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Applying ethical governance

Find the various ethical governance procedures and practices across the council.

The following information identifies the areas where awareness and training is required and a brief overview of the aims and objectives.

Combined Impact Assessment (CIA) and Equality Impact Assessment (EIA)

The Combined Impact Assessment (CIA) is a simple self-assessment tool to help officers think about how their policies, strategies, projects, procurements, commissioning and services might impact on our communities. 

Find more in the Combined Impact Assessment Toolkit (SharePoint).

Equality Impact Assessment (EIA)

The People Screening Assessment in the CIA is designed to ensure that decisions and changes do not discriminate against people protected by the Equality Act (protected characteristics) and other groups who the Council has voluntarily given protected characteristic status.

The Screening and Full EqIA looks at adverse treatment. This is where someone (or a group) is adversely affected by a decision compared to another group. For instance – a housing policy that assumes a fixed address and does not account for many in the Gypsy Roma and Traveller community.

Adverse treatment can be conscious (direct discrimination) and not conscious (indirect discrimination). All direct discrimination is unlawful. Indirect discrimination is also unlawful unless the adverse treatment is assessed and justified.

A Full EqIA is carried out where there is a reasonable concern that a decision, policy, service or function may have a substantial impact on one or more protected characteristics.

Complaints procedure

We believe passionately in the delivery of excellent public services and is committed to putting our customers first. The authority is dedicated to listening, involving and engaging residents and using feedback to drive change, learning and improvement.

You can find out more about how to dealing with complaints and the policy covers.

Contract management

This part of the contract management process will provide officers who are responsible for the day-to-day management of goods, works or services contract, with guidance on contract management procedures.

Support and guidance can be sought from the Procurement team.

Corporate health and safety

We have a duty under the Health & Safety at Council constitution Work Act 1974 to protect the health and safety of its employees and other people (e.g. service users and members of the public) who may be affected by Council activities.

Access to the Corporate Health and Wellbeing SharePoint site where all information on health and safety, including a copy of the Corporate H&S Policy 2023, can be found on the health and safety pages.

Corporate risk management

The Risk Management Framework sets out how we will manage risk across the council. It is a set of practices and principles which staff and elected members are required to implement to help us deliver its vision.

There is an eLearning module available on iLearn that covers Risk Management.

Council constitution

Our constitution sets out how we operate, how we make decisions and the procedures we follow to ensure that we are efficient, transparent and accountable.  Some of the processes are required by law, others ensure we operate effectively.

Read a copy of the constitution.

Cumberland appraisal

We recognise that our employees are integral to achieving our council priorities, vision, values and target operating model. 

Everyone needs to be able to perform to their best and have the opportunity to learn, grow and progress in their careers and feel valued for their contribution to the overall success of the council. In order to thrive at work, all employees need to be involved in regular strength-based conversations with their manager throughout the year about the work they do, how they feel about it and where they may need help, support and guidance.

The introduction of this Cumberland employee appraisal process across Cumberland Council provides a simple structure to support an annual review and summary of these regular conversations, capture progress and key achievements against personal, team and service priorities and look towards new ones for the following 12 months.

Read more about the appraisal process.

Data protection

Effective service delivery and compliance with legal obligations is dependent on the lawful collection, use and disposal of data that identifies people, this includes personal, sensitive personal or criminal/law enforcement data (‘person identifiable data’).   

The council is a large, complex organisation, and is required to comply with data protection legislation, including (but not limited to):

This extends to Elected Members, employees or contractors who are likely to have access to person identifiable data about employees, customers, clients, residents and visitors.  

Whether you work in an office, from home or deal with customers face-to-face, you have a personal responsibility to ensure that this data is always kept secure, and that the privacy of individuals is protected.

An eLearning course is mandatory for all staff as part of their induction and is designed to raise awareness of security and data protection issues, in four separate modules.

Decision making and report writing

We have many functions and responsibilities which requires decisions to be taken by the right person at the right time in the right way in accordance with the council’s constitution.

Fraud awareness

We take the responsibility for safeguarding public monies seriously and has a zero-tolerance approach to fraud; bribery and corruption; money laundering and tax evasion. 

Fraud and corruption reduce the resources available to deliver council services to those people who depend on us. Failure to put in place effective measures to counteract financial irregularities may also damage the council's reputation.

Read more about fraud awareness.

Officer code of conduct

The Code of Conduct outlines existing laws, regulations and conditions of service, and provides officers with guidance to assist them in their day-to-day work including fraud or corruption, hospitality and gifts and related party transactions.

Performance management

Performance management is a crucial tool for achieving objectives, continually improving services and ensuring that the Council is providing value-for-money services to its residents. This means that performance management is integral to the role of every Council Officer rather than the sole responsibility of a particular individual or department.

Managers at all levels should:

  • Contribute to and produce relevant plans and objectives which contribute to the Council Plan
  • Inform planning, resourcing, quality management and service delivery
  • Identify, mitigate and escalate risks as appropriate.
  • Provide data in accordance with performance reporting requirements.
  • Seek support to improve performance, review systems and processes, and manage risks.
  • Manage staff performance and undertake appraisals
  • Facilitate and apply learning.
  • Encourage staff to seek support when needed to improve performance and provide support when requested.

Setting performance measures

The Council has a responsibility to ensure its data is a true and accurate reflection of the services it delivers, particularly as these support funding applications, key decision making and targeting of resources.  The development of performance measures is a key management process which requires input and ownership from all those with responsibility for collecting, storing and reporting performance measure data.

Links to the Council’s Performance Framework include the following

Procurement

Procurement fraud is any unlawful activity at any stage of the procurement cycle, from the decision to procure, to the conclusion of the contract. It includes the purchase and commissioning of goods, works and services by the council. It can be perpetrated by those inside or outside the organisation.

Read more about procurement processes.

Regulation of Investigatory Powers Act

Codes of practice and guidance for making an application under the Regulation of Investigatory Powers Act (2000).  Recent changes coming in to force from December 2023.

These help public authorities assess and understand whether, and in what circumstances, it is appropriate to use covert techniques.

The codes also provide guidance on what procedures need to be followed in each case. All RIPA codes must be approved and debated in both Houses of Parliament and published.

There is an eLearning module available on iLearn that covers The Regulation of Investigatory Powers Act 2000.