House of Lords - House of Lords Staff Handbook - Seventeenth Edition

House of Lords Staff Handbook Seventeenth Edition

CHAPTER 12: CONDUCT AND DISCIPLINE

(See also Civil Service Management Code, Chapter 4 - Conduct and discipline)

General principles

12.1. The following general principles should be observed by all staff:

(1) they are expected to give their undivided allegiance to the House at all times when the House has a claim on their services and to cooperate with all reasonable requests made of them;

(2) they are expected not to engage in private activities which might bring discredit upon the House;

(3) they should not put their private interests before their official duty, neither should they put themselves in a position where their duty and private interests conflict, and they should not make use of their official position to further those interests;

(4) staff of the House are required to carry out their duties with complete political impartiality. For political activities see paragraph 12.22.

Acceptance of gifts

12.2. Staff must not accept any gift or reward, except isolated gifts of a trivial character or occasional modest hospitality, from any member of the public or organisation with whom they have been in contact by reason of their official duties. If the refusal of such gift is likely to cause offence to the giver, they should immediately report the fact to their Head of Office who may consult the Director of Human Resources.

Alcohol and drug misuse

12.3. It is important that all staff perform their jobs to the best of their ability, and at least to a satisfactory level. Excessive drinking during working hours is not permitted and where over-indulgence results in a deterioration in performance or conduct, or jeopardises personal safety or the safety and well-being of others, then disciplinary procedures will be invoked.

12.4. Alcoholism (alcohol-related illness) will be treated sympathetically, like any other illness, subject to the co-operation of the member of staff concerned in receiving appropriate treatment. If help is refused and if performance or conduct is unsatisfactory, inefficiency procedures or the Code of Discipline will be invoked.

12.5. This policy also applies to misuse of drugs with the proviso that the taking of illegal drugs during working hours will be viewed as a serious disciplinary matter; and the buying, selling or distribution of drugs is not only a serious disciplinary matter but a criminal offence and, without exception, will be reported to the authorities.

Arrest or conviction

12.6. Staff must report to their Head of Office as soon as possible if they are arrested, or if they are convicted by a court of any criminal offence (except a traffic offence for which the penalty has not included imprisonment or disqualification from driving). In serious cases, staff who have been arrested may be suspended from duty until after criminal proceedings have been concluded. During suspension, pay may be withheld either wholly or in part.

Bankruptcy and insolvency

12.7. A member of staff who becomes bankrupt or insolvent must at once report this to the Director of Human Resources, who will ask for a complete statement of the facts of the case.

12.8. Staff are expected to behave in a courteous, considerate and helpful manner both to third parties and to one another. Oppressive, bullying or disrespectful behaviour is deprecated, especially when directed at more junior staff. If any member of the staff persists in such behaviour, disciplinary procedures may be invoked. Violent behaviour towards staff or others with whom staff come into conduct will lead to disciplinary action.

Borrowing and lending money

12.9. The borrowing and lending of appreciable sums of money between members of staff is deprecated. It is a disciplinary offence for a member of staff to borrow appreciable sums from a more junior colleague for any reason which does not constitute an emergency. It is also a serious offence for official funds to be appropriated as a loan even in the very short term.

12.10. Staff who are provided with uniforms or protective clothing are expected to wear them while on duty. Refreshment Department staff must also observe the food hygiene regulations set out in paragraph 8.14. For other staff there are no formal requirements laid down, but they are expected, especially when in areas where they come into contact with peers, to dress in accordance with the standards normally observed by peers. These standards should also be met during recesses by any member of staff on the Principal Floor.

Disclosure of official information, privilege and confidentiality

12.11 Staff should be aware of the Data Protection Policy Statement and of the implications of the Freedom of Information Act 2000 - see paragraphs 2.10-2.15 above.

12.12. While staff of the House are not subject to the provisions of the Official Secrets Act 1989 in the same way as Civil Servants, they are subject like all other persons to section 5 of the Act. Under that section it is an offence for a member of staff to make a disclosure of information falling within certain defined categories which has either been given to him or her by a person acting in breach of the Act or has been given in confidence by a Crown servant (e.g. a Minister or a civil servant) or Government contractor. This is subject in most cases to the qualification that the disclosure is damaging and that it is made in the knowledge, or with reasonable cause to believe, that it would be damaging. The defined categories of information are (a) information relating to security or intelligence, defence or international relations, and confidential information obtained from a state other than the United Kingdom or an international organisation; and (b) information the disclosure of which results or is likely to result in the commission of an offence or which otherwise interferes with the maintenance of law and order in the manner set out in section 4 of the Act. The need to prove that the disclosure is damaging applies to all information in category (a) but not to information in category (b).

12.13. Staff should also be aware that unauthorised disclosure of information about the work of the House - for example the contents of a draft report - could be held to be a breach of its privilege leading to disciplinary action.

12.14. Staff are expected to observe the normal practice of respecting the confidentiality of confidential information. There is no objection, however, to repeating information which has already officially been made public. Staff who are in doubt about the propriety of disclosing information in their possession should consult their Head of Office or a person authorised to deal with the matter.

12.15. Staff must at all times be discreet and avoid disclosure of personal or potentially sensitive information, howsoever obtained.

12.16 Staff in positions of management are responsible for preventing and detecting fraud, and for ensuring that effective means of control exist to those ends; while all staff have a duty to be honest, to act with propriety and integrity at all times and to safeguard public funds. Any act of fraud or suspected act of fraud should be reported immediately to the Head of Office or Internal Auditor who will arrange for investigation. If a prima facie case of fraud is established, the Director of Human Resources should be informed and will determine what further investigation, legal and/or disciplinary steps should be taken. The full text of the fraud policy statement is at Appendix H.

Jury service

12.17. The Criminal Justice Act 2003 removed the entitlement to be excused from jury service as set out in section 9 of the Juries Act 1974. All staff of the House of Lords are therefore eligible for jury duty. Staff receiving a jury summons should contact the Human Resources Office to inform them of the dates of jury service. The House as an employer is no longer able to negotiate with the Courts Service and it will be the responsibility of staff to negotiate directly with the Courts Service if they wish to apply for a deferral or excusal. Staff will be paid as normal during the period of jury service.

Malpractice

12.18 Malpractice covers activities other than fraud such as criminal activity, breach of legal regulations, endangering somebody's health or safety, environmental damage, abuse of office or position or any attempt by any person to conceal any such matters. The House of Lords has a policy on disclosing malpractice (sometimes known as "whistleblowing"). The full text of this policy is set out at Appendix O.

Next of kin, address and telephone numbers

12.19. All staff should inform the Human Resources Office of their next of kin, private address and telephone number (if any). Any changes of next of kin, address or telephone number should also be notified when they occur.

Official stationery and photocopying

12.20. Official stationery is provided solely for use on House of Lords business and must not be used for any other purpose. Official paid envelopes and labels and franking stamps must not be used for private correspondence. Abuse of paid envelopes or the frank amounts to a fraud on the House and will be dealt with as such under the disciplinary procedures. Staff may make occasional use of photocopiers. Arrangements for more regular use should be made through Parliament Office Supplies.

Personal property

12.21. Staff should not leave belongings lying around or in unlocked drawers. Many people have access to the building and regrettably there have been cases of theft.

Political activities

12.22. Housekeepers and the catering staff of the Refreshment Department are free to take part in political activities outside the House. All other staff wishing to engage in national or local political activities, or to express views on such matters in letters to the press, or in books, articles, or leaflets, must consult the Director of Human Resources. The House of Lords Policy on political impartiality and safeguarding official information is set out in Appendix L.

Private telephone calls

12.23. Staff may if necessary make private calls from their office telephones if the call is not likely to be of long duration but this privilege must not be abused. In order to avoid congestion of the limited number of lines on the Palace of Westminster exchange, such calls should as far as possible be made at off-peak times. Coin boxes are available for other calls. International calls should be made through the switchboard and the individual concerned will be billed for them.

Publications etc. on parliamentary subjects

12.24 Staff must seek permission from their Head of Office if they wish to publish an article or a book or broadcast or appear on television on a subject in any way connected with their work. Similar permission must be sought if staff wish to comment on a subject connected with their work via the Internet, including on any social networking site (e.g. Facebook). Staff should be aware that commenting about individuals on a social networking site may be regarded as defamation, for which they could be held personally liable. Should such comments amount to bullying or harassment or bring the House into disrepute, disciplinary action may be taken.

Policy on use of email and the Internet

12.25. Data stored on your PC's hard disk are vulnerable to unauthorised access and to corruption and/or loss. All staff should:

(a) back up all important files to the network drive (follow your local guidelines);

(b) if there is a specific requirement to store sensitive information staff should seek guidance from PICT on extension 2001.

12.26. Non work related data should not be stored on the network. If non work related data need to be saved then staff should use the C drive, floppy disk or equivalent. Any downloading of data from the Internet (such as music and video files) must be done in accordance with copyright laws.

12.27. The House also reserves the right to monitor incoming and outgoing emails and other use of the Parliamentary Network including the internet to establish that the system is being used properly and for necessary and lawful purposes. Any access or monitoring will be conducted in accordance with requirements of the Data Protection Act 1998, Telecommunications (Lawful Business Practice) (Interception of Communications) Regulations 2000 SI 2000/2699 and the Regulation of Investigatory Powers Act 2000. The Parliamentary Network may apply automatic message monitoring, filtering and rejection systems as appropriate, and deny transmission of messages with content that is unacceptable in the terms of the Policy.

12.28. You are permitted to make occasional personal use of the email system, provided that this does not interfere with the performance of your normal duties. However, as the House reserves the right to monitor emails, as set out in paragraph 12.27 above, privacy cannot be guaranteed.

12.29. Emails may be reviewed for the purpose of responding to requests for disclosure under legislation such as the Data Protection Act, the Freedom of Information Act or the Environmental Information Regulations. When writing emails you must be aware that they form part of the official business record and that the House may be required to disclose the content of them in response to a request.

12.30. In using email:

you must not send or distribute email messages, attachments, or other material which employ language or contain images that may reasonably be considered to be discriminatory, obscene, derogatory, offensive, threatening, insulting, illegal, harassing or otherwise harmful to recipients;

you must not originate or distribute chain letters via email;

if you receive what you consider to be an inappropriate internal email you should forward a brief note to the sender explaining that you do not wish to receive any further emails of that nature. If the sending of inappropriate emails continues you should advise your line manager immediately;

if you receive any email which you think may contain a virus you should not open it but should contact the Parliamentary Communications Directorate (via the Service Desk extension 2001);

if you receive an inappropriate email from outside the House of Lords which falls into the category of SPAM (a term used to describe unwanted and unsolicited emails sent to multiple email addresses) do not respond to the email but please notify your manager and send the email to the spam folder in Outlook Public Folders/All Public Folders/HOP Spam Samples and PICT will consider how best to prevent the receipt of similar emails in future.

12.31. You are permitted to make occasional personal use of the internet provided that it does not interfere with the performance of your normal duties and is outside your normal hours of duty. You should understand that the House may monitor your use of the internet, as explained in paragraph 12.27.

12.32. When using the internet:

do not use the internet for any illegal purposes;

do not download information or pictures which are likely to cause offence to any other potential observers unless you have to do so in the proper discharge of your duties;

do not use the internet for commercial activities, except in connection with your official duties;

do not deliberately visit web sites or disseminate or retrieve information or software which contain material of an offensive, obscene or discriminatory nature;

take all appropriate action to prevent viruses entering into the network;

do not download software without the prior agreement of PICT;

do not use the internet for the purposes of promoting any external commercial activity.

12.33. In the event that you inadvertently access an inappropriate internet site (as described above) you should immediately use the 'Back' button on the browser to return to the previous page or the 'Home' button to return to the parliamentary intranet home page.

12.34. Any non-compliance with this policy on the use of email or the internet may lead to the application of the House of Lords disciplinary procedure, which in serious cases could lead to your dismissal.

12.35. This policy also applies when accessing the PN via a remote link. This policy applies to the use of social networking sites, e.g. Facebook.

12.36. If you are unclear about any aspect of this policy please speak to your line manager or contact the Deputy Director of Human Resources.

Records Management

12.37. A record is any document or piece of information created or used by you, and which provides evidence of your work in the wider context of Parliament. Some examples are correspondence, advice, Bill files, minutes, invoices, reports, payment authorisations and personnel records. For more information please see Appendix N.

12.38. It is important to understand that the term 'records' refers to the documents which you create, edit, file and consult every working day, not just historic documents which are preserved in the Parliamentary Archives. Word processed documents, email, spreadsheets and other electronic documents held on your computer also fall within the definition of records.

12.39. Records management is the organisational function of managing records to meet operational needs, accountability requirements and the public's expectations of the House of Lords. It supports the work of the House of Lords in the following ways:

Improves access to information allowing for more rapid response to issues;

Helps to meet legal requirements;

Controls the growth of materials taking up valuable office space;

Minimises litigation risks;

Safeguards vital information;

Supports better management decision making; and

Preserves the history of Parliament.

ROLES AND RESPONSIBILITIES

12.40. Each office and committee is responsible for ensuring that it manages its records in accordance with the guidance issued by the Records Management Team of the Parliamentary Archives, through its Record Officer.

12.41. It is the responsibility of every member of staff to ensure that their own record keeping adheres to the standards laid down in their office or committee.

WHERE TO GO FOR HELP AND ADVICE

12.42. For more information about records management, including the name and contact details of your Record Officer, consult the Records Management site on the Parliamentary intranet pages: http://pdvnsco.parliament.uk/archives/recordsmanagement/default.htm

12.43. Should you require further assistance, contact a member of the Record Management Team for advice on extension 6291 or 1702.

Second jobs and other outside occupations

12.44. Staff may not engage in any outside activity which would impair their usefulness as servants of the House.

12.45. Full-time staff are not allowed to accept any other post - paid or unpaid - which would require their absence from the House at any time during normal working hours. Exceptionally, leave to accept such a second post may be given by the Clerk of the Parliaments - for example where the activity is related to the postholder's work for the House. Applications for such leave should be made to the Director of Human Resources.

12.46. The contractual restriction is that "you may not take up work with another employer or engage in any other occupation without the consent of the Director of Human Resources. Such consent will not be unreasonably withheld but it may be withdrawn at any time if it is felt that the effectiveness of your employment with the House is being impaired. Engaging in other employment which puts the House in breach of the Working Time Regulations is prohibited." Particular consideration will be given to the fact that many staff are required to take much of their contractual annual leave entitlement during the summer recess.

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