Note prepared by Government Skills, Department
for Innovation, Universities and Skills
BACKGROUND
The Regulatory Reform Committee has raised the
issue about whether departments currently provide sufficient incentives,
including career progression, for Better Regulation principles
to be widely adopted and promoted in practice, and whether a lack
of training in those areas could act as an obstacle to Better
Regulation. The Committee Inquiry Manager wrote to Gill Rider,
Director General, Civil Service Capabilities Group, Cabinet Office
to request a brief note detailing to what extent senior civil
servants received training to enable them to be fully cognisant
of the importance of regulatory issues in the current scheme of
things.
INTRODUCTION
This note seeks to provide the Committee with
useful background on the relationship between the standards of
performance for senior civil servants set out in the Professional
Skills for Government competence framework and the Better Regulation
agenda. The PSG standards of performance drive individual decisions
about skills development. The note sets out some thoughts on the
relative value placed on different types of experience and how
they relate to career progression. And finally, it also addresses
the training provision available through the National School of
Government.
PROFESSIONAL SKILLS
FOR GOVERNMENT
All Senior Civil Servants are required to demonstrate
and maintain competence against skill areas set out in the Professional
Skills for Government competence framework. Training for members
of the Senior Civil Service is targeted at supporting skills development
in line with this framework. The competence framework sets out
effective performance standards for a range of core and professional
skills. Gaining broader experience is also a part of the framework
for senior civil servants and work is in train to develop, by
profession, criteria for what counts as broader experience appropriate
to the role.
For those in policy delivery roles, there are
explicit references to the need to understand and work with the
better regulation agenda. In particular, Impact Assessments are
seen as a key source of evidence for effective performance against
the standards in the framework. These standards are attached at
annex a.
In addition, the core skill of Analysis and
Use of Evidence (see annex b) has been developed with the wider
analytical community in Government. Competence in this skill supports
the regulatory reform agenda, because the standards require senior
civil servants to demonstrate that they are equipped to make sound,
evidence based decisions as part of both the policy making and
operational delivery cycle. The standards demand effective stakeholder
engagement and appropriate risk management related to the quality
of the evidence available. The work of the BRE has identified
that the analytical community within Government is a critical
partner in the delivery of the regulatory reform agenda.
BROADER EXPERIENCE
Alongside the competence framework, senior civil
servants are also required to demonstrate broader experience.
The decision taken by Permanent Secretaries Management Group in
July 2007 to reform the broader experience criteria within SCS
recruitment, allows entry and advancement criteria to be set on
a profession by profession basis. This is critical to building
a range of skills and in fostering a broader perspective which
is often critical to really effective performance in senior roles.
Sir Brian Bender, Permanent Secretary of Department for Business,
Enterprise and Regulatory Reform, also chairs the Professional
Skills for Government Programme Board as Head of the Policy Delivery
Profession. On 27 November 2007 he wrote to colleagues to set
out criteria for broader experience as they apply to fast streamers.
By 2012 all new entrants to the SCS will have to satisfy the broader
experience criteria as they apply to their profession.
Individuals will gain this broader experience
by undertaking a substantial role in another organisation. For
those in policy delivery roles, this must be in an organisation
engaged in operational delivery. The thinking behind this stipulation
is that those responsible for developing government policy, including
its regulatory aspects, need to have first hand experience of
delivery to help them do their jobs effectively. The 2012 application
of broader experience criteria in relation to SCS recruitment
has been set to allow individuals to take up the right kind of
opportunities so that there are sufficient numbers of people at
the right level with the right kinds of experience.
Tables showing the numbers of SCS who have worked
in other sectors and showing what professional groupings they
belong to are attached at annex c.
RECOGNITION OF
ACHIEVEMENT IN
THE BETTER
REGULATION AREA
FOR CAREER
PROGRESSION
We do not specify active adoption and promotion
of better regulation as a key criterion for civil service progression
but nor do we specify involvement in Bill teams as a general criterion
for progression.
Appointments and progression in the Civil Service
are subject to the Civil Service Order in Council 1995 and the
recruitment Code issued by the Civil Service Commissioners. This
gives assurance that all appointments, including promotion of
existing civil servants, are made on merit and on the basis of
fair and open competition. The experience, qualifications, skills
and qualities required to carry out any senior role are clearly
identified. All applicants are considered equally on merit at
each stage of the selection process and selection must be based
only on criteria relevant to the job.
TRAINING PROVISION
A range of provision is offered by the National
School of Government in support of the development and maintenance
of these skills. The National School of Government (and its predecessors)
has worked closely with the Better Regulation Executive (and its
predecessors) for many years. Through personal contacts, meetings
and workshops with the BRE, the National School has kept its own
knowledge of Impact Assessments comprehensive and current in order
that in its training it can ensure that what it teaches is both
up to date and relevant, reflecting the views and emphasis of
the BRE.
For example, following the most recent revision
of the Impact Assessment (as it changed from being the Regulatory
Impact Assessment) the National School provided a series of events
on the new Impact Assessment process and its application. These
were delivered to individuals across main government departments
who had been identified by the BRE as being instrumental in the
successful implementation of the new regime. These took place
from May to November 2007.
More generally, in all its courses which cover
policy development and implementation the National School includes
some teaching on the Impact Assessment approach. This will explain
the role of Impact Assessment in the development and implementation
of policy and the way in which this dovetails with any generic
policy process. The National School is also at pains to emphasise
the importance attached by the Government to the correct use of
the Impact Assessment process, including, for example, the role
of the Ministerial Sub-Committee, the Panel for Regulatory Accountability
(ED(PRA)) and the need to provide Impact Assessments alongside
legislation and consultation documents. Such courses include,
for example, "The Policy Environment" in the Senior
Entrants' Programme, aimed specifically at those recruited into
the civil service at old Grade 7 and above.
Government Skills
June 2008
Annex A
SCS PAY BAND 1 SKILLS FOR POLICY DELIVERY
POLICY DELIVERY
1. Ensure staff understand Parliamentary
process and the roles of Ministers and civil servants, and influence
effectively, as appropriate, at EU level.
2. Explain the delivery mechanisms for policies
and how they fit with those elsewhere in the organisation and
beyond.
3. Propose realistic, innovative and evidence
based ways to deliver new objectives effectively and in line with
RIA[49]
requirements.
4. See delivery as an integrated part of
policy development and ensure your team work effectively with
all parts of the delivery chain.
5. Lead the work to ensure policies, programmes
and services stay on track and, where possible, constantly improve.
6. Ensure that there is an effective relationship
with delivery partners to monitor delivery.
To meet this requirement you need to be able
to...
understand and explain the Department's responsibilities
in supporting and serving Ministers, ensuring proper accountabilities,
handling Parliamentary business and EU negotiations and processes;
and provide evidence of...
— efficient handling of Parliamentary
business (including bill work) in your area;
— supporting Ministers for select committees;
and
— leading a team and influencing effectively
at EU level;
understand and explain the range of central
Government functions and services which support, contribute and
impose requirements on the development and operation of a policy
delivery chain; and provide evidence of...
— involving appropriate stakeholders
from Government services and associated bodies (eg HR, Stats,
OGC); and
— ensuring your policy teams include
consideration of Government mechanisms with an interest in delivery;
understand and explain the characteristics of
the delivery chains for your policy area and the impact engagement
with the delivery chain has on the design of the policy; and provide
evidence of...
— dealing with issues arising as a
policy progresses, revisiting the design and altering objectives
accordingly with reference to stakeholders;
— extracts from RIA documentation;
— significant (and early) relationships
between policy teams and aspects of the delivery chain;
— joint working/problem solving with
deliverers; and
— RIA documentation reflecting delivery
impacts;
understand and explain the contribution the
policy team makes to programme design and the continuing role
of policy staff in keeping programmes aligned with policy objectives;
and provide evidence of...
— programme briefs reflecting policy
objectives and RIA; and
— contribution to managing and monitoring
processes;
understand and explain how the team has established
an evaluation framework and the arrangements for working with
delivery partners to gather evaluation data and use it to improve
delivery; and provide evidence of...
— evaluation documentation and arrangements
for collection of data; and
— use of evaluation to improve delivery,
learning lessons, communicating to others.
POLICY DESIGN
1. Steer the design of a range of policies
taking account of legal environment, EU considerations, and guidance
on policy/regulatory appraisal.
2. Confirm that advice, recommendations
and actions within your area of responsibility take account of
what is effective in delivering policy outcomes on the ground.
3. Ensure that teams within your area of
responsibility have the ability to create a range of policy options
and know how to evaluate them, based on the evidence.
4. Apply lessons learned from success and
failure across different policy areas.
5. Ensure that your team identifies and
anticipates risks in devising policies.
6. Ensure the establishment of inter-disciplinary
teams with appropriate mix of skills.
To meet this requirement you need to be able
to...
understand and explain how to motivate and steer
policy teams through the policy process towards achieving strategic
goals and ensure disciplinary mix is appropriate to the policy
issue; and provide evidence of...
— working with a variety of policy
issues at various stages in their development; and
— effective involvement and engagement
with a range of disciplines;
understand and explain the broader effects and
impacts of legal, environmental, EU, international considerations
and the practical significance of guidance and best practice affecting
policy design, ensuring its effective application; and provide
evidence of...
— keeping up to date with trends and
guidance; and
— inputs and guidance to policy work/advice
ensuring such factors are considered;
understand and explain how to ensure that both
delivery expertise and customer needs are included in the early
stages of the policy process and reflected in policy outcomes;
and provide evidence of...
— effective relationships with delivery
stakeholders and their input to early stages of policy development;
and
— advice and proposals balancing delivery
considerations against policy aspirations;
understand and explain the variety of sources
of high level risk to policy success, how to ensure that opportunities
are identified and that all such issues are prioritised and addressed
and reflected in policy advice and the RIA; and provide evidence
of...
— input to policy advice which highlight
or suggest investigating broader/high level (eg to the Department
or other policies); and
— policy documents or RIAs specifying
a variety of risks/opportunities and measures to mitigate them;
understand and explain how to ensure that the
development of policy options draws on all relevant sources of
knowledge/evidence, has considered innovative solutions, applies
lessons learned and addresses all the risks and issues identified;
and provide evidence of...
— regular (challenging/critical) discussion
with policy teams on evidence needs, impact assessment, legal
advice etc. and thoroughness; and
— higher level contact with stakeholders,
deliverers, analysts at appropriate times.
SECTOR KNOWLEDGE
1. Identify areas that need cross-cutting
work and develop effective solutions.
2. Demonstrate an awareness of other strategies
being delivered in the sector and identify opportunities to work
together.
3. Identify the different strands of knowledge
and expertise that need to be drawn on in addressing issues in
your sector.
To meet this requirement you need to be able
to understand and explain...
— an overview of the sector, covering
the main pressures and influences and all the Government policies
which have an impact and how the direct and indirect (eg taxpayer,
wider public) customer is impacted;
— the trends and developments within
the sector, the potential impacts on and from other policies,
and issues affecting sustainability;
— how to identify the opportunities
that exist and emerge for partnerships and cross cutting work;
and
— the main sources of knowledge and
expertise which inform the sector and how to access and involve
them in policy processes.
And provide evidence of...
— background documents/briefings;
— meetings, reading, network etc which
support keeping up to date;
— discussions etc with related policy
leads and examples of building cross-cutting linkages;
— advice given to other teams/Departments/Ministers;
— attendance at events, meeting conferences
etc; and
— contact with customers and their
representatives.
PARTNERSHIP WORKING
& STAKEHOLDER MANAGEMENT
1. Work with Ministers and their private
offices to ensure policy meets their expectations.
2. Facilitate relationships with a range
of people across government, the wider public sector and the EU
who will or may be affected by issues within your area, and ensure
effective engagement at EU level.
3. Develop and encourage relationships between
individuals, teams and business units inside your organisation
and beyond, and know how and when to contribute to cross cutting
work.
4. Set clear expectations of your team to
proactively engage, support and develop relationships with partners/stakeholders.
5. Build and use external networks and media
to champion Departmental or Agency services and successes.
To meet this requirement you need to be able
to...
understand and explain how to work effectively
with Ministers and their private offices; and provide evidence
of...
— good quality oral and written briefing
for Ministers;
— effective support for events, meetings
and decisions from policy teams; and
— a variety of policy work reflecting
Ministers needs, and feedback from PO/Ministers;
understand and explain how to work effectively
with other Government Departments, the wider public sector and
the EU to gain co-operation and make contributions in all relevant
policy areas, and how to influence and work effectively with external
stakeholders; and provide evidence of...
— a range of productive relationships
and networks across the public sector and the EU;
— resolving tricky issues across organisational
and sector boundaries;
— representing the Department at a
variety of meetings/events; and
— leading teams representing and influencing
across boundaries and at EU level;
understand and explain the principles of effective
consultation and the value it can add to relationships and policy
development; and provide evidence of...
— well managed consultation exercises;
and
— benefits realised through consultation.
SCS PAY BAND 3 SKILLS FOR POLICY DELIVERY
POLICY DELIVERY
1. Ensure that the vision and structure
of the organisation support an integrated approach to policy delivery
and regulation.
2. Ensure that the organisation monitors
the complete delivery chain effectively, setting standards, ensuring
they are met and facilitating change.
3. Ensure that the delivery of policy in
your organisation is evaluated.
To meet this requirement you need to be able
to...
understand and explain how your organisation
integrates policy design, delivery and regulation in its structures
and strategies; and provide evidence of...
— developing and promoting a vision
which supports an integrated approach to policy delivery and regulation;
and
— facilitating organisational change
to promote an integrated approach to policy delivery;
understand and explain how to set and maintain
standards for the organisation which ensure consistency along
the delivery chain, including formal role as SRO; and provide
evidence of...
— active involvement in design and
operation of monitoring systems, including sanctioning corrective
action; and
— interventions in programme as SRO
on standards;
understand and explain the resources and systems
needed for high quality evaluation of policy work and policy outcomes
and benefits realisation; and provide evidence of...
— effective evaluation of policies;
and
— allocating resources and specialists
to evaluation.
POLICY DESIGN
1. Align the organisation's strategies and
resources with those of the Government.
2. Encourage innovation and well managed
risk taking in policy initiation, based on evidence and analysis,
and remove obstacles to better policy design.
3. Clearly define and monitor levels of
accountability and responsibility for policies, decisions and
actions.
4. Ensure your organisation continuously
uses lessons learned to improve policy design and embeds risk
management effectively into its processes.
To meet this requirement you need to be able
to...
understand and explain the Government's priorities
and the pressures and influences which affect them; strategies
for influencing and promoting Government strategies as they relate
to your policy responsibilities and make effective contributions
to other policies; and provide evidence of...
— high level input to the formulation
of policy;
— steering policies to further Government
priority areas; and
— organisation's strategy documents
which reflect Government priorities;
understand and explain how to structure organisational
resources, communications and skills to reflect priorities; and
provide evidence of...
— leading and steering organisational
changes and bids for resources, internally and externally;
understand and explain principles and benefits
of high level risk management and the organisational cultures
which support innovation and challenge in the design of policies;
and provide evidence of...
— removing obstacles to well managed
risk taking;
— encouraging and supporting risk takers
and the use of best practice in risk management; and
— risk taking behaviour which demonstrates
principles in actively managing high level risk;
understand and explain how to identify and analyse
the accountability chain for policies, decisions and actions within
your organisation; and provide evidence of...
— applying the principles of public
accountability within the structures and monitoring arrangements
of your organisation; and
— ensuring policies are designed to
uphold public accountability requirements;
understand and explain the opportunities for
learning lessons and continuous improvement to the policy process
in your directorate; and provide evidence of...
— encouraging critical reflection on
policies and processes; and
— the application of lessons to improve
policy outcomes.
SECTOR KNOWLEDGE
1. Scan the horizon to ensure that your
organisation's vision and strategy takes account of future developments
in the sector.
2. Anticipate the cumulative impact of all
Government regulation on the sector and ensure appropriate revision
to achieve desired outcomes.
3. Secure engagement and support from the
sector for your organisation's and Government's strategic goals.
To meet this requirement you need to be able
to...
understand and explain how to develop an awareness
of the trends and developments in relevant sectors and ensure
your organisation's strategies can respond to them; and provide
evidence of...
— amending organisation's vision or
strategy to accommodate sector's trends; and
— anticipating developments in policy
design and delivery;
understand and explain how to work across Government
to identify all relevant areas which impact on your organisation's
sectors and to assess and influence the cumulative effect of Government
regulation; and provide evidence of...
— extracts from RIA which include consideration
of total impacts of Government regulation; and
— meetings, correspondence etc, leading
to reductions in cumulative impacts;
understand and explain how to identify and gain
access to key players in a sector, and use and create opportunities
to advance Government and organisational objectives; and provide
evidence of...
— access/attendance at significant
sector events; and
— successful Department-led events
which attract and influence key stakeholders.
PARTNERSHIP WORKING
& STAKEHOLDER MANAGEMENT
1. Work closely with Ministers and retain
their trust under pressure.
2. Represent the organisation's view across
Government and external stakeholders to achieve effective outcomes
for the organisation and Government as a whole.
3. Ensure that interdisciplinary working
is used effectively as a means of achieving strategic goals. Develop
and encourage relationships between individuals, teams and business
units inside in my organisation and beyond. Know how and when
to contribute to cross cutting work.
4. Make timely and proportionate high-level
interventions to remove blockages and resolve issues.
5. Be a passionate advocate of the organisation's
"Big Picture" with stakeholders and the media.
To meet this requirement you need to be able to...
understand and explain the pressures Departmental
Ministers face, the responsibilities of the Department to deliver
for Ministers and the sensitivities of the constitutional relationships;and
provide evidence of...
— working with a variety of Ministers
and handling difficult issues sensitively; and
— high level input to Ministerial policy
advice and briefing;
understand and explain strategies and protocols
for representing the organisation and government at the highest
levels inside and outside the public sector; and provide evidence
of...
— representing the organisation successfully
to a variety of stakeholders; and
— aligning goals with a variety of
stakeholders;
understand and explain structures and practices
for effective interdisciplinary working and working across organisational
boundaries; and provide evidence of...
— allocating resources and structuring
work to facilitate and promote interdisciplinary working; and
— making an effective personal contribution
to cross cutting work;
understand and explain approaches and methods
to identify and remove blockages and conflicts in policy work;
and provide evidence of...
— successful interventions adding value
to policy design and delivery; and
— good relationships which encourage
early identification and escalation of difficult issues;
understand and explain how to ensure effective
communication of policies and priorities; and provide evidence
of...
— interviews, articles etc. advancing
the organisations goals, and communicating key messages.
ANALYSIS AND USE OF EVIDENCE CORE SKILL FOR
SCS PAY BAND 1
1. Ensure that the collection, analysis
and use of evidence in the organisation complements that of wider
government:
To meet this requirement you need to be able
to understand and explain:
— the potential for synergy and/or
cost-effectiveness from working across departmental boundaries
and be informed of, and anticipate, the wider needs of government.
And provide evidence of:
— credible evaluation of the potential
for this.
2. Ensure the evidence base for the strategy
and work of the organisation is open to critical challenge and
inspires the confidence of stakeholders include:
To meet this requirement you need to be able
to understand and explain:
— the importance of evaluating all
assumptions, perceptions and arguments using analysis and evidence;
— how you make your organisation's
formation and use of analysis and evidence transparent to stakeholders;
— how you encourage and respond to
critical feedback; and
— the provisional nature of all knowledge.
And provide evidence of:
— work appropriately guided and informed
by analysis and evidence;
— effective communication with stakeholders,
including the caveats that they should observe in assessing the
analysis and evidence provided;
— feedback from and appropriate response
to stakeholders;
— having implemented risk management
approaches related to the fragility of evidence; and
— reconsidering decisions in the light
of more recent or more robust evidence.
3. Set demanding standards for the use of
evidence in line with government requirements and proprieties,
and ensure that they are met:
To meet this requirement you need to be able
to understand and explain:
— how wider standards and proprieties
are relevant to your organisation; and
— how you ensure that all work in your
organisation meets the relevant standards and proprieties.
And provide evidence of:
— clear guidelines on this; and
— an audit trail of adherence throughout
the organisation.
4. Champion the role of analysis/evidence
in the organisation and maintain an effective relationship with
relevant experts:
To meet this requirement you need to be able
to understand and explain:
— how you communicate and promote,
including by personal example, the need for evidence-based working.
And provide evidence of:
— an account of how you would do this.
Annex C
Profession of Person
| Total SCS | With experience in other sector of 12 months or more
|
| Number | Number
| % |
COMMUNICATIONS/MARKETING | 73
| 63 | 86.3% |
| ECONOMICS | 160 | 100
| 62.5% |
| ENGINEERING | 72 | 60
| 83.3% |
| FINANCE | 156 | 125
| 80.1% |
| HUMAN RESOURCES | 101 | 68
| 67.3% |
| INFORMATION TECHNOLOGY | 93
| 70 | 75.3% |
| INTERNAL AUDIT | 5 | 2
| 40.0% |
| LEGAL | 420 | 313
| 74.5% |
| LIBRARIAN | 2 | 2
| 100.0% |
| MEDICAL | 104 | 79
| 76.0% |
| N/K | 1047 | 416
| 39.7% |
| OPERATIONAL DELIVERY | 337 |
184 | 54.6% |
| OPERATIONAL RESEARCH | 12 |
5 | 41.7% |
| OTHER | 197 | 140
| 71.1% |
| PLANNING | 12 | 8
| 66.7% |
| POLICY DELIVERY | 766 | 464
| 60.6% |
| PROCUREMENT & CONTRACT MANAGEMENT | 41
| 30 | 73.2% |
| PROGRAMME & PROJECT MANAGEMENT | 109
| 61 | 56.0% |
| PSYCHOLOGIST | 4 | 4
| 100.0% |
| SCHOOLS INSPECTOR | 22 |
16 | 72.7% |
| SCIENCE | 95 | 73
| 76.8% |
| SOCIAL RESEARCH | 21 | 10
| 47.6% |
| STATISTICS | 62 | 26
| 41.9% |
| STRATEGIC THINKING | 14 |
11 | 78.6% |
| TAX INSPECTOR | 136 | 52
| 38.2% |
| VETERINARY | 11 | 11
| 100.0% |
| TOTAL SCS | 4072 | 2393
| 58.8% |
June 2008
|
| | |
49
References to RIA are to be changed to IA. Changes to the framework
need to be cleared with the PSG programme board. Back
| 
