| Health
and Safety Commission
Code of Practice for Commissioners
as agreed at Commission meeting
on 25 May 1999 (HSCI99/128)
Table of Contents
Introduction
| 1. |
The Health and Safety Commission
(the Commission) is a statutory non-departmental
public body established by the Health and Safety
at Work etc. Act 1974 (the 1974 Act). The Commission
is responsible to appropriate Ministers for the
administration of the 1974 Act. |
| 2. |
The Commission's statutory
powers and functions are set out in the Health
and Safety Commission and Health and Safety
Executive's Framework of Accountabilities. The
Commission has particular responsibility for:
- reviewing health and
safety legislation and submitting proposals
for new and revised legislation to Ministers
after consultation with appropriate government
departments and other bodies;
- making arrangements
for the provision of information, advice,
and guidance;
- making arrangements
for research to be carried out and its results
to be published and encouraging research by
others;
- arranging for the
provision of information and encouraging its
provision by others;
- paying to the Health
and Safety Executive (the Executive) sums
considered
appropriate for the Executive to perform its
functions.
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| 3. |
The Commission's constitution
- which is governed by the 1974 Act - allows for
a Chair and not less than six or more than nine
members. The Chair and Commissioners are appointed
by the Secretary of State for the Environment,
Transport and the Regions (The Secretary of State).
The current Commission consists of 9 members in
addition to the Chair, appointed after statutory
consultation with representatives of employers
(3 members), employees (3 members), and other
organisations concerned with health and safety
including local authorities (3 members). Detailed
provisions for the Commission's constitution can
be found in Schedule 2 of the 1974 Act. The Financial
Memorandum gives further details. |
| 4. |
The aims of
the Commission, reflecting its statutory purposes,
are to protect the health, safety and welfare
of employees, and to safeguard others, principally
the public, who may be exposed to risks from work
activity. A full statement of these aims can be
found in its annual published Plan of Work, known
as the Strategic Plan. |
| 5. |
In line with Government
policy on standards in public life, openness and
accountability, the Commission has agreed this
Code of Practice which Commissioners are expected
to follow in carrying out duties associated with
the Commission. |
Standards
in Public Life
| 6. |
The Commission will at
all times:
o observe the highest standards of propriety
involving impartiality, integrity and objectivity
in relation to the stewardship of public funds
and the exercise of its functions;
- maximise value for
money through seeking to ensure the most economical,
effective and efficient use of its resources
and be accountable to Parliament for its stewardship
of public funds;
- be accountable to
Ministers, and through them to the public
more generally, for its activities and for
the standard of advice it provides; and
- act in accordance
with Government policy on openness, and comply
fully with the Code of Practice on Access
to Government Information and the Environmental
Information Regulations 1992 as amended and
any relevant legislation on disclosure of
information.
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| 7. |
Commissioners are expected
to:
- follow the Seven Principles
of Public Life set out by the Committee on
Standards in Public Life as they apply to
service on the Commission. These principles
are printed at appendix A;
- comply at all times
with the Commission's Code of Practice and
ensure that they understand their duties,
rights and responsibilities, and that they
are familiar with the role and functions of
the Commission and any relevant statements
of Government policy;
- act in good faith
and in the best interests of the Commission.
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The
Commission and its relationship with the Government
and Parliament
| 8. |
The Secretary of State
appoints the Commission and is primarily answerable
to Parliament for the policies and performance
of the Commission, including its use of resources
and the policy framework within which it operates. |
| 9. |
The respective roles and
responsibilities of the Commission and the Government,
the Commission and Parliament, the Commission
and the Department for the Environment, Transport
and the Regions, and the Commission and the other
Ministers it reports to, are set out in the Health
and Safety Commission and Health and Safety Executive's
Framework of Accountabilities. This information
is supplemented by the Financial Memorandum specifying
the terms on which the Commission receives and
spends its funds. Taken together with the HSC
Strategic Plan 1999/2002 and the HSC Annual Report
and HSC/E Accounts, the Document and its Annexes
constitute an Executive Non Departmental Public
Body (NDPB) Management Statement as required by
the Cabinet Office. |
The role
of the Commission Chair
| 10. |
The Chair is responsible
for providing effective leadership on matters
such as:
- formulating the Commission's
strategy for discharging its statutory duties;
o ensuring that the Commission meets at regular
intervals throughout the year and that the
minutes of meetings accurately record the
decisions taken and, where appropriate, the
views of individual Commissioners;
- ensuring that new
Commissioners, when taking up office, are
fully briefed on the terms of their appointment
and on their duties, rights and responsibilities,
and encouraging new Commissioners to attend
an induction course on the duties of members
of public bodies as part of their induction
programme;
- providing an assessment
of performance of individual Commissioners,
on request, for example when they are being
considered either for re-appointment to the
Commission or for appointment to some other
public body;
- encouraging high standards
of propriety and promoting the efficient and
effective use of staff and other resources;
- representing the views
of the Commission to the general public.
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| 11. |
The Chair is Accounting
Officer for the Commission and is responsible
for ensuring the efficient and economical conduct
of Commission business, the propriety of Commission
expenditure and that appropriate provision is
paid to the Executive to enable it to perform
its functions, and within the policies and priorities
which the Commission sets the Executive with the
approval of the Secretary of State. |
| 12. |
More detailed guidance
on the role of an accounting officer is set out
in The Responsibilities of a NDPB Accounting Officer,
and in the letter of appointment as an Additional
Accounting Officer sent to the Chair by the Permanent
Secretary of the Department of the Environment,
Transport and the Regions. |
The
collective role of Commissioners
| 13. |
The Commission's
responsibilities and powers are defined by the
1974 Act and its subordinate instruments. |
| 14. |
Commissioners have collective
responsibility for conduct of the Commission's
business. They should engage fully in the collective
consideration of issues, taking account of the
full range of relevant factors, including any
guidance issued by the sponsor Departments and
the responsible Ministers. |
| 15. |
Commissioners have corporate
responsibility for ensuring that the Commission
complies with any statutory and administrative
requirements for the use of public funds. Other
important responsibilities of Commissioners
include:
- ensuring that high
standards of corporate governance are observed
at all times;
- establishing the overall
strategic direction of the organisation within
the policy and resources framework agreed
with the responsible Minister;
- ensuring that the
Commission operates within the limits of its
statutory authority, and in accordance with
any other conditions relating to the use of
public funds;
- drawing up a policy
statement on access to health and safety information,
taking in to account statutory requirements
and Government policy and initiative; and
- ensuring that the
Commission operates sound environmental policies
and practices in accordance with Government
policy.
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| 16. |
Delegation of functions
The Commission may delegate functions to individual
Commissioners, forexample to enable the Chair
to act on its behalf in specified matters between
meetings. The Commission has general oversight
of the work of the Executive and has power to
delegate to the Executive which is its main operational
arm. The Commission has used Section 11(4)(a)
of the 1974 Act to direct the Executive to carry
out certain functions. Further details can be
found in the Health and Safety Commission and
Health and Safety Executive's Framework of Accountabilities. |
| 17. |
Openness
The Commission will conduct all its dealings with
the public in an open and responsible way and
will comply fully with the requirements of the
Code of Practice on Access to Government Information,
the Environmental Information Regulations 1992
as amended and any other relevant legislation
on disclosure of information. |
| 18. |
Public access to papers
The Commission has given approval for its meeting
papers to be made publicly available except
in a limited range of circumstances which are
covered by the Code of Practice on Access to
Government Information. Papers are not made
public before the meeting at which they are
due to be considered. The paper will indicate
the passages which it is proposed should and
should not be made public. Papers submitted
to the Commission are given one of four proposed
openness classification markings:
- fully open (the whole
paper can be disclosed to the public);
- partially open (some
sections exempt from disclosure under the
Code of Practice on Access to Government Information
- the remainder of the paper can be disclosed);
- fully closed (whole
paper exempt from disclosure);
- personal to members
only (whole paper exempt from disclosure and
restricted to Commissioners only).
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| 19. |
It is for the Commission
at the meeting at which the paper is considered
to decide that the proposed openness classification
on the paper is correct. |
| 20. |
Consultation on papers
by Commissioners before meetings
20. It is long established practice that before
the meeting Commissioners can consult on all papers
- apart from those marked "personal to members
only" - with Those groups whose interests
they represent in order to carry out their duties
effectively. Such consultations and discussions
should be undertaken on a need-to-know basis.
Commissioners must make sure that those whom they
consult are made aware of, and respect, the need
to act discreetly. |
| 21. |
Commissioners should treat
papers which are marked as "personal to members
only" as confidential to themselves, and
not discuss them with others outside the Commission
and the Executive. Such papers may contain matters
of a particularly sensitive nature and Commissioners
must take extra care not to leave them unattended
and where others may obtain access to them. |
| 22. |
Disposal of papers
22. Commissioners must ensure that their papers
are kept and disposed of safely and ideally for
papers which are "Personal to members only"
should dispose of them by shredding or by returning
them to the Commission Secretariat. |
| 23. |
Making information available
The Commission has published a statement Access
to health and safetyinformation by members of
the public which sets out its policies on making
information available. The Executive has been
given responsibility for implementing this policy,
including operation of a proper procedure for
handling complaints against non-disclosure. |
| 24. |
Plan of work, Annual
Reports and Accounts
The Commission prepares an annual plan of work,
known as the Strategic Plan. The Commission must
act in accordance with plans approved by The Secretary
of State and within the resources made available.
The Commission submits an Annual Report and Accounts
to The Secretary of State. |
| 25. |
Full details of the Commission's
management, financial and planning arrangements
can be found in the Health and Safety Commission
and Health and Safety Executive's Framework of
Accountabilities and the Financial Memorandum. |
Terms
of appointment
| 26. |
The Secretary of State
appoints the Commission and is responsible for
it. The appointment and conditions of service
of Commissioners are conveyed in a formal letter
of appointment from The Secretary of State and
in a memorandum issued to Commissioners under
his authority. This also sets out the Commissioner's
term of office. |
| 27. |
Commissioners may at any
time resign as a member of the Commission by giving
to The Secretary of State notice in writing. |
| 28. |
The Secretary of State
has the power to declare a Commissioner's office
vacant under the statutory provisions governing
the appointment found in Schedule 2, paragraph
4 to the 1974 Act. |
| 29. |
Quorum and attendance
at Commission meetings
The Commission has agreed that the quorum for
Commission meetings should be the Chair or a Commission
member elected by a majority of the other members
present at the meeting to be acting Chair of the
meeting, plus three other members, one representing
employers, one representing employees, and one
not representing either of these groups. It is
important therefore that Commissioners notify
the Commission Secretary as soon as possible if
they are not able to attend a Commission meeting. |
| 30. |
Commissioners are expected
to attend the great majority of Commission meetings
during the year, and in any case should not miss
more than two consecutive meetings without the
prior agreement of the Chair. |
| 31. |
Under Schedule
2, paragraph 4 to the 1974 Act The Secretary of
State may terminate an appointment if a Commissioner
has been absent from meetings of the Commission
for a period longer than six months without the
permission of the Commission. |
| 32. |
Remuneration
Commissioners receive an annual sum plus a fee
for each day worked. There are two meetings per
month which usually last for half a day, and which
each Involve a further half day in preparation
time (each meeting attended usually counts as
one day worked). |
| 33. |
Commissioners may also
be involved in other activities such as visits
to industry, and may be called upon from time
to time to represent the Commission at conferences,
press launches, etc. The level of remuneration
will be subject to review in the context of decisions
taken by Ministers from time to time in relation
to salaries of this kind. |
| 34. |
Political activities
Commissioners are expected to follow the guidance
on political activities set out in the terms and
conditions sent to them on their appointment to
the Commission. |
| 35. |
In general Commissioners
should not engage in specific political activities
on Matters directly affecting the work of the
Commission. When engaging in other political activities,
Commissioners should be conscious of their public
role and exercise a proper discretion, particularly
in regard to the work of the Commission. |
| 36. |
Travel and subsistence
expenses
Commissioners are entitled to travel and subsistence
expenses incurred on official Commission business
away from their normal place of work, and other
expenses necessarily incurred on HSC business.
Tax liabilities arise on elements of these payments
which have been regarded as part of a Commissioner's
income and are therefore taxable. Arrangements
have been made whereby HSC meets the cost of the
tax. This is explained in the note Travelling
and Subsistence Expenses: Income tax which is
sent to Commissioners on appointment. |
| 37. |
Gifts and hospitality
Commissioners are expected to act in accordance
with the standards required of civil servants
in respect of gifts and hospitality. Commissioners
should not accept or offer a gift, hospitality
or some other benefit as a reward, either for
doing or not doing something in their official
capacity or for showing advantage to someone or
to an organisation. As a general rule there are
unlikely to be objections to the acceptance of
isolated gifts of a trivial nature or minor seasonal
items such as calendars or diaries. Offers of
conventional hospitality may also be accepted
provided it is normal and reasonable in the circumstances.
Such offers include a working lunch or a working
dinner and refreshments offered during meetings. |
| 38. |
The Secretariat keeps a
gifts and hospitality register. Conventional hospitality
and trivial gifts do not need to be recorded.
Commissioners should inform the Secretariat about
all other gifts and hospitality which do not clearly
fall into either of these categories. These will
be recorded in the register. |
| 39. |
Register of interests
The Commission is required to maintain a Register
of Commissioners' Interests which Commissioners
are required to complete on appointment. This
is maintained by the Commission Secretariat. The
Register lists direct or indirect pecuniary interests
which may or may be perceived (by a reasonable
member of the public) to influence his or her
judgement when acting as a Commissioner. Guidance
prepared by the Department for the Environment,
Transport and the Regions on the kinds of interests
that should be declared for the purposes of Commission's
Register can be found at appendix B. |
| 40. |
The Register is made available
to the public in the Commission's Annual Report
and on request (for example in answer to Parliamentary
Questions and enquiries from the media). Commissioners
must notify the Commission Secretariat, immediately,
of any changes to their declaration. |
| 41. |
Conflicts of interests
It is an important part of Commissioners' responsibilities
that they have access to the advice and opinions
on behalf of organisations representing one of
the following three categories, employers, employees
or others (for example, organisations representing
local authorities and others with an interest
in health and safety). This enables Commissioners
to make an informed contribution to Commission
business. |
| 42. |
However, Commissioners
should avoid situations where they are influenced,
or appear to be influenced, by their private interests
in the exercise of their public duties. In addition
to interests included in the Commission's Register
(paragraph 39 above) Commissioners should declare
any interest, pecuniary or other, where it relates
specifically to a particular matter under consideration
and which may, or may be perceived, (by a reasonable
member of the public) to conflict with their responsibilities
as Commissioners. Commissioners should also consider
whether they need to disclose relevant interests
of other persons or organisations (for example,
close family members) which members of the public
might reasonably think could influence their judgement.
The Secretariat will record any declaration in
the minutes. |
| 43. |
Where a Commissioner has
declared an interest he or she, with the agreement
of the Chairman, may contribute to the discussion
of the matter under consideration. |
| 44. |
Where a Commissioner has
declared a significant and relevant interest he
or she should not participate in the determination
of that matter. It may on occasion be appropriate
for that Commissioner to withdraw from the meeting
during consideration of the matter. |
| 45. |
Personal liability of
Commissioners
Although any legal proceedings initiated by a
third party are likely to be brought against the
Commission, in exceptional cases proceedings (civil
or, in certain cases, criminal) may be brought
against the Chairman or other individual Commissioners.
For example, a Commissioner may be personally
liable if he or she makes a fraudulent or negligent
statement which results in loss to a third party.
Commissioners who misuse information gained by
virtue of their position may be liable for breach
of confidence under common law or may commit a
criminal offence under insider dealing legislation. |
| 46. |
However, the Government
has indicated that individual board members of
Non-Executive Departmental Bodies (for example,
Commissioners) who have acted honestly and in
good faith will not have to meet out of their
own personal resources any personal civil liability
which is incurred in execution or purported execution
of their functions, except where the person has
acted recklessly. |
| 47. |
Official Secrets Act
The provisions of the Official Secrets Acts 1911
to 1989 apply to members of the Commission. Unauthorised
disclosure of any information gained in the course
of this appointment or its use by Commissioners
or others for personal gain or advancement would
be regarded as a grave breach of trust. A copy
of the Basic Guide to the Official Secrets Act
1989 is sent to Commissioners on appointment. |
| 48. |
Commissioners who need
further advice should consult the Commission Secretary
or Commission solicitor. |
APPENDIX A
The Seven
Principles of Public Life
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
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
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 merits.
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.
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.
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 interests.
Leadership
Holders of public office should promote and support
these principles by leadership and example.
The Government endorsed the
Seven Principles of Public Life in "Spending
Public Money. Governance and Audit Issues", Cm
3179, March 1996.
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