The Nolan principles are seven rules that describe how people in public office should behave and the ethical standards they should uphold. They apply to all school governors because they apply to anyone elected or appointed to public office.
They are named after Lord Nolan who chaired a committee in 1995 which examined standards in public office.
A school may ask new governors to sign a form to say they will follow these seven principles, usually by incorporating them into the code of conduct.
Seven Principles of Public Life
The seven principles set out by the Nolan committee are shown below. They can also be seen on the gov.uk website here.
All rules stem from the fact that “all public office-holders are both servants of the public and stewards of public resources”. In other words, they are working on behalf of the public and spending public money.
1. Selflessness
Holders of public office should act solely in terms of the public interest.
2. 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.
3. Objectivity
Holders of public office must act and take decisions impartially, fairly and on merit, using the best evidence and without discrimination or bias.
4. 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.
5. 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.
6. Honesty
Holders of public office should be truthful.
7. 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.
Are the seven principles statutory in maintained schools?
Statutory guidance for maintained schools says that boards are advised to ask governors to agree to the Nolan principles, but it does not say schools must ask governors to agree to them.
“It is advised that governing bodies make everyone involved in governance aware of, and secure their agreement to ‘The 7 principles of public life’, as set out by Lord Nolan.”
The Constitution of Governing Bodies of Maintained Schools: Statutory Guidance
However, be aware that although the Nolan principles themselves do not appear in the law and are not mandated by statutory guidance, many of the principles are reflected in legislation, so governors will have to follow them whether they specifically sign up to them or not.
For example, the Freedom of Information Act 2000 requires schools to release recorded information unless an exemption applies, so that reflects principle 5.
Law for maintained schools also says governors must act with “integrity, objectivity and honesty”, act in the best interests of the school and be open about decisions they make, reflecting many of the seven principles.
“In exercising their functions the governing body shall—
(a) act with integrity, objectivity and honesty and in the best interests of the school; and
(b) be open about the decisions they make and the actions they take and in particular shall be prepared to explain their decisions and actions to interested parties.”
Roles, Procedures and Allowances (England) Regulations 2013
The law also requires governors to withdraw from a vote if they have a conflict of interest so they do not gain personally from the decisions they take at school.
Are the seven principles statutory in academies?
The Academy Trust Handbook includes adherence to the seven principles of public life in its “schedule of requirements”, the list of “musts” that trusts must follow.
“Part 8: Schedule of requirements (the ‘musts’)
– Adhere to The 7 principles of public life.”
Academy Trust Handbook
The Academy Trust Handbook explains that all trusts must comply with the “musts” in the Handbook or they risk breaching their funding agreement.
“Academy trusts must comply with this handbook as a condition of their funding agreement.”
Academy Trust Handbook
There is also a specific mention of the Nolan principles in the section of the Handbook that covers conflicts of interest. Academy trustees must avoid conflicts of interest and promote “integrity and openness in accordance with the seven principles of public life”.
“The board of trustees must ensure requirements for managing related party transactions are applied across the trust. The board chair and the accounting officer must ensure their capacity to control and influence does not conflict with these requirements.
“They must manage personal relationships with related parties to
Academy Trust Handbook
avoid both real and perceived conflicts of interest, promoting integrity and openness in accordance with the 7 principles of public life.”
Nolan Principles In Codes of Conduct
The most common way to ask governors to agree to the Nolan principles is by including them in a code of conduct. Codes of conduct are not mandatory for school governors, but the Nolan committee stated that “all public bodies should draw up codes of conduct incorporating these principles”.
If you use the National Governance Association (NGA) code of conduct (available here) the Nolan principles are incorporated into the text, so any governor who signs the code of conduct has agreed to abide by the seven principles.
What happens if a governor breaches the principles?
The NGA code of conduct explains that a breach of the code could lead to “formal sanctions” – in other words, the board could consider suspending or removing the governor from their post.
This is also reflected in statutory guidance for maintained schools, which says that a sufficiently serious breach of the Nolan principles could be seen as “serious misconduct” and the board could consider removing that governor as a result.
“Examples which could give rise to removal are where:
(a) there have been repeated grounds for suspension;
(b) there has been serious misconduct. Governing bodies should decide what constitutes serious misconduct based on the facts of the case. However, it is expected that any actions that compromise the Nolan principles, if sufficiently serious, would be considered in scope of this reason for removal.”
The Constitution of Governing Bodies of Maintained Schools: Statutory Guidance