justice
and fairness.
20. Members shall co-operate, at all stages,
with any investigation into their conduct by or under the authority
of the House.
21. No Member shall lobby a member of the Committee
for Privileges and Conduct or the Sub-Committee on Lords' Conduct
in a manner calculated or intended to influence their consideration
of a complaint of a breach of this Code.
Advice and review
22. The operation of the Register is overseen
by the Sub-Committee on Lords' Conduct, assisted by the Registrar
of Lords' Interests. The Registrar is available to advise Members
of the House, and may consult the Sub-Committee when necessary.
23. A Member who acts on the advice of the Registrar
in determining what is a relevant interest satisfies fully the
requirements of the Code of Conduct in that regard. However, the
final responsibility for deciding whether or not to participate
in proceedings to which that interest is relevant rests with the
Member concerned.
24. The Sub-Committee on Lords' Conduct reviews
the Code of Conduct once each Parliament. Its findings, along
with any recommended changes to the Code, are reported to the
House.
25. The Sub-Committee also keeps the Guide to
the Code of Conduct under regular review; recommended changes
are reported to the House and will not take effect until agreed
by the House.[179]
5.02 In accordance with paragraph 5 of the Code
of Conduct, members are to sign an undertaking to abide by the
Code as part of the ceremony of taking the oath upon introduction
and at the start of each Parliament. Any member who has taken
the oath but attends the House without having signed the undertaking
is deemed to have breached the Code; it is for the Sub-Committee
on Lords' Conduct to consider an appropriate sanction.
THE
GUIDE TO
THE CODE
OF CONDUCT
5.03 The operation of the Code of Conduct is
kept under review by the Sub-Committee on Lords' Conduct, a sub-committee
of the Committee for Privileges and Conduct. As well as reviewing
the Code itself once each Parliament, the Sub-Committee keeps
the "Guide to the Code of Conduct" under regular review.[180]
This Guide has been agreed by resolution of the House, and is
binding upon members. Any change to the Guide must be reported
to the House and no change can take effect until agreed by the
House. Copies of the up-to-date text of the Guide are available
online, from the Printed Paper Office or from the Registrar of
Lords' Interests. The Registrar is also available to advise members
on the rules governing members' conduct.
5.04 What follows is a summary of key points
within the Guide to the Code of Conduct which relate to members'
conduct in the House and its committees. However, the Guide itself
is the authoritative source of guidance on members' conduct.
GENERAL
PRINCIPLES AND
RULES OF
CONDUCT
5.05 Members are required both "to comply
with the Code of Conduct" (paragraph 8(a)), and to act always
"on their personal honour" (paragraph 8(b)). These paragraphs
of the Code, taken together, mean that members are required not
only to obey the letter of the rules, but to act in accordance
with the spirit of those rules and the sense of the House. Members
are under a general obligation to bear in mind the underlying
purpose of the Code, which is to provide "openness and accountability".[181]
5.06 Members are required under paragraph 7 of
the Code to base their actions on consideration of the public
interest. Acceptance of financial inducement as an incentive or
reward for exercising parliamentary influence would necessarily
contravene this principle. Paragraph 8(c) of the Code therefore
states that members "must never accept or agree to accept
any financial inducement as an incentive or reward for exercising
parliamentary influence".
5.07 Paragraph 8(d) of the Code describes the
specific application of the principles described in paragraphs
7 and 8(c): members "must not seek to profit from membership
of the House by accepting or agreeing to accept payment or other
incentive or reward in return for providing parliamentary advice
or services".
5.08 The prohibition on accepting payment in
return for parliamentary advice means that members may
not act as paid parliamentary consultants, advising outside organisations
or persons on process, for example how they may lobby or otherwise
influence the work of Parliament.
5.09 The prohibition on accepting payment in
return for parliamentary services means that members may
not, in return for payment or other incentive or reward, assist
outside organisations or persons in influencing Parliament. This
includes acting as a "paid advocate" (see below), or
making use of their position to arrange meetings with a view to
any person lobbying members of either House, ministers or officials.
5.10 Paragraph 14 of the Code states that a member
"must not act as a paid advocate in any proceeding of the
House; that is to say, he or she must not seek by parliamentary
means to confer exclusive benefit on an outside body or person
from which he or she receives payment or reward."
5.11 This "exclusive benefit" principle
would mean, for instance, that a member who was paid by a pharmaceutical
company would be barred from seeking to confer benefit exclusively
upon that company by parliamentary means. The way in which the
benefit is conferred should be interpreted broadly: all proceedings
of the House are included. The nature of the "exclusive benefit",
on the other hand, should be interpreted narrowly. The same member
would not be debarred from tabling an amendment, speaking or voting
on matters relevant to, for instance, the pharmaceutical sector
as a whole; National Health Service spending on drugs; or government
policy on drug licensing and patents.
5.12 A member who seeks to confer benefit on
an organisation in which he or she has a financial interest, but
who considers that this does not constitute an "exclusive
benefit", should make it clear in debate how he or she is
acting not only in the interest of the organisation, but also
the wider sector or community of which that organisation forms
a part.
5.13 Paragraphs 8(c) and 8(d) of the Code (which
prohibit payment for exercising parliamentary influence and payment
for providing parliamentary advice and services) and paragraph
14 of the Code (which prohibits paid advocacy for exclusive benefit)
do not apply to the Lords Spiritual, to ministers of the Crown,
or to members or employees of non-departmental public bodies (whether
commercial or non-commercial in character) in relation to those
specific roles. Members and employees of public boards may take
part in proceedings affecting the boards of which they are members
or employees, subject to the usual rules on declaration of interests
(see paragraph 4.69).
PARTICIPATION
IN PROCEEDINGS
5.14 In accordance with paragraph 15 of the Code
a member with a relevant interest is free to take part in the
public business of the House subject to:
- the rules on financial
inducements and parliamentary influence (paragraph 8 of the Code);
- the rules on paid advocacy (paragraph 14 of the
Code);
- the rules on the registration and declaration
of interests (paragraphs 10-12 of the Code); and
- the resolution of any conflict between personal
and public interest in favour of the public interest (paragraph
7 of the Code).
5.15 However, paragraph 15 goes on to state that
"Members of the House should be especially cautious in deciding
whether to speak or vote in relation to interests that are direct,
pecuniary and shared by few others." In other words, caution
is especially required where a financial interest is direct (the
member could personally benefit as a direct result of the proceeding)
and shared by few others (the member is one of a small group of
people in society who would so benefit).
5.16 More generally, a member who is unsure whether
or not to participate in parliamentary proceedings in relation
to which he or she has relevant interests should consider the
following factors:
- the nature of the
proceeding itself. There would, for instance, be more latitude
in the case of a general debate than in proposing or voting on
an amendment to legislation. Members with financial interests
that are relevant to private legislation should exercise particular
caution, and seek advice before deciding to participate in proceedings
on that legislation.
- the nature of the member's intended contribution.
A speech urging government investment in a sector in which the
member had a financial interest might be open to misconstruction,
whereas a speech canvassing issues of more general interest would
not.
5.17 Members may consult the Registrar on these
matters, but as paragraph 23 of the Code makes clear, "the
final responsibility for deciding whether or not to participate
in proceedings to which that interest is relevant rests with the
member concerned".
REGISTRATION
AND DECLARATION
OF INTERESTS
5.18 Under paragraph 10 of the Code members are
required to register and declare certain relevant interests. A
relevant interest is one which might be thought by a reasonable
member of the public to influence the way in which a member of
the House of Lords discharges his or her parliamentary duties:
in the case of registration, the member's parliamentary duties
in general; in the case of declaration, his or her duties in respect
of the particular matter under discussion.
5.19 Thus the House has two distinct but related
methods for the disclosure of the relevant interests of its members.
Registered interests are published in the Register of Lords' Interests,
which is published online and updated daily. The main purpose
of the Register is to give public notification on a continuing
basis of those interests held by members that might reasonably
be thought to have a general influence upon their parliamentary
conduct or actions. The main purpose of declaration of interest
is to ensure that fellow members of the House, ministers, officials
and the public are made aware, at the point at which the member
participates in proceedings of the House or otherwise acts in
a parliamentary capacity, of any present or expected future interest
that might reasonably be thought relevant to that particular action
by the member. There is also a Register of Interests of Lords
Members' Staff.
5.20 In cases of doubt members should seek the
advice of the Registrar of Lords' Interests. A member who acts
on the advice of the Registrar in determining what he or she is
required to register or declare as a relevant interest fully satisfies
the requirements of the Code of Conduct as regards registration
or declaration.
REGISTRATION
5.21 The Guide lists 10 categories within which
members are required to register all financial or non-financial
interests held by them, and in certain cases by their spouse or
partner, which are relevant for the purposes of registration.
Full details are given in the Guide, pages 12-18.
DECLARATION
5.22 Under paragraph 10(b) of the Code of Conduct,
members must "declare when speaking in the House, or communicating
with ministers or public servants, any interest which is a relevant
interest in the context of the debate or the matter under discussion".
This provision should be interpreted broadly. Thus "speaking
in the House" covers members' participation in the work of
select committees of the House. "Public servants" includes
servants of the Crown, civil servants, employees of government
agencies or non-departmental public bodies, and members, officers
and employees of local authorities or other governmental bodies.
5.23 The "matter under discussion"
is normally the item of business as it appears on the Order Paper.
Thus in the case of a bill, the subject-matter is the bill as
a whole. A full declaration of any interests relevant to a bill
should be made at least on the occasion of the member's first
intervention at each stage of the bill's progress.
5.24 Members should declare interests briefly,
but in such a way that their declaration is comprehensible, specific,
and unambiguous, without either demanding prior knowledge of their
audience or requiring reference to other documents, including
the Register. An exception may be made at Oral Questions or other
time-limited proceedings, where it may be for the convenience
of the House that members should not take up time by making lengthy
or repeated declarations of interest. On such occasions a brief
reference to the published Register may be appropriate, though
this only suffices for registered interests.
5.25 Members should not take up the time of the
House, particularly during time-limited proceedings, by declaring
trivial, frivolous or irrelevant interests.
5.26 Members are also required to draw attention
to any relevant registrable interests when tabling written notices
in House of Lords Business. The symbol [I] appears after
the member's name in House of Lords Business. The Table
Office also arranges for online publication of the specific interest.
MEMBERS'
FINANCIAL SUPPORT
5.27 Membership of the House of Lords is not
salaried. Members of the House are, however, entitled to claim
financial support in respect of their parliamentary work. The
House Committee is responsible for proposing rules on the financial
support available to members, which are reported to and agreed
by the House. The available support and the rules relating to
the scheme are set out in the Guide to financial support for
Members.
5.28 Paragraph 10(c) of the Code of Conduct states
that members shall "act in accordance with any rules agreed
by the House in respect of financial support for Members".
A breach of such rules therefore constitutes a breach of the Code
of Conduct and could lead to an investigation by the House of
Lords Commissioner for Standards.
5.29 The Finance Director is responsible for
the administration of the scheme, and any member may seek the
written advice of the Finance Director before determining what
use to make of the scheme. The responsibility for deciding what
use to make of the scheme rests with the member concerned.
USE
OF FACILITIES
AND SERVICES
5.30 The House provides various facilities and
services for members, the cost of which is either met in full
or subsidised by the public purse. These facilities and services
are provided primarily to support members in their parliamentary
work. The domestic committees are responsible for proposing rules
on the use of facilities by members, which are reported to and
agreed by the House. The available facilities and services and
the rules relating to their use are set out in the Handbook
on facilities and services for Members of the House of Lords.
5.31 Paragraph 10(c) of the Code of Conduct states
that members shall "act in accordance with any rules agreed
by the House in respect of
the facilities of the House".
A breach of the rules therefore constitutes a breach of the Code
of Conduct and could lead to an investigation by the House of
Lords Commissioner for Standards. The Handbook identifies
which official is responsible for the provision of each facility
or service and a member who acts on the advice of that official
in determining what use to make of a facility fully satisfies
the requirements of the Code of Conduct in that regard.
ENFORCEMENT
5.32 The procedure for investigating complaints
is set out in full in the Guide to the Code of Conduct. In summary,
responsibility for investigating alleged breaches of the Code
rests with the House of Lords Commissioner for Standards, who
is an independent officer appointed by the House as a whole. Following
his investigation, the Commissioner reports findings of fact to
the Sub-Committee on Lords' Conduct and offers his own conclusion
on whether the Code has been breached. The Sub-Committee reviews
the Commissioner's findings, may comment on them and, where appropriate,
recommends a sanction. The reports of the Commissioner and Sub-Committee
are presented to the Committee for Privileges and Conduct, and
the member concerned has a right of appeal against both the Commissioner's
findings and any recommended sanction. Having heard any appeal,
the Committee for Privileges and Conduct reports to the House
and the final decision rests with the House.
DISCIPLINARY POWERS
5.33 The Houses possesses an inherent power to
discipline its members; the means by which it chooses to exercise
this power falls within the regulation by the House of its own
procedures. The duty imposed upon members, by virtue of the writs
of summons, to attend Parliament, is subject to various implied
conditions, which are reflected in the many rules governing the
conduct of members which have been adopted over time by the House.
The House has no power, by resolution, to require that the writ
of summons be withheld from a member otherwise entitled to receive
it; as a result, it is not within the power of the House by resolution
to expel a member permanently.[182]
The House does possess the power to suspend its members for a
defined period not longer than the remainder of the current Parliament.[183]
5.34 In the event of a member being suspended,
the member concerned is expected to leave the Chamber without
delay.[184]
Suspended members have no access to the precincts of the House
of Lords estate (including as guests) or to services provided
to members. Suspended members' security passes are cancelled,
as are those of their staff, spouses and partners. Suspended members
are ineligible to claim financial support from the House during
the period for which they are suspended, are not entitled to receive
parliamentary papers from the Printed Paper Office, and cannot
use any parliamentary ICT applications.[185]
179 Minutes of Proceeding, 30 November 2009; amended
16 March 2010. Back
180
Privileges 2nd Rpt 2009-10. A second edition of the Guide was
published in November 2011. Back
181
Privileges and Conduct 10th Rpt 2010-12. Back
182
See Report of the Joint Committee on Parliamentary Privilege,
HL Paper 43-I, 1998-99, paragraphs 272, 279. Back
183
Privileges 1st Rpt 2008-09. See HL Deb. 20 May 2009, cols 1394-1418. Back
184
Procedure Committee minutes 18 May 2009. Back
185
House Committee minutes 19 May 2009. Back
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