Annex: The Government's revised
Business Appointment Rules for civil servants
The following Rules cover the Civil
Service. Equivalent versions of the Rules are in place for the
Diplomatic Service/Intelligence Agencies/Armed Forces.
The Rules apply to civil servants
who intend to take up an appointment or employment after leaving
the Civil Service.
The approval process for applications
under the Rules differs depending on the applicant's seniority.
For members of the Senior Civil Service
and equivalents, including special advisers of equivalent standing,
the Rules continue to apply for two years after the last day of
paid Civil Service employment.
For those below the Senior Civil
Service and equivalents, including special advisers of equivalent
standing, the Rules continue to apply for one year after leaving
the Civil Service, unless, exceptionally, the role has been designated
as one where a longer period of up to two years will apply.
Key Principles
1. These Rules are designed to uphold
the core values in the Civil Service Code:
INTEGRITY
- You must not misuse your official
position, for example by using information acquired in the course
of your official duties, to further your private interests or
those of others.
HONESTY
- You must not be influenced by
improper pressures from others or the prospect of personal gain.
OBJECTIVITY
- You must take decisions on the
merits of the case.
IMPARTIALITY
- You must not act in a way that
unjustifiably favours or discriminates against particular
individuals or interests.
2. It is in the public interest that
people with experience of public administration should be able
to move into other sectors, and that such movement should not
be frustrated by unjustified public concern over a particular
appointment. It is equally important that when a former civil
servant takes up an outside appointment or employment there should
be no cause for justified public concern, criticism or misinterpretation.
3. The aim of the Rules is to avoid
any reasonable concerns that:
a) a civil servant might be influenced
in carrying out his or her official duties by the hope or expectation
of future employment with a particular firm or organisation, or
in a specific sector; or
b) on leaving the Civil Service,
a former civil servant might improperly exploit privileged access
to contacts in Government or sensitive information; or
c) a particular firm or organisation
might gain an improper advantage by employing someone who, in
the course of their official duties, has had access to:
i. information relating to unannounced
or proposed developments in Government policy, knowledge of which
may affect the prospective employer or any competitors; or
ii. commercially valuable or sensitive
information about any competitors.
Who must apply, when and how
4. The Rules apply to all civil servants.
This includes:
· Permanent civil servants;
· Civil servants employed on
fixed term contracts;
· Civil servants on secondment
to other organisations; and
· Special advisers.
5. For those at SCS1 level and above
(and equivalents), the Rules apply for two years after leaving
the Civil Service. For those below SCS1 level (and equivalents),
they normally apply for one year after leaving the Civil Service.[1]
In circumstances where an individual is undertaking a role on
temporary promotion immediately prior to leaving the Civil Service,
it will be the temporary grade that will determine how the Rules
are to be applied.
6. Before accepting any new appointment
or employment, whether in the UK or overseas, which they intend
to take up after they have left the Civil Service, individuals
must consider whether an application under the Rules is required.
If it is required, they should not accept or announce a new appointment
or offer of employment before it has been approved. The model
application form for this purpose is available at: http://acoba.independent.gov.uk/media/21242/model-business-appointments-application-form-civil-servants.rtf
and on departmental intranets. This form should be used for all
applications under the Rules. Retrospective applications will
not normally be accepted.
7. The process for giving approval differs
depending on the applicant's seniority.
Permanent Secretaries and SCS3 (and equivalents,
including special advisers of equivalent standing)
8. An application is required for any
new appointment or employment that individuals wish to take up
during the two year period after leaving office. All applications
at this level must be referred by the Department to the Advisory
Committee on Business Appointments (the Advisory Committee). The
Advisory Committee provides advice to the Prime Minister, who
makes the final decision.[2],
[3]
9. Because of their role at the highest
level of Government, and their access to a wide range of sensitive
information, all Permanent Secretaries, including Second Permanent
Secretaries, will be subject to a minimum waiting period of three
months between leaving paid Civil Service employment and taking
up an outside appointment or employment. The Advisory Committee
may advise that this minimum waiting period should be waived if,
in its judgement, no questions of propriety or public concern
arise from the appointment or employment being taken up earlier.
Equally, the Advisory Committee may consider that public concern
about a particular appointment or employment could be of such
a degree or character that a longer waiting period is appropriate.
Taking account of the maximum waiting period of two years that
may be applied, the Advisory Committee may, exceptionally, add
a rider to their advice to the Prime Minister stating that they
view the appointment or employment to be unsuitable.
10. As a general principle, there will
be a two year ban on all Permanent Secretaries and SCS3 (and equivalents,
including special advisers of equivalent standing) lobbying Government
on behalf of their new employer after they leave the Civil Service.
The two year lobbying ban may be reduced and/or modified by the
Advisory Committee if they consider this to be justified by the
particular circumstances of an individual application. Lobbying
in the context of these Rules means that the former civil servant
should not engage in communication with Government (including
Ministers, special advisers and officials) with a view to influencing
a Government decision or policy in relation to their own interests,
or the interests of the organisation by which they are employed,
or to whom they are contracted. In certain cases, due to the nature
of the proposed appointment or employment, the Advisory Committee
may, at its discretion, recommend that the lobbying ban need not
prevent communications with Government on matters that are an
integral part of the normal course of business for the organisation
concerned. The model application form prompts applicants to provide
the relevant details about the proposed employment or appointment
that will assist with the formulation of an appropriate lobbying
condition.
SCS2 and SCS1 (and equivalents, including special
advisers of equivalent standing)
11. For those at this level, the Rules
apply for two years after the last day of paid service.
An application for a new appointment or employment during this
two year period is only required if the individual's circumstances
match one or more of the triggers set out at paragraph 13 below.
Decisions on applications from those at this level are made by
the relevant Department.[4]
Below SCS1 (and equivalents, including special
advisers of equivalent standing)
12. For these grades, the Rules normally[5]
apply for one year after the individual's last day of paid
service. An application for a new outside appointment or employment
during this one year period is only required if an individual's
circumstances match one or more of the triggers set out at paragraph
13 below. Decisions on applications from staff in this category
are made within the Department. Further details are set out in
departmental staff handbooks/on departmental intranets.
13. As set out at paragraphs 11 and
12 above, an application under the Rules is only required from
those at SCS2 and below (and equivalents) if the individual's
circumstances match one or more of the following:
i. They have been involved in developing
policy affecting their prospective employer, or have had access
to unannounced Government policy or other privileged information
affecting their prospective employer, at any time in their last
two years in the Civil Service.
ii. They have been responsible for
regulatory or any other decisions affecting their prospective
employer, at any time in their last two years in the Civil Service.
iii. They have had any official
dealings with their prospective employer at any time in their
last two years in the Civil Service.
iv. They have had official dealings
of a continued or repeated nature with their prospective employer
at any time during their Civil Service career.
v. They have had access to commercially
sensitive information of competitors of their prospective employer
in the course of their official duties.
vi. The proposed appointment or
employment would involve making representations to, or lobbying
the Government on behalf of a new employer.
vii. The proposed appointment or
employment is consultancy work, either self-employed or as a member
of a firm, and they have had official dealings with outside bodies
or organisations in their last two years in the Civil Service
that are involved in their proposed area of consultancy work.
In cases of doubt, departmental Human
Resources functions are able to advise individuals on whether
or not an application is required.
Special Advisers
14. Under the terms of their contract,
special advisers are required to submit an application to the
head of their former Department for a new appointment or employment
they wish to take up after leaving the Civil Service.[6]
This requirement applies to special advisers of equivalent standing
to the Senior Civil Service for two years after leaving
the Civil Service, and to other special advisers for one
year.
15. Applications from special advisers
of equivalent standing to Director General and above, are referred
to the Advisory Committee on Business Appointments (the Advisory
Committee). The Advisory Committee provides its advice to the
relevant departmental Permanent Secretary, who makes the final
decision based on that advice. Applications from other special
advisers are handled within the relevant Department, and the Permanent
Secretary makes the decision on the application. A
special adviser who is unhappy with the decision may appeal to
the Lead Non- Executive Director of their former Department.
How to apply for approval
16. Applicants must approach their departmental
Human Resources function as early as possible, and before any
announcements or commitments are made. Human Resources will have
a process in place for handling business appointment applications.
This involves completion of the application form which will need
to be countersigned by an appropriate person, normally someone
within the line management chain.
17. Notification of decisions on applications
will be made through the Department.
18. Applications may be approved unconditionally,
or approved subject to conditions applying for a maximum of two
years from the individual's last day of paid service. Such conditions
may include a waiting period and/or a prohibition on the individual
being involved in lobbying Government on behalf of their new employer.
When a lobbying prohibition or other restriction is applied to
an individual at any level, this information will be made available
to key staff within a department. Other restrictions could include
a condition that for a specified period, the former civil servant
should stand aside from involvement in certain activities, for
example, commercial dealings with his or her former Department,
or involvement in particular areas of the new employer's business.
19. Where it is proposed that an application
be approved with conditions or a waiting period, the applicant
will be offered an opportunity to discuss any concerns he or she
may have with an appropriate departmental officer, or for applicants
at SCS3 level and above (and equivalents, including special advisers
of equivalent standing) with the Advisory Committee on Business
Appointments (the Advisory Committee), before a final decision
is made.
20. For those cases considered by the
Advisory Committee, in addition to the maximum two-year waiting
period, the Advisory Committee may, if they judge the propriety
concerns to be substantial, add a rider to their advice saying
that they also view the appointment to be unsuitable. It is for
the Prime Minister (or relevant Permanent Secretary in the case
of special advisers) to take the final decision on the application
based on the advice received from the Advisory Committee.
Payment for Waiting Periods
21. It may be appropriate to continue
to pay former civil servants, including special advisers, who
are required to observe a waiting period before taking up an external
role. Such a payment would be subject to the particular circumstances
of the individual case, and it would be important to ensure that
decisions take account of all relevant factors including, for
example, whether there was a reasonable expectation of a waiting
period under the Rules. Where a waiting period is required, departments
should seek to redeploy individuals for the duration of the period.
Where there is no alternative suitable employment available, the
department can consider whether there is a case for the individual
to be compensated for serving a waiting period. The Cabinet Office
must be consulted when payment is proposed either by the Department
or the individual.
Transparency
22. In addition to notifying the applicant
of the outcome of their application, the Department must also
inform prospective employers of any conditions which have been
attached to the approval of the appointment or employment. For
those applications considered by the Advisory Committee, their
advice, alongside summary details of the applicant's last Civil
Service post, will usually be made public once the appointment
or employment has been taken up by the applicant or announced,
and Departments will make public on their departmental websites
summary information in respect of individuals at SCS2 and SCS1
level (and equivalents, including special advisers of equivalent
standing), setting out the advice given to their former civil
servants, and the restrictions (if any) imposed upon them. In
all other respects, the business appointment process is a confidential
one.[7]
Where to find out more
23. Departmental guidance and advice
on the Rules is available from local Human Resources functions,
and, where applicable, on local intranets. More about the operation
of the Rules, including details of appointments approved and taken
up by the most senior members of the Civil Service, can be found
on the website of the Advisory Committee on Business Appointments
(the Advisory Committee): http://acoba.independent.gov.uk
24. The Advisory Committee's Secretariat
is available to provide advice and support to Departments on the
application of the Business Appointment Rules and the handling
of individual cases at any level. Contact details are:
Office of the Advisory Committee on
Business Appointments
G/08
Ground Floor
1 Horse Guards Road
London SW1A 2HQ
Tel: (020) 7271 0839
e-mail to: acoba@acoba.gsi.gov.uk
Website: http://acoba.independent.gov.uk
1 Departments have discretion to apply the Rules for
up to two years for specific roles below SCS1 level (and equivalents)
where there is an exceptional case for doing so. Back
2
Where applications are from civil servants who serve/formerly
served in the Devolved Administrations in Scotland and Wales,
the Advisory Committee will provide advice to the relevant First
Minister who will make the final decision. Back
3
Final decisions on applications from special advisers are made
by the relevant Permanent Secretary. Back
4
Decisions on applications are delegated to departmental officials
who should consult the Secretary of State on the most sensitive
applications. Back
5
Departments have discretion to apply for the Rules for up to
two years for specific roles below SCS1 level (and equivalents)
where there is an exceptional case for doing so. Back
6
No application is required under the Rules when a special adviser
takes up a role with the Party when they leave the Civil Service.
If, during the two years after leaving the Civil Service (one
year in the case of more junior special advisers - see paragraph
14 above) they take up a further appointment in a different organisation,
approval under the Rules is required. Back
7
The Advisory Committee handles personal information provided
to it in accordance with the Data Protection Act 1998. Such information
may on limited occasions be published, for example, if the Committee
is required to publish information in accordance with the Freedom
of Information Act 2000. Back
|