Code of Conduct. Contents. Policy statement

Transcription

1 Code of Conduct Contents Policy statement 1. Key principles 2. Breach of this policy 3. Conduct at work 4. Financial propriety 5. External activities 6. After leaving employment 7. Reporting breaches of policy (Whistleblowing) 8. Related documents 9. Effective date 10. Review date 11. Amendment history Annex A The Seven Principles Annex B Further information on consultancy work Version 3 Page 1 of 16

2 Code of Conduct Version 3 Document Control Summary Title Code of Conduct Electronic file reference (network or intranet) Status Knowledgebase Published Version No. 3 Date of this Document 19 th March 2015 Policy author(s) Bryan Chapman HR Business Partner Revised by Lewis Ody Corporate HR Approved by (Names, titles and date) Sally-Louise Smith, HR Director Next Review Date June 2016 Equality Impact Assessment Completed in N/A Version 3 Page 2 of 16

3 Policy statement The Medical Research Council (MRC) is a publicly-funded organisation dedicated to improving human health through world-class medical research. As such there is a need to ensure that the best interests of the public are served in the way that the MRC and its employees conduct themselves in pursuing its objectives. This Policy is a statement of the MRC s values in relation to conduct that is expected from its employees. Although no attempt has been made to cover every aspect of personal behaviour, this policy expresses these principles in practical terms and highlights where further information and advice can be found. The Code of Conduct is agreed with the National Trade Union Side and complies with the relevant legislation. In addition, the MRC s policies and procedures are assessed for language and accessibility and equality impact. The MRC s operational activities are regularly reviewed with key stakeholders and Trade Unions, which in turn informs the further development of the MRC s policies. For the purposes of this policy, the use of the word "employees" covers MRC employees on permanent or fixed term contracts as well as persons who are on secondment to the MRC and non-employees such as students, contractors and other persons carrying out work on the MRC premises and/or on behalf of the MRC. This Policy applies to all categories of employees and applies whenever individuals are acting in their capacity as an employee be it in their usual place of work or on external business. The inclusion of non-employees in the scope of this policy should not be taken to infer any employment rights for those individuals. 1. Key principles 1.1 The MRC is a publicly funded body and as such is bound to comply with the highest standards of professional and ethical practice as outlined in the seven principles of public life (see Annex A). 1.2 The MRC is accountable to government and the public for its actions in pursuit of its goals and therefore must conduct its business in an open and transparent manner. 1.3 All employees must observe this code and adhere to the prescribed behaviours. 1.4 All employees have a duty to behave in a way that promotes the good name of the MRC and does not bring it into disrepute by their actions, statements or neglect of their responsibilities. However employees may enter into public debate as detailed in the Education Reform Act 1988 paragraph 202 (2) (a). 1.5 All employees must actively seek to create a working atmosphere that is based on trust, cooperation and mutual respect for others. 1.6 All employees have a duty to report any breaches of this code to the appropriate level of management or external body if appropriate. Version 3 Page 3 of 16

4 1.7 The MRC will not tolerate divisive, unethical or illegal behaviour. Such behaviour will be investigated thoroughly and addressed appropriately under the relevant policy. 1.8 The MRC expects employees to adopt the highest achievable standards of performance and exhibit impeccable professional and personal integrity. 1.9 Nothing in this code prevents or restricts employees from exercising their statutory rights. 2. Breach of this policy 2.1 While the MRC is confident in the honesty and integrity of its employees, it will maintain zero tolerance of proven instances of illegal or unethical behaviour. A breach of this policy by employees may result in disciplinary action, up to and including dismissal/termination of contract (an equivalent and alternative action may be taken for those who are not an MRC employee) 2.2 Legal action may be considered including reporting the matter to the Police if a criminal offence is suspected. 2.3 The MRC has a duty to report misconduct to a professional body if the rules of conduct of that body may have been breached by one of its members. For further information see the MRC Disciplinary Policy and Procedure on the RCUK Knowledgebase. 3. Conduct at work 3.1 Behaviour towards others The MRC is committed to providing a working environment where all are treated with courtesy, respect and cooperation. All employees are expected to demonstrate high behavioural standards in the workplace by affording dignity, trust and respect to everyone they interact with whilst at work. Communications with others should be honest, open and professional. Everyone should be treated with consistency and fairness in accordance with the MRC s policies and procedures. Employees are expected to refrain from behaviours towards others that could be seen as, offensive, abusive, intimidating, insulting or malicious or that have the effect of violating a person's dignity, or of creating an intimidating, hostile, degrading, humiliating or offensive environment for that person Instances of unacceptable behaviour may constitute misconduct, gross misconduct, Bullying or Harassment. For further information on misconduct please see the MRC Disciplinary Policy and Procedure. For further information on Bullying or Harassment, please see the MRC Harassment & Bullying Policy and Procedure on the RCUK Knowledgebase. 3.2 Research Conduct The MRC expects employees to aim for and adopt the highest achievable standards in the conduct of their research. This includes following the requirements set by national Version 3 Page 4 of 16

5 and international regulatory bodies, professional and regulatory research guidance and ethics frameworks issued in appropriate areas. For further information see the Good Research Practice guidance on the MRC website, the Research Misconduct policy and procedure on the RCUK Knowledgebase, other Ethics and Research Guidance on the MRC website and the MRC Regulatory Support Centre website Employees are encouraged to be proactive in ensuring their research is translated for public benefit, through such activities as; publications, sharing of data and reagents, providing training or participating in public engagement events 3.3 Equality and Diversity The MRC is committed to providing fairness and equality of opportunity for all in the areas of employment, development and services. Employees are therefore expected actively to support this commitment when carrying out their duties as set out in the Equality Act Further information is available on the Equalities and Diversity pages of the MRC Hub or by contacting Corporate HR. 3.4 Health & Safety Employees have a legal duty to take reasonable care of their own health and safety as well as for the health and safety of others who may be affected by their work activities. Employees must cooperate and follow: all relevant policies and procedures, risk assessments and codes of practice/guidelines, attend required training and report to their manager any matter they believe may present a health and safety risk. Anyone who manages the work of others has an additional responsibility for the health and safety of those employees. For further information see the health and safety policies and good practice guides on the MRC website or contact your local unit safety coordinator. 3.5 Security MRC Units are housed in security controlled buildings and employees who work at or have reason to visit those buildings must follow local security instructions and procedures. Employees should be proactive in highlighting security risks and reporting anything suspicious or out of the ordinary to the security employees. For further information please contact the corporate Safety, Security and Resilience team. 3.6 Use of resources Employees are expected to ensure the proper, economic and efficient use of all public resources provided to enable employees to perform their duties effectively. Resources include individual s working time and equipment owned by the MRC. Employees should not misuse their position or the information acquired in the course of their work with the MRC to further their private interests or those of others. Version 3 Page 5 of 16

6 For advice contact Regional/Unit HR. 3.7 Use of IT resources IT and communication systems are provided for employees to be used in the course of their duties. Private use of the facilities is permitted in personal time outside core hours as long as it does not interfere with the ability of other users to access MRC systems for legitimate business purposes. The nature and length of private use will be important factors in determining whether such use is acceptable. Users must not use non-approved Internet chat/ /instant messaging facilities. Users must not use IT and communication facilities provided to engage in any inappropriate or illegal activity. This includes knowingly viewing, accessing, producing, storing, processing illegal or disturbing materials. For further information see the IT Code of Practice on the MRC Hub. 3.8 Use of Social Media For the purposes of this policy, social media is a type of interactive online media that allows parties to communicate instantly with each other or to share data in a public forum. This includes online social forums such as Twitter, Facebook and LinkedIn. Social media also covers blogs and video- and image-sharing websites such as YouTube and Flickr. Employees should be aware that there are many more examples of social media than can be listed and this is a constantly changing area. Employees should follow these guidelines in relation to any social media that they use The MRC encourages employees to make reasonable and appropriate use of social media websites through their work as it is an important part of how the organisation communicates with the public. Employees may contribute to the MRC s social media activities, for example by managing a Facebook account or running an official Twitter account The MRC recognises that many employees make use of social media in a personal capacity. Employees must be clear when acting in a personal capacity that they are not representing the views of the MRC and should not use the MRC s name in the title of their profile/blog. Employees should be aware that reputational damage to the MRC can still occur when acting in a personal capacity. The MRC recognises that employees may wish to enter genuine public debate on issues around their work, including the questioning and criticism of policy. This is acceptable providing this is expressed in a professional manner, and that employees do not imply they are representing the official position of the MRC when they are expressing their personal opinion Employees must be aware both as a professional and private user that they must not; Bring the MRC into disrepute Breach confidentiality Communicate anything that could be deemed discriminatory (this includes making offensive or derogatory comments relating to but not exclusively sex, race, nationality, religion, beliefs or age, posting offensive images or using it to bully or harass an individual) Version 3 Page 6 of 16

7 3.8.5 Employees should be aware that breaches of this policy may lead to disciplinary action. Serious breaches (for example incidents of bullying or social media activity causing serious damage to the organisation), may constitute gross misconduct. 3.9 Public transparency, Providing external advice or comment The MRC aims to be as open as possible in informing others about how we conduct our business through our publications, our website and face-to-face discussions. The MRC expects that all requests for information from members of the public, the research community and external stakeholders are handled in a timely manner and that any information requested will be made freely available unless there is a good reason not to do so. All websites and publications should be developed with this goal in mind and documents and reports should be prepared to allow them to be released wherever possible. However, MRC employees must recognise confidential and sensitive material and take appropriate actions to ensure it is appropriately managed MRC employees are encouraged to express and debate views freely and publicly on ideas, theories and developments relevant to their scientific expertise and professional competence. However employees should not comment publicly on MRC activities or policies, without previously consulting their Director and/or the Corporate Affairs Group at Head Office, (on behalf of the Chief Executive Officer), and should take care not to represent their personal views as those of the MRC. For further information see the Guidance for MRC units and institutes on responses to external consultations and inquires on the MRC Hub, the Confidentiality section 3.10 and Personal data section 3.11 below All employees should be aware of their obligations under the Freedom of Information Act 2000 (FOI) which grants a public right of access to information. Employees can be held criminally liable if it is found that they have frustrated a request for information made under the act. Further information, including the MRC Publication Scheme and guidance on exemptions to the Freedom of Information Act, is available on the FOI Hub pages and MRC website, or from the FOI Officer at Head Office or the FOI Liaison Officers in research units and institutes Confidentiality All employees have a duty to protect information which is held in confidence and not to divulge it to unauthorised persons. Due consideration must be given to the disclosure of information that might be considered to be confidential to any external organisations or individuals and in some instances it may be appropriate to seek approval or permission from their Director or the MRC Chief Executive Officer Employees are expected to follow the Government Protective Marking Scheme and MRC Information Security Policy to reduce the risk of unauthorised disclosure. These are available on the MRC Hub Examples of information that requires careful consideration include the following: Personal data/information (e.g. relating to MRC employees, MRC Board or Panel members, MRC award holders or research participants). Version 3 Page 7 of 16

8 Preliminary or pre-published research plans or results. Potential or protected intellectual property. Peer review material (e.g. research applications/proposals, peer review reports). Information which might compromise the health, safety or security of individuals, property or research resources. Information whose disclosure would prejudice the MRC s position in its conduct of active negotiations, litigation or investigations of misconduct Policy analysis and discussion papers. This list is not exhaustive. For further information see the Freedom of Information pages on the MRC Hub and MRC website Employees have a right to object against either the disclosure of information which they believe may cause them harm or against the protracted non-release of information which may impede their research or the operational effectiveness of the MRC. Employees should raise a grievance with their line manager in the first instance. Non- Employees should follow the MRC s complaints procedure. For further information for Employees see the MRC Grievance Policy on the RCUK Knowledgebase. For further information for non-employees please see the Complaints policy available on the MRC web site Personal data, the Data Protection Act and Information Security Employees should be aware of their obligations under the Data Protection Act 1998 (DPA) and the MRC s expectations in relation to the collection, storage, processing and disclosure of personal information The MRC has a specific policy on information security which includes obligations for encryption. Employees are required to complete information security training, and to follow the procedures for reporting loss of MRC information assets, both hardware and data. Further information and guidance, including the MRC s entry on the Data Protection Register, is available on the DPA MRC Hub pages, or from the Freedom of Information Officer, Information Security contacts at head office or DPA Liaison Officers in research units and institutes. The Information Security Policy can be found on the MRC Hub Contact with the public Employees who engage with the public should do so sympathetically, efficiently, promptly and without bias or maladministration. MRC employees should offer the highest standards of conduct and service. Employees should always be courteous, accurate and helpful when dealing with queries from the public. Version 3 Page 8 of 16

9 Enquires from members of the press should be forwarded to the MRC s Press Office. For further information see the Public Transparency section (3.9.) 4. Financial Propriety When dealing with financial matters employees and others working within the MRC are required to act with the highest standards of honesty and integrity in accordance with the law, professional standards and MRC procedures. Employees who are responsible for managing the MRC s resources must maintain the MRC s duty to use public funds only for authorised purposes in a transparent and fair manner. Waste or extravagance must always be avoided External funding to support research in MRC units should only be accepted with the approval of the Director. Specific attention is needed where the source or intended use of such funding has the potential to bring into question the MRC s scientific impartiality or otherwise damage the MRC s reputation, for example if the funder has a direct financial interest in one scientific outcome rather than another; or where the terms of an award would introduce restrictions, for example on publication. If there is any doubt, advice should be sought from the Corporate Affairs Group at Head Office. For more information see financial policies and procedures on the Knowledgebase and Handling Contracts (4.4). 4.2 Bribery & Fraud A bribe is an offer, promise, giving, demanding or acceptance of an advantage as an inducement for an action which is unlawful, unethical or a breach of trust. Under the Bribery Act 2010 accepting a bribe, bribing another or allowing bribery to take place are criminal offences and as such any suspected instances may be reported to the Police in addition to being addressed as disciplinary matters. See Gifts & Hospitality (4.3) below for further information Fraud is defined as the use of deception with the intention of obtaining an advantage, avoiding an obligation or causing a loss to another party. The term is used to describe such acts as forgery, extortion, corruption, theft, conspiracy, embezzlement, misappropriation, false representation, concealment of material facts and collusion. Fraud is a criminal offence under the Theft Acts 1968 and 1978 therefore instances will be reported to the Police in addition to being addressed as disciplinary matters The MRC aims to foster an environment in which opportunities for fraud are minimised and in which suspicions of fraud are reported. Allegations of fraud will be rigorously investigated, and the MRC will seek to recover assets lost and to take action against anyone found to have committed fraud. For more details see the Fraud and Bribery Policy on the RCUK Knowledgebase. 4.3 Gifts & Hospitality Employees should be aware that giving or receiving gifts, hospitality or other favours may constitute a bribe if it is found to be an inducement for an action that would Version 3 Page 9 of 16

10 provide an advantage to employees or other parties. Such a breach would be treated as a disciplinary offence and may constitute a criminal offence under the Bribery Act. Permission should be sought from the Director before gifts or hospitality are accepted and recorded on your Unit Gifts & Hospitality register. For more information see the MRC Gifts & Hospitality Policyon the RCUK Knowledgebase. 4.4 Handling Contracts Only designated employees may negotiate and enter into contracts or place orders on behalf of the MRC in accordance with the MRC s Delegated Authority Scheme. Designated employees will be informed of their delegated authority to do so. Employees should ensure that they have the appropriate authority to place orders or negotiate contracts on behalf of the MRC Employees whose work involves negotiation or contact with contractors, suppliers, customers, etc, should be scrupulous in avoiding any situation which might compromise the MRC, and in particular that create perceptions of undue influence or bribery. For more Information see the Delegated Authority document, the Fraud and Bribery Policy and the MRC Expenses Policy on the RCUK Knowledgebase. 5. External activities 5.1 Expectations on the conduct of employees when they are away from the work are limited to conduct that may affect the MRC s ability to carry out its business, or employees ability to do their jobs. Employees are deemed to be away from work when they are not engaged in any activity relating to the business of the MRC or attending functions at which they are representing the MRC. Examples of unacceptable conduct can be found in this section (5). For further information contact Regional/Unit HR. 5.2 Conflicts of interest Conflicts of interest arise where employees have personal, financial, civic or outside business interests that could potentially be furthered as a result of decisions they make on behalf of the MRC. Such conflicts can impinge upon, or be perceived by others to impinge upon, the impartiality and integrity of employees and/or the ability to make fair and transparent professional judgements Examples where conflicts of interest may arise: Participating in events where expenses are met by a sponsor. (see also Bribery & Fraud 4.2) Being in a position to take a decision on employment, payments, contracts, funding or awards to members of their family or other persons with whom they have a personal friendship or connection. Version 3 Page 10 of 16

11 Being unduly influenced by a secondary interest such as financial gain, personal gain or recognition. (See also Research Conduct 3.2) Having family business interests that may be furthered by the use of confidential information to which employees have access (see also Confidentiality 3.10) Should a real, potential or apparent conflict of interest arise, employees should declare it to their Director as soon as possible. Employees should also refrain from taking any decisions on behalf of the MRC or representing its interests until the matter has been addressed. In this situation please refer to the Declaration of Interest Policy. 5.3 Consultancy work The MRC recognises that other organisations may seek to draw on the expertise and knowledge of MRC employees. The MRC will therefore allow an employee to act as a consultant to an industrial firm or company where such a consultancy may be expected to provide benefits to the national economy, the MRC s scientific work or human health. External consultancy work should not impinge on an employee s ability to carry out their duties for the MRC. For further information see Annex B or for further advice contact your line manager, Director or regional/unit HR. Approval from your Director is required before entering into any consultancy agreement, for consideration, inter alia of potential for possible conflicts of interest, or perceptions of such. MRC usually limits external work-related activities to no more than 6 hours a week; examples of these include; Consultancies, Teaching and Editorial work. 5.4 Intellectual Property During the course of their duties employees working in the MRC are likely to make discoveries or inventions that can be exploited for the benefit of the public and to generate commercial return. These assets are known as Intellectual Property, and all such Intellectual Property is owned by the MRC (unless other formal arrangements have been made) Employees have a duty of confidentiality to the MRC and must refrain from premature disclosure or publication of research details or other intellectual property as this may severely prejudice the MRC s ability to utilise its potential for the benefit of public health and/or commercial return Employees should provide assistance and co-operation to MRC Technology when necessary in filing and prosecution of patent applications. For further information see the Intellectual Property Policy on the RCUK Knowledgebase. Version 3 Page 11 of 16

12 5.5 Political Activities Employees are free to take part in both national and local political activities provided that: a) you make it clear at all times that you do so in a personal capacity, and do not use your official position to further your political activities; b) your political activities do not interfere with the performance of your duties (except if special leave is allowed ) c) you do not divulge confidential information gained in the course of your official duties; and d) you consult with the Director before making any direct or indirect public reference (beyond a simple statement in manifestos or other public documents that you are employed by the MRC ) to the MRC, the department or establishment/unit, or the activities of these bodies. We expect employees to exercise special care to avoid becoming involved in political controversy on matters relating to MRC research programmes or other programmes supported by MRC Employees wishing to stand as candidates for public appointments, such as in local, national or European elections or for public bodies which may have dealings with the MRC, are required to give advance notice in writing to their Director. For further advice contact regional/unit HR. 5.6 Involvement in Legal Proceedings All employees owe the MRC a duty of mutual trust and confidence and should always act in good faith. Employees have an obligation to disclose to the MRC any conviction imposed by a court of law. A conviction is not in itself a reason for disciplinary action; consideration will be given to what effect, if any, the conviction has on the employee s ability to do their job and their relationship with the MRC/work colleagues. For further advice contact Regional/Unit HR. 6. After Leaving Employment 6.1 On leaving the MRC, employees are still bound by a duty not to use, gain from or divulge to any persons, firm, company or other organisation any information of a confidential nature belonging to the MRC or relating to its research, funding, affairs or dealings which may have come to their knowledge during their employment. For more information see the Conflict of Interest (5.2) and Intellectual Property (5.4) sections of this code. 7. Reporting breaches of policy ( Whistleblowing ) 7.1 All employees are required to report any instances of breaches of conduct as outlined in this Code or any other illegal or unethical behaviour in the workplace. Employees should report such matters to their line manager, unless the concern involves this Version 3 Page 12 of 16

13 person, in which case employees must report their suspicions to the next highest level of authority without notifying the person concerned. Alternatively employees may contact the Corporate Directors of HR or Finance; or the Chair of the Council Audit, Risk and Assurance Committee may be contacted. 7.2 The MRC will address any concerns raised in a sensitive and timely manner. All matters raised will be investigated thoroughly and those raising the issues will be kept informed as appropriate. 7.3 Employees have a statutory right to disclose information where they believe there has been or is likely to be an occurrence of a criminal offence, failure to comply with a legal obligation, miscarriage of justice or endangerment of health and safety. 7.4 The MRC will ensure that those making disclosures are protected from victimisation or detriment as a result of making a disclosure. 7.5 Disciplinary action, up to and including dismissal, will be considered if allegations are found to be made maliciously (i.e. not made in good faith). For more information, see the Whistleblowing Policy on the RCUK Knowledgebase. 8. Related documents MRC Complaints Policy MRC Declaration of Interest Policy MRC Disciplinary Policy and Procedure MRC Equality & Diversity Policy and relevant MRC Hub pages MRC Harassment and Bullying Policy and Procedure MRC Health & Safety at Work Policies and Procedures MRC IT Code of Practice MRC Guidance for MRC units and institutes on responses to external consultations and inquires MRC Gifts & Hospitality Policy MRC Financial Policies and Procedures MRC Fraud Policy Statement MRC Expenses Policy MRC Delegated Authority Document MRC Intellectual Property Policy MRC Good Research Practice guidance MRC Research Misconduct Policy MRC Whistleblowing Policy MRC Data Protection and Security Policy MRC Freedom of Information Hub Pages and pages on the website MRC Information Security Policy 9 Effective date 9.1 This policy is effective from 1st December Review date 10.1 This policy will be formally reviewed in June 2016 Version 3 Page 13 of 16

14 11. Amendment history Version Date Comments/Changes Last updated Full review Updated in response to comments from HR community and OB Updated with further comments from OB. 2.0 Dec 2011 Updated with comments from TU side. 3.0 Dec 2014 Updated after full review from HO and OB Version 3 Page 14 of 16

15 Annex A 7 Principles of Public Life: Selflessness Holders of public office should act solely in terms of the public interest. Integrity Holders of public office must avoid placing themselves under any obligation to people or organisations that might try inappropriately to influence them in their work. They should not act or take decisions in order to gain financial or other material benefits for themselves, their family, or their friends. They must declare and resolve any interests and relationships. Objectivity Holders of public office must act and take decisions impartially, fairly and on merit, using the best evidence and without discrimination or bias Accountability Holders of public office are accountable to the public for their decisions and actions and must submit themselves to the scrutiny necessary to ensure this. Openness Holders of public office should act and take decisions in an open and transparent manner. Information should not be withheld from the public unless there are clear and lawful reasons for so doing. Honesty Holders of public office should be truthful. Leadership Holders of public office should exhibit these principles in their own behaviour. They should actively promote and robustly support the principles and be willing to challenge poor behaviour wherever it occurs.. Version 3 Page 15 of 16

16 Annex B Further information on Providing external advice/comment or consultancy The MRC expects employees to contribute to the broader endeavours of scientific research and translation relevant to its mission statement. MRC recognises that other organisations may seek to draw on the expertise and knowledge of MRC employees, for example, for teaching, reviewing research grants, acting on advisory bodies, or acting as an independent consultant. Employees have a contractual obligation to pay to the MRC income or payments received in respect of activities undertaken by them which are part of the mission of the MRC or the Unit, however, employees are allowed to retain payments (less the cost of any MRC resources used) for professional activities undertaken in a personal capacity in their own time, but must get the permission of the director where there is possible conflict of interest or a possibility of a perception of such. In the case of industrial or other independent consultancies, these should not: create a conflict of interest; be detrimental to the MRC; lead to additional work for other employees. Any such activity must be covered by a written agreement which governs the scope of the consultancy, manages the risks, limits MRC liability, and is subject to the obligations and restrictions detailed above. When employees are invited to provide advice or information to Government as members of an advisory committee they will usually be invited in a personal capacity and be expected to act in the public interest. They will need to be familiar with the Code of Practice for Scientific Advisory Committees. HR. Employees can seek further advice from their line manager, Director or regional/unit Version 3 Page 16 of 16