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Code of Conduct for CILEx Regulation Board Members: Ethics and Accountability, Schemes and Mind Maps of Law

The Code of Conduct for members of the CILEx Regulation Board, which includes promises to uphold accountability, integrity, transparency, and the Nolan 7 Principles of Public Life. Board members are expected to act selflessly, with integrity, objectively, accountably, openness, honesty, and leadership. The document also covers handling conflicts of interest, personal gain, person-to-person relationships, and protecting the organization's reputation.

What you will learn

  • What are the Nolan 7 Principles of Public Life, and how do they apply to CILEx Regulation Board members?
  • What are the fundamental values that CILEx Regulation Board members must uphold?
  • What steps must Board members take to handle conflicts of interest?

Typology: Schemes and Mind Maps

2021/2022

Uploaded on 09/12/2022

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Code of Conduct for Board members
As a member of the Board, I promise to abide by the fundamental values that
underpin this organisation. These are:
Accountability
Everything CILEx Regulation does will be able to stand the test of scrutiny by the
public, the media, regulators, CILEx and its members, other stakeholders, and the
courts.
Integrity and honesty
These will be the hallmarks of all conduct when dealing with colleagues within CILEx
Regulation and CILEx and equally when dealing with individuals and institutions
outside it.
Transparency
CILEx Regulation strives to maintain an atmosphere of openness throughout the
organisation to promote confidence of the public, consumers, stakeholders, staff,
regulators and Parliament.
The Nolan 7 Principles of Public Life
1. 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.
2. 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.
3. 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.
4. 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.
5. Openness
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Code of Conduct for Board members

As a member of the Board, I promise to abide by the fundamental values that underpin this organisation. These are:

Accountability

Everything CILEx Regulation does will be able to stand the test of scrutiny by the public, the media, regulators, CILEx and its members, other stakeholders, and the courts.

Integrity and honesty

These will be the hallmarks of all conduct when dealing with colleagues within CILEx Regulation and CILEx and equally when dealing with individuals and institutions outside it.

Transparency

CILEx Regulation strives to maintain an atmosphere of openness throughout the organisation to promote confidence of the public, consumers, stakeholders, staff, regulators and Parliament.

The Nolan 7 Principles of Public Life

  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.

  1. 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.
  2. Leadership Holders of public office should promote and support these principles by leadership and example.

Additionally, I agree to the following:

Law, mission, policies

  • I will endeavour not to break the law or company regulations in any aspect of my role as a Board member.
  • I will support any mission developed by the Board and consider myself its guardian.
  • I will abide by organisational policies.

Handling conflicts of interest

  • I will always strive to act in good faith and in the best interests of the organisation.
  • I will complete an annual return for the organisation’s register of interests and ensure that it is kept up to date if there are any changes in year. Where I have an interest where it is reasonably likely during my tenure that a conflict could arise, I will provide a fuller explanation of the interest, to assist with managing the potential conflict.
  • I will declare any conflict of interest, or any circumstance that might be viewed by others as a conflict of interest, as soon as it arises.
  • I will follow the guidance on conflicts of interest contained within Standing Orders.
  • I will inform the Chair, as soon as is practicable, if I am considering or actively seeking other work or roles which may be perceived either as having a potential conflict of interest, or as in competition with CILEx Regulation, and will submit to his/her judgement on what action will be appropriate. If necessary, the Chair will keep such conversations confidential.
  • Where I have a direct pecuniary interest, either particular to me, or where a member of my family may have a direct pecuniary interest, I will declare it at the start of the meeting, or as soon as I realise there may be a conflict and will submit to the judgement of the Chair and the Board on whether I take part in the discussion and decision.

In the boardroom

  • I will strive to embody the principles of leadership in all my actions and live up to the trust placed in me by CILEx Regulation.
  • I will abide by board governance procedures and practices.
  • I will strive to attend all board meetings, giving apologies ahead of time to the Chair, if unable to attend.
  • I agree to attend a minimum of 75% of Board meetings (including teleconferences) each year and accept that failure to reach this level may mean that I am asked to leave the Board.
  • I will study the agenda, board papers and other information sent to me in good time prior to the meeting and be prepared to debate and vote on agenda items during the meeting.
  • I will honour the authority of the Chair and respect his/her role as meeting leader.
  • I will engage in debate and voting in meetings according to procedure, maintaining a respectful attitude toward the opinions of others while making my voice heard.
  • I will accept a majority board vote on an issue as decisive and final.
  • I will maintain confidentiality about what goes on in the boardroom unless authorised by the Chair or Board to speak of it.
  • I accept collective responsibility for Board decisions, including representing these decisions in contact with stakeholders and other bodies, even where I do not personally agree with them. If I am unable to support Board decisions in this way, then I will resign from the Board.

Enhancing governance

  • I will participate in induction, appraisal, training and development activities.
  • I will continually seek ways to improve Board governance practice.
  • I will support the Chair in his/her efforts to improve his/her leadership skills.
  • I will support the CEO in his/her executive role and, with my fellow Board members, be involved in appraisal and appointment processes including seeking development opportunities for him/her.

Internal Governance Rules

  • I will abide by the Legal Services Internal Governance Rules.
  • I will ensure that I am aware of my responsibilities under the Internal Governance Rules.
  • I recognise that intentional, reckless or repeat breaches of the Internal Governance Rules would likely be viewed as a substantial breach of this Code of Conduct.

Leaving the Board

  • I understand that substantial breach of any part of this Code may result in my removal from the Board.
  • Should I resign from the Board, I will inform the Chair in advance in writing and, except in exceptional circumstances and with the permission of the Chair, give 3 months’ notice and state my reasons for resigning. Additionally, I will participate in an exit interview.
  • The Chair, subject to following agreed procedures, may terminate a Board member’s appointment on the grounds of failure to attend meetings, of insolvency, of physical or mental incapacity, of criminal caution or conviction or of conduct that, in the Chair’s opinion with Board endorsement, makes it inappropriate that he/she remains a Board member.
  • Once I have left the Board, I will ensure that I maintain the confidentiality of matters discussed within the Board by not speaking or disclosing anything about, the work or workings of CILEx Regulation, CILEx, Board members or staff.
  • Once I have left the Board, I will ensure that all confidential papers in my possession are either destroyed or returned to the office, confirming in writing that I have done so.

Approved by the Board: 30 September 2010 Last reviewed: 11 May 2021