civil service management code june2011 tcm6 3222 (1)

8/18/2019 Civil Service Management Code June2011 Tcm6 3222 (1)

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CIVIL SERVICE MANAGEMENT CODE

INTRODUCTION

CHAPTER 1 TAKING UP APPOINTMENT

Section 1.1 Recruitment

Section 1.2 Working Arrangements

Section 1.3 Probation

Section 1.4 Letters of Appointment and Information on Pensions

Section 1.5 Fast Stream Development Programme

Section 1. Appointment and Management of Specialists

Section 1.! Re-appointment Reinstatement and Re-emplo!ment

CHAPTER 2 E"UAL OPPORTUNITIES IN THE CIVIL SERVICE

Section 2.1 Polic!

CHAPTER 3 HEALTH AND SA#ET$ AT %ORK

Section 3.1 "ealt# and Safet!

CHAPTER 4 CONDUCT AND DISCIPLINE

Section 4.1 $onduct %eneral Principles and Rules

Section 4.2 $onduct $onfidentialit! and &fficial Information

Section 4.3 $onduct Standards of Propriet!

Anne' A Rules on t#e Acceptance of &utside Appointments b! $ro(nServants

Anne' ) %uidance for Departments and Agencies on t#e Rules on t#e Acceptance of &utside Appointments b! $ro(n Servants

Section 4.4 $onduct Political Activities

Anne' A %uidelines and Principles on Participation in Political Activities

Section 4.5 Discipline Rules and $ode of Practice

Anne' A Recover! of Losses to Public Funds

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CHAPTER 5 THE SENIOR CIVIL SERVICE

Section 5.1 %eneral

Section 5.2 *#e SAS$ %roup

Section 5.3 Senior $ivil Service *erms and $onditions

CHAPTER MANAGEMENT AND DEVELOPMENT

Section .1 %rading and $lassification of Staff

Section .2 Personal Revie(

Section .3 Poor Performance Inefficienc! and Limited +fficienc!

Section .4 Promotion and Lateral *ransfers

CHAPTER ! PA$ AND ALLO%ANCES

Section !.1 Remuneration of Staff

Anne' A Senior $ivil Service Pa! Frame(ork

Anne' ) Allo(ances for Members of t#e Senior $ivil Service

Section !.2 Advances of Pa!

Section !.3 ,oluntar! Deductions from Pa!

Section !.4 Rent for %overnment-&(ned Properties

CHAPTER & E'PENSES

Section &.1 Reimbursement of +'penses

Section &.2 *ravel

Section &.3 Relocation

Section &.4 $ompensation for Loss or Damage to Personal Propert!

Section &.5 $oncessionar! Arrangements for Staff Working in ort#ern Ireland

Section &. &verseas +'penses

CHAPTER ( HOURS) HOLIDA$S AND ATTENDANCE

Section (.1 "ours of Work

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Section (.2 "olida!s and Attendance

Section (.3 Maternit! Arrangements

Section (.4 Attendance during ational +mergencies

Section (.5 Sick Absence

Section (. In.ur!/ Disease or Assault at Work0

CHAPTER 1* STA## MOVEMENT AND REDEPLO$MENT

Section 1*.1 Mobilit!

Section 1*.2 *ransfer of Staff bet(een Departments and Agencies

Section 1*.3 Secondment

Section 1*.4 Service (it# t#e +uropean Institutions

CHAPTER 11 LEAVING THE CIVIL SERVICE

Section 11.1 otice and References

Section 11.2 Action )efore Leaving t#e $ivil Service

Section 11.3 ormal Retirement Age

Section 11.4 Dismissal for Inefficienc!

Section 11.5 +arl! Retirement or Severance

Section 11. $ompulsor! +arl! Retirement or Severance

Section 11.! Fle'ible +arl! Retirement or Severance

Section 11.& Approved +arl! Retirement

Section 11.( Actuariall! Reduced Retirement

Section 11.1*Medical Retirement

CHAPTER 12 APPEALS AND LEGAL REPRESENTATION AT PU+LICE'PENSE

Section 12.1 Appeals

Section 12.2 Legal Representation at Public +'pense

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INTRODUCTION

1. *#is $ode is issued under t#e aut#orit! of Part 1 of t#e $onstitutional Reform and%overnance Act 2313 under (#ic# t#e Minister for t#e $ivil Service #as t#e po(er to make

regulations and give instructions for t#e management of t#e $ivil Service/ including t#epo(er to prescribe t#e conditions of service of civil servants0

2. *#is $ode/ on (#ic# t#e recognised trade unions #ave been consulted/ sets outregulations and instructions to departments and agencies regarding t#e terms andconditions of service of civil servants and t#e delegations (#ic# #ave been made b! t#eMinister for t#e $ivil Service under t#e $ivil Service 4Management Functions5 Act 1662 toMinisters and office #olders in c#arge of departments/ t#e First Minister in t#e Scottis#+'ecutive and t#e Wels# Assembl! %overnment/ toget#er (it# conditions attac#ing tot#ose delegations0 For convenience/ t#e term 7departments and agencies8 #as been usedin t#e conte't of delegation t#roug#out t#e $ode0 It includes t#e Scottis# Administrationand t#e Wels# Assembl! %overnment0 W#ere departments and agencies are given

discretion to determine terms and conditions/ t#e $ode sets out t#e rules and principles(#ic# must be ad#ered to in t#e e'ercise of t#ose discretions0 It does not of itself set outterms and conditions of service0 In t#e case of agencies/ t#e presumption is t#at functionsdelegated to Ministers and office #olders (ill/ in respect of agencies/ be e'ercised b! Agenc! $#ief +'ecutives/ but t#e precise e'tent to (#ic# Ministers and office #olders ma!(is# to allo( t#e e'ercise of t#eir po(ers b! $#ief +'ecutives is a matter for t#em todetermine0

3. Ministers and office #olders in c#arge of departments/ t#e First Minister of t#e Scottis#+'ecutive and t#e Wels# Assembl! %overnment #ave been given t#e aut#orit!

,. to prescribe t#e 9ualifications 4so far as t#e! relate to age/ kno(ledge/ abilit!/

professional attainment/ aptitude and potential/ #ealt# and coping (it# t#e demandsof t#e .ob5 for t#e appointment of #ome civil servants 4(it# t#e e'ception of t#e FastStream Development Programme5 in t#eir respective departments: and

-. to determine t#e number and grading of posts outside t#e Senior $ivil Service int#eir respective departments and t#e terms and conditions of emplo!ment of civilservants in so far as t#e! relate to t#e follo(ing

i0 classification of staff/ (it# t#e e'ception of t#e Senior $ivil Service:ii0 remuneration/ (it# t#e e'ception of t#e Senior $ivil Service:iii0 allo(ances:iv0 e'penses:

v0 #olida!s/ #ours of (ork and attendance:vi0 part-time and ot#er (orking arrangements:vii0 performance and promotion:viii0 retirement age/ (it# t#e e'ception of t#e Senior $ivil Service:i'0 redundanc!:'0 re-deplo!ment and lateral transfer of staff (it#in t#e $ivil Service0

4. *#is delegation 4(#ic# revokes all previous delegations5 is made sub.ect to t#econdition t#at recipients of delegation compl! (it# t#e provisions of t#is $ode as amendedfrom time to time0 "o(ever/ it does not remove t#e obligation on departments and agenciesto submit to t#e $abinet &ffice proposals or arrangements (#ic# are contentious/ or raise9uestions of propriet!0 Departments and agencies are reminded t#at t#e %overnment is

committed to maintaining t#e reputation of t#e $ivil Service as a good emplo!er0 *#e terms

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and conditions of civil servants must be determined (it# regard to t#e general practice oflarge emplo!ers: value for mone!: and t#e provisions of 7%overnment Accounting80

5. Departments and agencies must compl! full! (it# legislation (#ic# binds t#e $ro(n or(#ic# Ministers1 #ave undertaken to appl! as if it (ere binding on t#e $ro(n0 *#e! mustdefine clearl! t#e terms and conditions of service of t#eir staff and make t#ese available tostaff/ for e'ample in departmental or agenc! #andbooks0 W#ere departments and agencies#ave delegated po(ers or discretion/ t#e! must make clear to t#eir staff #o( t#ese (ill beapplied b! setting out t#e relevant rules and procedures in t#eir #andbooks0

. %en e/e0ciin te ee,te o6e0 e07itte -8 ti Coe) e,0t7ent ,n,encie o9 0e7e7-e0 t,t e/itin 0it c,nnot -e ,te0e ,0-it0,0i8. *#e!must observe an! legal constraints upon t#em as emplo!ers/ consulting as necessar! (it#t#eir staff and t#e recognised trade unions0 An! 9uestions of possible detriment occasionedb! t#e application of t#eir delegated po(ers s#ould be resolved locall!0 If uncertaint! overentitlement is an issue/ managers s#ould consult t#eir legal advisers and/ if necessar!/ t#e$abinet &ffice0

!. *#e $abinet &ffice retains t#e rig#t to inspect and monitor observance of t#is $ode indepartments and agencies/ but t#e aim is to keep suc# inspection and monitoring to t#eminimum level consistent (it# central responsibilities0

&. Subse9uent c#anges to t#e central regulations and instructions 4including an! futuredelegations5 (ill be issued electronicall! as amendments to t#is $ode/ and (ill need to bereflected promptl! in departments; or agencies; regulations for t#eir o(n staff0 In all cases/t#e $abinet &ffice (ill make clear t#e effective date of an! c#ange affecting staff Service-(ide0

1*#e reference to Ministers used t#roug#out t#e code include Scottis# Ministers and t#eFirst Secretar! and Assembl! Secretaries of t#e ational Assembl! for Wales0

< )rief e'tracts 4i0e0 no more t#an ten per cent of t#e te't5 ma! be copied :o0 in;o9e 9eon80 $opies of longer e'tracts or for e'ternal use re9uire t#e prior (ritten permission of"MS&0

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Nationality

1.1.! *#e $ivil Service nationalit! rules are statutoril! based and must t#erefore beforefollo(ed in recruiting and appointing0 *#e! are available/ toget#er (it# guidance onc#ecking eligibilit!/ at #ttp(((0civilservice0gov0ukaboutresourcesnationalit!0asp'

Serving staff and open competitions

1.1.& Serving civil servants (#o meet t#e specified 9ualifications for appointment must beallo(ed to appl! for open competitions in an! department or agenc!/ including t#eir o(n0$ommon standards of selection must appl! to bot# in-service and e'ternal candidates0Departments and agencies ma! e'empt serving staff (#o (ere recruited t#roug# fair andopen competition and #ave completed t#eir initial probation from an! re9uirements foreducational or vocational 9ualifications (#ic# are re9uired of non-$ivil Service candidates:t#eir relevant e'perience inside t#e $ivil Service ma! be taken into account instead0

1.1.( Management ma! re.ect applications from staff alread! serving else(#ere in t#esame department 4or an! of its agencies5 (#ere t#e candidate;s level transfer from t#e

e'isting post (ould conflict (it# (ider departmentalagenc! interests or ob.ectives0

1.1.1* If a serving civil servant receives and accepts an offer of appointment follo(ingopen competition/ t#e parent department or agenc! must release #im or #er (it#in t#reemont#s of being notified of t#e accepted offer0

1.1.11 Former civil servants serving on %overnment committees but doing no ot#er $ivilService (ork must be treated as office #olders and not as re-appointments to t#e $ivilService0

G9i,nce

1.1.12 Departments and agencies (ill (is# to be a(are of t#e follo(ing $abinet &fficeguidance at #ttp(((0civilservice0gov0ukaboutresourcespinsinde'0asp'

,. Personnel Information ote 4PI5 @ about t#e various (a!s to establis#candidates; suitabilit! for recruitment to a particular post or grade:

-. PI >6 4Revised5 on #ealt# standards for recruitment and access to t#e full riskbenefits of t#e Principal $ivil Service Pension Sc#eme: and

c. PI (#ic# dra(s attention to t#e possible risk of legal c#allenge ifdepartments and agencies specif! a re9uirement for a particular 9ualification in+nglis# Language 4suc# as a %$S+ or e9uivalent50

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,. recruitment is in accordance (it# Section 101:

-. t#e! consult $ivil Service Pensions Division/ $abinet &ffice to determine(#et#er and #o( t#e Principal $ivil Service Pensions Sc#eme applies:

c. t#e! take legal advice about suc# matters as letters of appointment and(#et#er continuit! of service is likel! to be establis#ed: and

. terms and conditions 4including pa!5 for part-time staff are in proportion to t#osefor full-time staff0

#i/e;Te07 Aoint7ent

1.2.3 Fi'ed-term appointments are temporar! appointments to meet s#ort termneeds0 Suc# appointments ma! be made onl! (#ere t#ere is a genuineneed to emplo! people for a s#ort period/ and must be compliant (it# t#e

Recruitment Principles 4www.civilservicecommission.org.uk 5

1.3 P0o-,tion

1.3.1 Departments and agencies #ave aut#orit! to determine (#et#er staff s#ould bere9uired to serve a period of probation and t#e terms of t#at probation0 An! period ofprobation s#ould not usuall! e'ceed t(o !ears0

1.4 Lette0 o: Aoint7ent ,n In:o07,tion on Penion

Lette0 o: Aoint7ent

1.4.1 Sections 1 to @ of t#e +mplo!ment Rig#ts Act 166C give most emplo!ees/ includingcivil servants/ t#e rig#t to receive a (ritten statement of t#eir main terms and conditions(it#in t(o mont#s of starting (ork0 Departments and agencies must t#erefore provide suc#a statement to staff covered b! t#e Act0 *#e contract fulfils t#is need for members of t#eSenior $ivil Service04#ttp(((0civilservice0gov0ukaboutresourcesemplo!mentconditions0asp' 5

1.4.2 Personnel Information ote 4PI5 1 4Revised5 provides guidance on t#e dra(ingup of letters of appointment4#ttp(((0civilservice0gov0ukaboutresourcespinsinde'0asp' 50

In:o07,tion on Penion

100> +mplo!ers s#ould re9uest starter packs for ne( entrants from St Ives Directusing t#e DRF1 form or bulk order spreads#eet0 )ot# forms are available to

do(nload from t#e $ivil Service pensions (ebsite at #ttp(((0civilservice-pensions0gov0uk0 St Ives Direct can be contacted at E

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St Ives "ouse

Faringdon AvenueRomford

RM> BL*el 3B@3 31> 1C6>e-mail cspdordersGstivesdirect0com

1.4.4 *#e pack contains a range of material to enable t#e ne( entrant to make aninformed c#oice/ including information about t#e time limits governing transfers of t#eire'isting pension0 *#ere is also a ne( entrants; page giving a step-b!-step guide to pensionc#oices on t#e $ivil Service pensions (ebsite at #ttp(((0civilservice-pensions0gov0ukne(Hentrants0asp' 0

1.5 #,t St0e,7 De=eo7ent P0o0,77e

1.5 #,t St0e,7 De=eo7ent P0o0,77e

1.5.1 *#e Fast Stream provides training and development for people (it# t#e potential toac#ieve rapid promotion off t#e programme 4in accordance (it# departments; o(n gradingprocedures5 and to progress to t#e Senior $ivil Service0 It comprises

- $entral Departments 4formerl! referred to as t#e "ome $ivil Service5

- Diplomatic Service

- Science and +ngineering Fast Stream

- $lerks#ips in Parliament

- DfID *ec#nical Development &fficers

All t#e above are kno(n collectivel! as t#e %raduate Fast Stream0 Wit#in t#e DiplomaticService t#ere is a separate option for economists0 *#e Science and +ngineering FastStream #as t(o branc#es one is e'clusive to t#e Ministr! of Defence/ and t#e ot#er isopen to ot#er departments0 *#ere are also separate Fast Stream competitions for

+conomists/ Statisticians and %$"? %raduate Management *rainees and I* specialistst#roug# t#e *ec#nolog! in )usiness sc#eme0

Meto o: ent08

1.5.2 +ntr! to t#e %raduate Fast Stream is b! open competition0 Applicants ma! e'presspreferences for more t#an one of t#e above options on t#e same application form0 A #ig#erpass mark ma! be applied to some options0 *#ere is a separate In-Service Fast Streamcompetition for serving civil servants (#ic# gives access to t#e $entral Departments or t#eMinistr! of Defence branc# of t#e Science and +ngineering Fast Stream0

Te eection 0oce

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1.5.3 *#e application process is begun on-line0 $andidates are first asked to complete anonline self-assessment of suitabilit!0 *#e first stage of t#e actual selection process consistsof on-line tests of ,erbal and umerical Reasoning and a $ompetenc! ?uestionnaire0 *#isstage of t#e selection process can be completed on an! P$ (it# internet access0 Ifcandidates reac# t#e re9uired level/ t#e! progress to an electronic in-tra! test 4t#e e-*ra!5#eld in centres t#roug#out t#e nited Jingdom0 *#e best performers in t#e e-*ra! e'erciseare invited to t#e Fast Stream Assessment $entre 4FSA$5/ a da!-long process at (#ic#t#eir potential in a range of ke! competencies is assessed0 Success at FSA$ guarantees aplace in t#e $entral Departments option/ but candidates for t#e Diplomatic Service/ DfID*D& and t#e Parliamentar! $lerks#ips go on to attend a Final Selection )oard0

1.5.4 $andidates (it# a disabilit! ma! re9uest e'emption from t#e on-line tests/ and gostraig#t to t#e e-*ra! e'ercise0 If successful/ t#e! are invited to attend a pre-FSA$familiarisation session0 Reasonable ad.ustments are made for t#em as necessar!0

1.5.5 In-Service candidates are s#ortlisted b! t#eir departments or agencies/ and are alsoe'empt from t#e on-line tests0 *#e! attend t#e e-*ra! e'ercise/ but progress to t#e FSA$

regardless of t#eir performance in it0 At FSA$/ t#e! are assessed to t#e same standard/and using t#e same procedure/ as for e'ternal candidates0

Eii-iit8

1.5. Applicants for t#e open competition must usuall! #ave at least a Second $lass"onours Degree or e9uivalent 9ualification0 For t#e Statistician and Science and+ngineering Fast Streams/ t#e degree must be in a relevant sub.ect0 Applicants for t#e+conomist Fast Stream re9uire a 21 degree in economics or a .oint or mi'ed degree of(#ic# at least #alf t#e courses are core economics0 Applicants for *ec#nolog! in )usinessmust #ave a 21 degree in a specified discipline0

1.5.! For serving civil servants (is#ing to enter t#e In-Service competition/ no academic9ualifications of an! kind are re9uired0 In-Service applicants must usuall! #ave completedat least t(elve mont#s; continuous service in t#eir departments or agencies0 *#e In-Servicecompetition is open onl! to serving civil servants (#o (ere recruited b! a process of fairand open competition0 *#ere is an In-Service Fast Stream finance option (#ic# is alsoopen to some serving Fast Streamers0 *#ose candidates (#o (is# to appl! must undergofinancial aptitude tests0

1.5.& *#ere is an In-Service Fast Stream option for %overnment Social Researc#ers4%SR50 Applicants to t#is option are dra(n from (it#in t#e %SR and undergo testing of t#eir social researc# skills before going t#roug# t#e rest of t#e Fast Stream process0

1.5.( Most posts in t#e Fast Stream are open to + and $ommon(ealt# citiKens0 It is fordepartments and agencies to determine (#et#er 4or #o( man! of5 t#eir Fast Stream postsare open to non-J nationals0

Ae i7it

1.5.1* *#ere are no age limits for applicants to t#e Fast Stream/ alt#oug# it is generall!e'pected t#at successful candidates (ill be able to contribute several !ears service beforeretirement0

Aoint7ent

1.5.11 e( Fast Streamers are assigned to departments b! t#e $ivil Service Selection)oard 4$SS)5/ taking account of departments re9uirements/ of t#e Fast Streamers o(n

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- a minimum of 1= da!s; off-t#e-.ob training per !ear:

- postings (it# an average lengt# of t(elve mont#s and (#ic# includeoperational e'periencecustomer interface/ pro.ect management and peoplemanagement 4not merel! polic! or ministerial (ork5:

- t#e opportunit! to (ork in anot#er department or sector for a minimum oft#ree mont#s:

- t#e opportunit! to complete t#e full training and development package/ evenif t#is needs to #appen after promotion0

Di0ect Aoint7ent Sce7e >DAS?

1.5.1( A ver! small number of candidates (#o narro(l! miss t#e re9uired standard atFSA$/ but (#o #ave nevert#eless attained a #ig# enoug# score to indicate t#at t#e! #avet#e potential to make a (ort#(#ile contribution to t#e $ivil Service/ ma! be offered a place

on t#e Direct Appointment Sc#eme 4DAS50 *#ose suitable for t#e DAS (ill be t#oseattaining a score (it#in a certain range/ (#ic# (ill be determined in relation to t#e FastStream pass mark0 Departments ma! re9uest Direct Appointees from $SS) if t#e! #ave apost (#ic# cannot be filled t#roug# advertising internall! or t#roug# obcentre Plus0 Suc#posts s#ould be speciall! identified b! departments for t#eir c#allenging and developmentalcontent/ and tend to be graded at +& level0 *#e intention is not necessaril! to prepareDirect Appointees for anot#er attempt at t#e Fast Stream competition/ t#oug# it is 9uitelikel! t#at time spent as a Direct Appointee (ill en#ance c#ances of success in subse9uentapplications/ per#aps t#roug# t#e In-Service Fast Stream $ompetition0

1. Aoint7ent ,n M,n,e7ent o: Seci,it

1..1 In some areas/ "eads of Profession/ supported b! central management units/ #avebeen appointed b! t#e "ead of t#e $ivil Service to supervise t#e (ell-being of t#eirrespective services/ to provide central management of t#e individuals (it#in t#em/ and toensure t#at t#e $ivil Service obtains ma'imum benefit from its emplo!ment of specialists0Departments and agencies ma! c#oose to participate in t#ese arrangements (#enappointing relevant professional staff0 If t#e! do/ t#e! must agree (it# t#e appropriatecentral management unit #o( t#e recruitment and career development of suc# staff (ill be#andled0

1.! Re;,oint7ent@ Reint,te7ent ,n Re;e7o87ent

1.!.1 Departments and agencies #ave aut#orit! to determine arrangements for t#e re-appointment of staff follo(ing an earlier period of emplo!ment in t#e $ivil Service (#ic#satisf! Part 1 of t#e $onstitutional Reform and %overnance Act 2313 4(((0opsi0gov0uk5 t#eRecruitment Principles 4(((0civilservicecommission0org0uk 5 sub.ect to t#e follo(ingconditions0

Conition

1.!.2 nless specified at t#e date of resignation/ t#ere is no entitlement to re-

appointment0 Specific arrangements appl! to staff (#o return

,. after service (it# t#e +uropean Institutions 4Section 1305:

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-. after service (it# "M Forces0 In t#is case arrangements (ould be based on t#eReserve Forces 4Safeguard of +mplo!ment5 Act 16B=: or

c. follo(ing Parliamentar! candidature 4Section 050

1.!.3 Departments and agencies must ensure t#at

,. applicants (ere originall! recruited b! fair and open competition:

-. (#ere an applicant (as previousl! retired on medical grounds/ t#e approval oft#e medical services adviser appointed b! t#e $abinet &ffice for pensions relatingto t#e P$SPS is obtained: and

c. t#e Pa!master is notified (#en a $ivil Service pensioner is re-appointed0

1.!.4 Former civil servants serving on %overnment committees but doing no ot#er $ivil

Service (ork must be treated as office #olders and not as re-appointments to t#e $ivilService0

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2. E"UAL OPPORTUNITIES IN THE CIVILSERVICE

2.1 Poic8

2.1.1 $ivil Service e9ual opportunities polic! provides t#at all eligible people must #avee9ualit! of opportunit! for emplo!ment and advancement on t#e basis of t#eir suitabilit! fort#e (ork0 *#ere must be no unfair discrimination on t#e basis of age/ disabilit!/ gender/marital status/ se'ual orientation/ religion or belief/ race/ colour/ nationalit!/ et#nic ornational origin/ or 4in ort#ern Ireland5 communit! background/ (orking pattern/emplo!ment status/ gender identit! 4transgender5/ caring responsibilit!/ trade unionmembers#ip0

2.1.2 Departments and agencies must compl! (it# e9ual opportunities legislation and(it# $odes of Practice issued under suc# legislation0 *#e! must also #ave regard to t#eprovisions of t#e $ivil Service programmes for action to ac#ieve e9ualit! of opportunit! forpeople of et#nic minorit! origin/ for (omen and for disabled people/ to t#e Department forWork and Pensions guidance on age discrimination/ and 4in ort#ern Ireland5 to t#eguidance on t#e (ebsite of t#e +9ualit! $ommission for ort#ern Ireland at#ttp(((0e9ualit!ni0org 0

Departmental responsibilities

2.1.3 +ac# department and agenc! is responsible for implementing $ivil Service e9ual

opportunities polic! in its o(n organisation0 Departments and agencies must develop t#eiro(n strategies/ based on $ivil Service polic!/ and dra( up action plans to implement t#esestrategies0

2.1.4 Departments and agencies must make t#eir e9ual opportunities polic! kno(n to allstaff and potential applicants for emplo!ment0 *#e! must make clear to all staff t#eir rig#tsand responsibilities in relation to t#e implementation of t#is polic!/ and provide for t#eir staff a (orking environment (#ic# is free from unfair discrimination and #arassment0

$omplaints

2.1.5 Departments and agencies must #ave in place procedures for #andling complaintsof unfair discrimination and #arassment/ and must make t#ese procedures kno(n to allstaff0 All suc# complaints must be #andled promptl! and appropriatel!0 In dra(ing upprocedures and guidance for t#eir staff/ departments and agencies must be a(are of t#e$abinet &ffice guide 7%ood Practice for +9ual &pportunities Staff $omplaints Procedures80*#is is available at

#ttp(((0civilservice0gov0ukiamdiversit!

Monitoring

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2.1. *o enable t#em to monitor t#e effectiveness of t#eir policies and action plans/departments and agencies must collect data on t#e age/ gender/ et#nic origin/ disabilit!/and 4in ort#ern Ireland5 communit! background of staff and applicants0 *#e! must uset#ese data to monitor and anal!se staff in post and t#e effects on eac# group of ke!personnel procedures/ including recruitment/ career development/ promotion/ .oballocation/ resignations/ personal revie(/ salar!/ performance pa!/ and access toopportunities for training and personal development0

2.1.! *o record t#e et#nic origin of staff and to permit anal!sis of et#nic minorit!representation Service-(ide/ departments and agencies must use t#e standard $ivilService et#nic origin categories or t#ose relating to t#e 2331 $ensus/ as specified in$abinet &ffice guidance 4#ttp(((0civilservice0gov0ukiamdiversit! 50 *#e! must also takeappropriate steps/ as described in t#e Model $ode of Practice on +t#nic Monitoring issuedb! t#e $abinet &ffice/ to safeguard t#e confidentialit! of et#nic origin data on individuals/consistent (it# t#e conduct of effective monitoring for e9ual opportunities purposes0

2.1.& *#e $abinet &ffice (ill also monitor t#e overall effectiveness of $ivil Service e9ual

opportunities polic!0 W#ere possible/ t#is (ill dra( on data #eld and collected centrall!/ butdepartments and agencies ma! be re9uired to provide additional information0

+9ual &pportunities officers

2.1.( Departments and agencies must identif! one or more e9ual opportunities officer4s5to #ave overall responsibilit! for t#e implementation of t#eir e9ual opportunities polic! andaction plan and for monitoring and revie(ing progress as specified in $abinet &fficeguidance0 *#is is in addition to t#e responsibilit! of individual line managers for ac#ievingprogress (it#in t#eir o(n commands0

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,. to appoint safet! representatives in departments and agencies0 Appointmentsma! be made .ointl! or b! t#e trade union side (#ere t#ere is an agreementamongst t#e trade unions: and

-. to arrange or improve basic training0 *#e courses organised b! t#e *$ arerecognised for t#is purpose0 Direct costs/ including travel and subsistence/ (ill bemet b! t#e unions0

3.1.! Departments and agencies are responsible for agreeing guidance on t#e nature andduration of training for safet! representatives (it# unions at local level0 *#is guidance mustbe compatible (it# an! guidance publis#ed b! t#e "ealt# and Safet! $ommission0Departments and agencies are also responsible for providing specialised training for safet!representatives (#ere t#is is necessar! for t#e safe and effective functioning of particularestablis#ments or premises0

3.1.& *ime off (it# pa! as necessar!/ and (it# t#e prior agreement of management/ mustbe granted to safet! representatives to enable t#em to perform t#eir functions properl! to

attend training courses t#at are approved b! t#e appropriate trade union and as necessar!for attendance at meetings or safet! committees0 *ime off for non-industrial staff (ill not beset against t#e facilit! time allo(ed under e'isting arrangements unless t#e period of timealso disc#arges a liabilit! under Section 1CB of t#e *rade nion and Labour Relations4$onsolidation5 Act 16620

S,:et8 co77ittee

3.1.( *#e role of a safet! committee is advisor!0 It forms a focus of emplo!ee participationand co-operation bet(een emplo!ers and emplo!ees in #ealt# and safet!0 A department oragenc! is re9uired to set up a safet! committee (#en t#is is re9uested b! at least t(osafet! representatives0

*#e Reporting of In.uries/ Diseases and Dangerous &ccurrences Regulations 166= 4SI166=>1C>5

3.1.1* Departments and agencies must investigate and keep a (ritten record of allreportable in.uries/ diseases and dangerous occurrences: and notif! "S+ (it#in sevenda!s on "S+ forms 2=3BA and 2=3B)0 For fatal accidents and ma.or in.uries/ t#e reportmust be made b! t#e 9uickest possible means 4i0e0 b! telep#one50

3.1.11 Records 4a cop! of t#e form5 must be kept for at least t#ree !ears from t#e last dateof entr!0 +'tracts s#ould be sent to "S+ on re9uest0 Departments and agencies must notif!

t#e "S+ in (riting if an emplo!ee dies (it#in one !ear as a result of a reportable in.ur! ordangerous occurrence0

3.1.12 Full details are contained in t#e "ealt# and Safet! +'ecutive %uide L@>0

#i0t Ai

3.1.13 +mplo!ers are legall! re9uired b! t#e "ealt# and Safet! 4First Aid5 Regulations16B1 4SI 16B161@5 and t#e Approved $ode of Practice 1663 4$&P 2 - IS) 3@1@C32CB5 to make arrangements to deal (it# accidents and #ealt# emergencies at (ork0

G9i,nce

3.1.14 Personnel Information ote 4PI5 = describes t#e

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,. s!stem of #ealt# and safet! enforcement notices for $ro(n bodies:

-. s!stem of censure #earings for $ro(n bodies: and

c. provision for "ig# $ourt declarations on $ro(n bodies under t#e Working *imeRegulations 166B0

It can be accessed at #ttp(((0civilservice0gov0ukaboutresourcespinsinde'0asp'

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4. CONDUCT AND DISCIPLINE

4.1 Con9ct@ Gene0, P0incie ,n R9e

4.1.1 $ivil servants are servants of t#e $ro(n and o(e a dut! of lo!al service to t#e$ro(n as t#eir emplo!er0 Since constitutionall! t#e $ro(n acts on t#e advice of Ministers(#o are ans(erable for t#eir departments and agencies in Parliament/ t#at dut! is/ sub.ectto t#e provisions of t#e $ivil Service $ode4#ttp(((0civilservice0gov0ukiamcodescscodeinde'0asp 5 o(ed to t#e dul! constituted%overnment0

A9to0it8

4.1.2 *#e Minister for t#e $ivil Service is responsible for t#e central frame(ork/ outlinedin Sections 02 to 0/ (#ic# governs t#e conduct of civil servants0 Departments andagencies are responsible for defining t#e standards of conduct t#e! re9uire of t#eir staffand for ensuring t#at t#ese full! reflect t#e $ivil Service $ode and central frame(ork0

P0incie

4.1.3 *#e central frame(ork derives from t#e need for civil servants to be/ and to be seento be/ #onest and impartial in t#e e'ercise of t#eir duties0 *#e! must not allo( t#eir .udgement or integrit! to be compromised in fact or b! reasonable implication0 In particular

,. civil servants must not misuse information (#ic# t#e! ac9uire in t#e course of

t#eir official duties/ nor (it#out aut#orit! disclose official information (#ic# #as beencommunicated in confidence (it#in %overnment/ or received in confidence fromot#ers0 *#e! must not seek to frustrate t#e policies/ decisions or actions of%overnment eit#er b! declining to take/ or abstaining from/ action (#ic# flo(s fromministerial decisions or b! unaut#orised/ improper or premature disclosure outsidet#e %overnment of an! information to (#ic# t#e! #ave #ad access as civil servants:

-. civil servants must not take part in an! political or public activit! (#ic#compromises/ or mig#t be seen to compromise/ t#eir impartial service to t#e%overnment of t#e da! or an! future %overnment:

c. civil servants must not misuse t#eir official position or information ac9uired in t#e

course of t#eir official duties to furt#er t#eir private interests or t#ose of ot#ers0$onflicts of interest ma! arise from financial interests and more broadl! from officialdealings (it#/ or decisions in respect of/ individuals (#o s#are a civil servant;sprivate interests 4for e'ample freemasonr!/ members#ip of societies/ clubs andot#er organisations/ and famil!50 W#ere a conflict of interest arises/ civil servantsmust declare t#eir interest to senior management so t#at senior management candetermine #o( best to proceed: and

. civil servants must not receive gifts/ #ospitalit! or benefits of an! kind from a t#irdpart! (#ic# mig#t be seen to compromise t#eir personal .udgement or integrit!0

4.1.4 eit#er t#e $ivil Service $ode4#ttp(((0civilservice0gov0ukiamcodescscodeinde'0asp 5 nor t#is central frame(ork iscompre#ensive0 It does not deal for e'ample (it# suc# issues as isolated neglect of dut!/

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failure to obe! a reasonable instruction or ot#er forms of misconduct (#ic# ma! properl!be dealt (it# under disciplinar! arrangements0

R9e4.1.5 Departments and agencies must incorporate in t#e conditions of service of t#eirstaff t#e $ivil Service $ode 4#ttp(((0civilservice0gov0ukiamcodescscodeinde'0asp 50

4.1. Departments and agencies must define t#e standards of conduct t#e! re9uire oft#eir staff0 *#e! must

,. make clear to staff t#eir duties and obligations and t#e penalties t#e! ma! incur if t#e! fall s#ort of t#em:

-. compl! (it# t#e rules in Sections 02 to 0: and

c. ensure t#at t#e rules t#e! la! do(n for t#eir staff full! reflect t#e $ivil Service$ode and t#e standards of conduct described in Sections 02 to 0/ andincorporate an! additional rules necessar! to reflect local needs and circumstances0

4.2 Con9ct@ Con:ienti,it8 ,n O::ici, In:o07,tion

4.2.1 Departments and agencies must remind staff on appointment/ retirement orresignation t#at t#e! are bound b! t#e provisions of t#e criminal la(/ including t#e &fficialSecrets Acts/ (#ic# protect certain categories of official information/ and b! t#eir dut! of

confidentialit! o(ed to t#e $ro(n as t#eir former emplo!er0

St,n,0 o: con9ct to -e 0e:ecte in oc, t,:: 0e9,tion

4.2.2 $ivil servants are e'pected to be prepared to make available official information(#ic# is not #eld in confidence (it#in %overnment/ in accordance (it# %overnment polic!and departmental or agenc! instructions0 *#e! must not/ (it#out relevant aut#orisation/disclose official information (#ic# #as been communicated in confidence (it#in%overnment or received in confidence from ot#ers0 %overnment polic! in t#is area isavailable via t#e (ebsite of t#e Department for $onstitutional Affairs at

#ttp(((0foi0gov0ukinde'0#tm0

4.2.3 $ivil servants must continue to observe t#is dut! of confidentialit! after t#e! #aveleft $ro(n emplo!ment0

4.2.4 $ivil servants must not take part in an! activities or make an! public statement(#ic# mig#t involve t#e disclosure of official information or dra( upon e'perience gained int#eir official capacit! (it#out t#e prior approval of t#eir department or agenc!0 *#e! mustclear in advance material for publication/ broadcasts or ot#er public discussion (#ic# dra(son official information or e'perience0

4.2.5 $ivil servants must not publis# or broadcast personal memoirs reflecting t#eir

e'perience in %overnment/ or enter into commitments to do so/ (#ilst in $ro(nemplo!ment0 *#e permission of t#e "ead of t#eir Department and t#e "ead of t#e "ome

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$ivil Service must be soug#t before entering into commitments to publis# suc# memoirsafter leaving t#e service0

4.2. $ivil servants must not seek to frustrate t#e policies or decisions of Ministers b! t#euse or disclosure outside t#e %overnment of an! information to (#ic# t#e! #ave #adaccess as civil servants0

4.2.! In disc#arging t#eir duties under t#e $ivil Service $ode4#ttp(((0civilservice0gov0ukiamcodescscodeinde'0asp 5/ civil servants must maintaint#e long-standing conventions t#at ne( Administrations do not normall! #ave access topapers of a previous Administration of a different political comple'ion0 *#e conventionscover/ in particular/ Ministers; o(n deliberations and t#e advice given to t#em b! officials/ot#er t#an (ritten advice from t#e La( &fficers and t#ose papers (#ic# (ere publis#ed orput in t#e public domain b! t#e predecessor Administration0 In appl!ing t#e conventions tot#e devolved Administrations in Scotland and Wales/ an! information contained in t#eadministrative and departmental records belonging to a Minister of t#e $ro(n or a J%overnment department s#ould be treated as if it (ere contained in papers of a previous

Administration of a different political comple'ion0

4.2.& $ivil servants must not take part in t#eir official capacities in surve!s or researc#pro.ects/ even unattributabl!/ if t#e! deal (it# attitudes or opinions on political matters ormatters of polic!0

4.2.( $ivil servants (#o are elected national/ departmental or branc# representatives orofficers of a recognised trade union need not seek permission before publicising unionvie(s on an official matter (#ic#/ because it directl! affects t#e conditions of service ofmembers of t#e union as emplo!ees/ is of legitimate concern to t#eir members/ unless t#eir official duties are directl! concerned (it# t#e matter in 9uestion0 In all ot#er circumstancest#e! must conform to t#e standards set out above0

Le,


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$#ief +'ecutive before entering into an! arrangements regarding t#e publication ordissemination of an! $ro(n cop!rig#t protected material b! private sector publis#ers orinformation providers0 Suc# arrangements (ould usuall! be t#e sub.ect of specificlicensing/ to be #andled b! "MS&;s $op!rig#t nit0 *#is (ould not appl! in t#e follo(ingcircumstances

,. (#ere material is to be publis#ed in learned .ournals or in t#e proceedings ofconferences or seminars:

-. (#ere t#e material in 9uestion is to be publis#ed in an official/ aut#orised (orkspecificall! on be#alf of t#e originating department or agenc!: or

c. (#ere t#e department or agenc! is aut#orised to license t#e material underspecific delegated aut#orit! issued b! t#e $ontroller of "MS& or t#e ?ueen;s Printerfor Scotland0

4.2.13 W#ere departments and agencies are aut#orised to license t#e reproduction of

$ro(n cop!rig#t protected material (#ic# t#e! originate/ under t#e cases specified inparagrap# 02011 above/ t#e! must ensure t#at

,. t#ere is an obligation placed on t#e publis#er to ackno(ledge t#e $ro(n cop!rig#tsource material:

-. $ro(n cop!rig#t is not assigned to t#e publis#er: and

c. t#at t#e material is licensed on non-e'clusive terms0

4.2.14 $ro(n cop!rig#t is not an issue if a civil servant produces a cop!rig#t (orkunconnected (it# t#eir official duties and entirel! in t#eir o(n time0 If/ #o(ever/ t#e (ork in

9uestion is linked to t#eir official duties/ t#e! s#ould in t#e first instance consult t#eirDirector of Personnel or t#e "ead of t#eir Department or Agenc!/ (#o in turn ma! need toconsult "MS&;s $op!rig#t nit0 nder t#ese circumstances/ t#e follo(ing factors need tobe taken into account

,. (#et#er t#e civil servant produced t#e (ork during official time:

-. (#et#er t#e (ork is based on e'isting $ro(n cop!rig#t source documents: and

c. (#et#er t#ere are securit! considerations0

4.2.15 If a civil servant (rites a book in t#eir o(n time/ (#ic# is unrelated to t#eir official

duties/ but (is#es to incorporate e'tracts of $ro(n cop!rig#t protected material (it#in t#e(ork/ permission to reproduce t#e material s#ould be obtained from "MS&;s $op!rig#tnit0 It is customar! in suc# cases for t#e licence to be granted in favour of t#e publis#errat#er t#an t#e aut#or/ as it is t#e publis#er (#ic# is reproducing t#e material0 It ispermissible for t#e aut#or to submit t#e application on t#e publis#er;s be#alf0 W#ere anindividual is on secondment outside t#e $ivil Service/ cop!rig#t in an! (ork (#ic# t#e!produce during t#e term of t#eir secondment (ill rest (it# t#eir #ost organisation unlessot#er(ise agreed0

4.2.1 A series of %uidance otes on various aspects relating to cop!rig#t and officialpublis#ing can be obtained from t#e &ffice of Public Sector Information in t#e $abinet&ffice via its (ebsite at#ttp(((0opsi0gov0ukadvicecro(n-cop!rig#tcop!rig#t-guidanceinde'0#tm 0

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4.3 Con9ct@ St,n,0 o: P0o0iet8

Rules

4.3.1 Departments and agencies must not/ unless t#e civil servant #as full! disclosed t#emeasure of #is#er interest in t#e contract and senior management #as given permission/let contracts to

,. an! civil servant in t#e department or agenc!:

-. an! partners#ip of (#ic# a civil servant in t#e department or agenc! is amember: or

c. an! compan! (#ere a civil servant in t#e department or agenc! is a director4e'cept as a nominee of t#e department or agenc!50

*o enforce t#is rule/ departments and agencies must re9uire t#eir staff to report relevantbusiness interests0

4.3.2 Departments and agencies must ensure t#at civil servants (#o are bankrupt orinsolvent are not emplo!ed on duties (#ic# mig#t permit t#e misappropriation of publicfunds0

4.3.3 Departments and agencies must not sell surplus %overnment propert! to civilservants (#o #ave been able to get special kno(ledge about t#e condition of t#e goodsbecause of t#eir official duties: or #ave been officiall! associated (it# t#e disposalarrangements: or at a discount t#at (ould not be available to a member of t#e public0

4.3.4 Departments and agencies must re9uire staff to seek permission before acceptingan! outside emplo!ment (#ic# mig#t affect t#eir (ork eit#er directl! or indirectl!/ and mustmake appropriate arrangements/ (#ic# reflect t#e )usiness Appointments Rules for $ivilServants at anne' A and an! local needs/ for t#e #andling of suc# re9uests0

4.3.5 Departments and agencies must inform staff/ taking into account t#e principle inparagrap# 010>4d5/ of t#e circumstances in (#ic# t#e! need to report offers of gifts/#ospitalit!/ a(ards/ decorations and ot#er benefits and of t#e circumstances in (#ic# t#e!need to seek permission before accepting t#em0 In dra(ing up suc# rules departments andagencies must dra( t#e attention of staff to t#e provisions of t#e Prevention of $orruption Acts 163C and 161C0

4.3. Departments and agencies must consult t#e Foreign and $ommon(ealt# &ffice if acivil servant is offered a decoration or medal b! a foreign government0

St,n,0 o: con9ct to -e 0e:ecte in t,:: ,n-oo anne' A0 *#e Rules appl! to civilservants (#o intend to take up an outside appointment or emplo!ment after leaving t#e$ivil Service0 *#e approval process for applications under t#e Rules differs depending ont#e applicant;s seniorit!0 *#e Rules continue to appl! for t(o !ears after t#e last da! of$ivil Service emplo!ment0

4.3.& $ivil servants ma! freel! invest in s#are#oldings and ot#er securities unless t#enature of t#eir (ork is suc# as to re9uire constraints on t#is0 *#e! must not be involved in

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taking an! decision (#ic# could affect t#e value of t#eir private investments/ or t#e value of t#ose on (#ic# t#e! give advice to ot#ers: or use information ac9uired in t#e course of t#eir (ork to advance t#eir private financial interests or t#ose of ot#ers10

4.3.( $ivil servants must t#erefore declare to t#eir department or agenc! an! businessinterests 4including directors#ips5 or #oldings of s#ares or ot#er securities (#ic# t#e! ormembers of t#eir immediate famil! 4spouse/ including partner (#ere relevant/ and c#ildren5#old/ to t#e e'tent (#ic# t#e! are a(are of t#em/ (#ic# t#e! (ould be able to furt#er as aresult of t#eir official position0 *#e! must compl! (it# an! subse9uent instructions fromt#eir department or agenc! regarding t#e retention/ disposal or management of suc#interests0

4.3.1* $ivil servants (#o become bankrupt or insolvent must report t#e fact to t#eirdepartment or agenc!0 $ivil servants must let t#eir department or agenc! kno( if t#e! arearrested and refused bail/ or if t#e! are convicted of an! criminal offence0 *#is does notappl! to a traffic offence unless an official car (as involved/ or t#e penalt! includedimprisonment or dis9ualification from driving0

1 *#is is not intended to prevent civil servants from taking an e9uit! stake in companies (#ic# e'ploit

t#eir researc# sub.ect to appropriate safeguards in accordance (it# t#e $abinet &ffice guidance ont#is sub.ect 4Personnel Information ote 4PI5 > 4#ttpukresilienceiamcodesPISinde'0asp550

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4.3 ANNE' A@ THE +USINESS APPOINTMENT RULES#OR CIVIL SERVANTS

Te :oo6in R9e co=e0 te Ci=i Se0=ice. E9i=,ent =e0ion o: te R9e ,0e in,ce :o0 te Dio7,tic Se0=iceBInteience AencieBA07e #o0ce.

Te R9e ,8 to ci=i e0=,nt 6o inten to t,


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c0 a particular firm or organisation mig#t gain an improper advantage b! emplo!ingsomeone (#o/ in t#e course of t#eir official duties/ #as #ad access to

i0 information relating to unannounced or proposed developments in%overnment polic!/ kno(ledge of (#ic# ma! affect t#e prospectiveemplo!er or an! competitors: or

ii0 commerciall! valuable or sensitive information about an!competitors0

%o 79t ,8) 6en ,n o6

0 *#e Rules appl! to , e0=in ci=i e0=,nt ,n to :o07e0 ci=i e0=,nt :o0 t6o8e,0 ,:te0 te ,t ,8 o: ,i e0=ice0 *#is includes

• Permanent civil servants:

• $ivil servants on fi'ed term contracts:• $ivil servants on secondment to ot#er organisations:

• *#ose on secondment to t#e $ivil Service from ot#er organisations1: and

• Special advisers0

=0 )efore ,ccetin ,n8 ne6 ,oint7ent o0 e7o87ent) 6ete0 in te UK o0o=e0e,) 6ic te8 inten to t, and above

@0 An application is re9uired for an! ne( appointment or emplo!ment t#at t#e! (is# to

take up during t#e t(o !ear period after t#eir last da! of paid service0 Applications fromS$S> and above must be referred b! t#e Department to t#e Advisor! $ommittee/ (#oprovide advice to t#e Prime Minister/ (#o makes t#e final decision20

B0 )ecause of t#eir role at t#e #ig#est level of %overnment/ and t#eir access to a (iderange of sensitive information/ all Permanent Secretaries/ including Second PermanentSecretaries/ (ill be sub.ect to a minimum (aiting period of t#ree mont#s bet(een leavingpaid $ivil Service emplo!ment and taking up an outside appointment or emplo!ment0 *#e Advisor! $ommittee ma! advise t#at t#is minimum (aiting period s#ould be (aived if/ in its

1 +'cept (#en t#e! are returning to t#eir emplo!ing organisation/ and remain t#ere for t(o !ears/ in(#ic# case safeguards (ill #ave been provided in t#e terms of secondment02

W#ere applications are from civil servants (#o serveformerl! served in t#e Devolved Administrations in Scotland and Wales/ t#e Advisor! $ommittee (ill provide advice to t#e relevantFirst Minister/ (#o (ill make t#e final decision0

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.udgement/ no 9uestions of propriet! or public concern arise from t#e appointment oremplo!ment being taken up earlier0 +9uall!/ t#e Advisor! $ommittee ma! consider t#atpublic concern about a particular appointment or emplo!ment could be of suc# a degree orc#aracter t#at a longer (aiting period is appropriate0 *aking account of t#e ma'imum(aiting period of t(o !ears t#at ma! be applied/ t#e $ommittee ma!/ e'ceptionall!/ add arider to t#eir advice sa!ing t#at t#e! vie( t#e appointment or emplo!ment to be unsuitable0

60 As a general principle/ t#ere (ill be a t(o !ear ban on civil servants at S$S> andabove lobb!ing> %overnment on be#alf of t#eir ne( emplo!er after t#e! leave t#e $ivilService0 *#e t(o-!ear lobb!ing ban ma! be reduced b! t#e Advisor! $ommittee if t#e!consider t#is to be .ustified b! t#e particular circumstances of an individual application0

S$S2

130 An application is re9uired for an! ne( appointment or emplo!ment t#at t#e! (is# totake up during t#e t(o !ear period after t#eir last da! of paid service0 Decisions onapplications from S$S2 are made b! t#e relevant Permanent Secretar!0 In all cases/ t#e

Permanent Secretar!;s (ritten recommendation to t#e applicant setting out t#e decision ont#e case (ill be copied to t#e Advisor! $ommittee;s Secretariat at t#e same time0

S$S1 and belo(

110 Applications from S$S1 level and belo( (is#ing to take up a ne( appointment oremplo!ment during t#e t(o !ear period after t#eir last da! of paid service are consideredb! t#e Department0 An application is onl! re9uired if t#e individual;s circumstances matc#one or more of t#e follo(ing

i0 *#e! #ave been involved in developing polic! affecting t#eir prospectiveemplo!er/ or #ave #ad access to unannounced %overnment polic! or ot#er

privileged information affecting t#eir prospective emplo!er/ at an! time int#eir last t(o !ears in t#e $ivil Service0

ii0 *#e! #ave been responsible for regulator!/ or an! ot#er decisions/ affectingt#eir prospective emplo!er/ at an! time in t#eir last t(o !ears in t#e $ivilService0

iii0 *#e! #ave #ad an! official dealings (it# t#eir prospective emplo!er at an!time in t#eir last t(o !ears in t#e $ivil Service0

iv0 *#e! #ave #ad official dealings of a continued or repeated nature (it# t#eirprospective emplo!er at an! time during t#eir $ivil Service career0

v0 *#e! #ave #ad access to commerciall! sensitive information of competitorsof t#eir prospective emplo!er in t#e course of t#eir official duties0

vi0 *#e proposed appointment or emplo!ment (ould involve makingrepresentations to/ or lobb!ing t#e %overnment on be#alf of a ne(emplo!er0

vii0 *#e proposed appointment or emplo!ment is consultanc! (ork/ eit#er self-emplo!ed or as a member of a firm/ and t#e! #ave #ad official dealings (it#

3 Lobb!ing in t#is conte't means t#at t#e former civil servant s#ould not engage in communication

(it# %overnment 4including Ministers/ special advisers and officials5 (it# a vie( to influencing a%overnment decision or polic! in relation to t#eir o(n interests/ or t#e interests of t#e organisationb! (#ic# t#e! are emplo!ed/ or to (#om t#e! are contracted.

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outside bodies or organisations in t#eir last t(o !ears in t#e $ivil Servicet#at are involved in t#eir proposed area of consultanc! (ork0

Departments; "uman Resources functions (ill advise on (#et#er or not an application isre9uired0 All %rades

120 Serving civil servants must report to t#eir line manager an! approac# from anoutside emplo!er (it# an offer of an appointment or emplo!ment for (#ic# approval (ouldbe re9uired under t#e Rules if t#e! plan to follo( up t#e offer0 Staff engaged in t#e lettingor management of %overnment contracts must report all offers of an appointment oremplo!ment immediatel! to t#eir line manager (#et#er or not t#e! intend to follo( t#emup0

Special Advisers

1>0 nder t#e terms of t#eir contract/ special advisers are re9uired to submit anapplication to t#e #ead of t#eir former Department for an! ne( appointment or emplo!mentt#e! (is# to take up during t#e t(o !ear period after t#eir last da! of paid service0 In vie(of t#e particular nature of t#e special adviser role/ applications from all special advisers/regardless of seniorit!/ are referred to t#e Advisor! $ommittee0 *#e Advisor! $ommitteeprovides advice to t#e relevant Permanent Secretar!/ (#o makes t#e final decision basedon t#at advice0

10 Special advisers s#ould report to t#e Permanent Secretar! all offers of anappointment or emplo!ment received (#ile t#e! are emplo!ed as a special adviser0

Ho6 to ,8 :o0 ,0o=,

1=0 Applicants must approac# t#eir Department;s "uman Resources function as earl!as possible0 "uman Resources (ill #ave a process in place for #andling businessappointment applications0 *#is involves completing an application form (#ic# (ill need tobe countersigned b! an appropriate person/ normall! someone (it#in t#e line managementc#ain0

1C0 *o ensure t#e 9uickest possible turn around/ applications must be completed in asmuc# detail as possible/ (it# additional s#eets or documents attac#ed as necessar! toans(er t#e 9uestions posed0

1@0 otification of decisions on applications (ill be made t#roug# t#e Department0

1B0 Applications ma! be approved unconditionall!/ or approved sub.ect to conditionsappl!ing for a ma'imum of t(o !ears from t#e individual;s last da! of paid service0 Suc#conditions ma! include a (aiting period andor a pro#ibition on t#e individual beinginvolved in lobb!ing %overnment on be#alf of t#eir ne( emplo!er0 &t#er restrictions couldinclude a condition t#at for a specified period/ t#e former civil servant s#ould stand asidefrom involvement in certain activities/ for e'ample/ commercial dealings (it# #is or #erformer Department/ or involvement in particular areas of t#e ne( emplo!er;s business0

4 Lobb!ing in t#is conte't means t#at t#e former civil servant s#ould not engage in communication

(it# %overnment 4including Ministers/ special advisers and officials5 (it# a vie( to influencing a%overnment decision or polic! in relation to t#eir o(n interests/ or t#e interests of t#e organisationb! (#ic# t#e! are emplo!ed/ or to (#om t#e! are contracted.

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160 If an! condition/ including a (aiting period/ is imposed on t#e proposed appointmentit (ill run from t#e last da! of paid service0 $onsideration of t#e application ma!/ (#ere it is .udged appropriate/ take account of an! differences bet(een t#e last da! of paid serviceand t#e last da! in post0 Approval (ill not normall! be given to start a paid appointment oremplo!ment (it# a ne( emplo!er before completion of t#e last da! of paid service0

0230 W#ere it is proposed t#at an application be approved (it# conditions or a (aitingperiod/ t#e applicant (ill be offered an opportunit! to discuss an! concerns #e or s#e ma!#ave (it# an appropriate departmental officer/ or for applicants at S$S> level or above andspecial advisers/ (it# t#e Advisor! $ommittee/ before a final decision is made0

210 For t#ose cases considered b! t#e Advisor! $ommittee 4applications from S$S>and above and special advisers5/ in addition to t#e ma'imum t(o-!ear (aiting period/ t#e Advisor! $ommittee ma!/ if t#e! .udge t#e propriet! concerns to be substantial/ add a riderto t#eir advice sa!ing t#at t#e! also vie( t#e appointment to be unsuitable0 It is for t#ePrime Minister 4or relevant Permanent Secretar! in t#e case of special advisers5 to take t#efinal decision on t#e application based on t#e advice received from t#e Advisor!

$ommittee0

220 In addition to notif!ing t#e applicant of t#e outcome of t#eir application/ t#eDepartment must also inform prospective emplo!ers of an! conditions (#ic# #ave beenattac#ed to t#e approval of t#e appointment or emplo!ment0 For t#ose applicationsconsidered b! t#e Advisor! $ommittee/ t#eir advice/ alongside summar! details of t#eapplicant;s last $ivil Service post/ (ill usuall! be made public once t#e appointment oremplo!ment #as been taken up b! t#e applicant or announced/ and Departments #avediscretion to publicise t#eir advice in t#e same (a!0 In all ot#er respects/ t#e businessappointment process is a confidential one=0

%e0e to :in o9t 7o0e

2>0 Departmental guidance and advice on t#e Rules is available from local "umanResources functions/ and/ (#ere applicable/ on local intranets0 More about t#e operationof t#e Rules/ including details of appointments approved and taken up b! t#e most seniormembers of t#e $ivil Service/ can be found on t#e (ebsite of t#e independent Advisor!$ommittee on )usiness Appointments 4#ttpacoba0independent0gov0uk 50

20 *#e Advisor! $ommittee;s Secretariat is available to provide advice and support toDepartments on t#e application of t#e )usiness Appointment Rules and t#e #andling ofindividual cases at an! level0 $ontact details are

&ffice of t#e Advisor! $ommittee on )usiness Appointments

>rd Floor >= %reat Smit# StreetLondonSW1P >)?*el 43235 @2@C 2C13Fa' 43235 @2@C 2C3@Website #ttpacoba0independent0gov0uk+-Mail officeGacoba0'0gsi0gov0uk

5

*#e $ommittee #andles personal information provided to it in accordance (it# t#e Data Protection Act 166B0 Suc# information ma! on limited occasions be publis#ed/ for e'ample/ if t#e $ommittee isre9uired to publis# information in accordance (it# t#e Freedom of Information Act 2333 .

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2=0 %uidelines to Departments on administering t#e )usiness Appointment Rules for$ivil Servants are provided in Section 0> Anne' )0

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SECTION 4.3 ANNE' +@ GUIDELINES #OR DEPARTMENTS ONADMINISTERING THE +USINESS APPOINTMENT RULES #ORCIVIL SERVANTS

Te ,ic,tion

10 Departments s#ould use t#e model application form supplied b! t#e Secretariat to t#eindependent Advisor! $ommittee on )usiness Appointments (#ic# can be accessed at#ttpacoba0independent0gov0ukmedia2122model-business-appointments-application-form-civil-servants0rtf 0

20 *#e countersigning officer s#ould be someone in a position to understand t#e potentialissues arising from t#e applicant;s proposed outside appointment and .udge t#e possiblepublic perceptions s#ould t#e appointment be taken up as proposed0 *#is (ill normall! be

someone in t#e applicant;s line management c#ain0

>0 *#e relevant Permanent Secretar! 4or e9uivalent5 is responsible for t#e effectiveoperation of t#e )usiness Appointment Rules (it#in t#eir Department0 $ountersignedapplications s#ould be sent to "uman Resources functions for departmental action0 *#iss#ould include scrutin! of t#e form to ensure t#at all t#e re9uested information #as beencompleted b! bot# t#e applicant and t#e countersigning officer/ and t#at t#ere isconsistenc! in decision making across t#e Department0 0 Applications must be dealt (it# in t#e follo(ing manner

• S$S> and above All applications must be referred to t#e Advisor!

$ommittee (#o (ill give t#eir advice to t#e Prime Minister (#o (ill maket#e final decision0 *#e decision (ill be communicated to t#e Departmentas soon as practicable b! t#e Advisor! $ommittee;s Secretariat0

• S$S2 All applications s#ould be dealt (it# b! t#e relevant Permanent

Secretar! 4or e9uivalent50

• S$S1 and belo( All applications s#ould be dealt (it# b! t#e

Department0

• Special advisers All applications must be referred to t#e Advisor!

$ommittee/ (#o (ill provide advice to t#e relevant Permanent Secretar!4or e9uivalent5/ (#o (ill make t#e final decision0

• *#e proposed decision on an! application can be referred to t#e

Advisor! $ommittee;s Secretariat for informal advice s#ould t#eDepartment (is# to do so0

• An application at an! level ma! be referred to t#e independent

Advisor! $ommittee if t#e "ead of t#e $ivil Service andor t#e relevantPermanent Secretar! 4or e9uivalent5 agree it is necessar! to #aveindependent advice0

=0 )efore sending an! applications from S$S> and above and applications from specialadvisers to t#e Advisor! $ommittee;s secretariat for submission to t#e Advisor! $ommittee/

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Departments must make an initial assessment of t#e appointment/ and take an initial vie(on (#at recommendation (ould be appropriate0 *#is recommendation s#ould accompan!t#e completed application and an! supporting documentation and s#ould be sent to t#eaddress belo(

&ffice of t#e Advisor! $ommittee on )usiness Appointments>rd Floor >= %reat Smit# StreetLondonSW1P >)?*el 43235 @2@C 2C13Fa' 43235 @2@C 2C3@Website #ttpacoba0independent0gov0uk+-Mail officeGacoba0'0gsi0gov0uk

C0 *#e Advisor! $ommittee aims to provide its advice to t#e Prime Minister 4or relevantPermanent Secretar! in t#e case of applications from special advisers5 (it#in 23 (orking

da!s of receipt of a full! completed application from Departments0 $omple' cases ma!take longer/ but in suc# cases/ t#e $ommittee;s Secretariat (ill advise t#e Departmentconcerned0

@0 &nce t#e application process #as been completed/ t#e Department is responsible formaking t#e decision on cases belo( S$S>0

B0 For cases at S$S2/ t#e Permanent Secretar!;s (ritten recommendation to t#eapplicant setting out t#e decision on t#e case must be copied to t#e Advisor! $ommittee;sSecretariat at t#e same time0

60 W#ere a Department recommends a (aiting period/ or conditions/ t#e applicant s#ould

be given t#e opportunit! to discuss t#e application (it# an appropriate departmental officerand make an! representations to t#em before t#e final decision is reac#ed0 *#oseapplicants dealt (it# b! t#e Advisor! $ommittee (ill normall! be asked if t#e! (is# to meet(it# t#e $ommittee before an! advice is offered to t#e Prime Minister 4or relevantPermanent Secretar! if t#e applicant is a special adviser50 Co7i,nce A90,nce

130 Departments must manage t#e reputational and ot#er risks associated (it# t#emovement of staff to ot#er emplo!ers0 Permanent Secretaries 4and e9uivalents5 arepersonall! responsible to t#e "ead of t#e $ivil Service for t#e effective management oft#ese risks/ and t#e timel! and appropriate #andling of business appointment applications

(it#in t#eir departments0

110 Permanent Secretaries 4and e9uivalents5 are re9uired to send an annual confirmationof compliance to t#e Advisor! $ommittee0

120 *#e Advisor! $ommittee;s Secretariat undertakes a programme of informal compliancec#ecks of Departments; arrangements for #andling business appointment applications0

1>0 $ompliance c#ecks (ill seek evidence of effective management of t#e )usiness Appointment Rules (#ic# s#ould include t#e follo(ing

a0 Promoting A(areness Departments s#ould ensure t#at all staff #ave accessto t#e )usiness Appointment Rules and be a(are of t#eir e'istence0 *o be

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enforceable/ t#e Rules must be included in staff #andbooks or e9uivalentdocumentation 4for e'ample/ on departmental intranets50

b0 +nsuring $onsistenc! Departments s#ould put measures in place to ensuret#at t#e Rules are consistentl! applied (it#in t#e organisation/ and t#at t#e! arebroadl! consistent (it# t#e Advisor! $ommittee;s approac#0

c0 +nsuring Fairness Departments s#ould deal (it# applications in line (it#t#eir turnaround targets/ and be open and #onest (it# applicants about t#e#andling of t#eir applications0

d0 Managing Leavers *#ose leaving t#e department/ for (#atever reason/s#ould #ave t#e Rules broug#t to t#eir attention at t#e earliest opportunit!0 $ares#ould also be taken (#en agreeing t#e terms of an! career breaks as t#is can/on occasion/ lead to someone leaving t#e Department on a permanent basis4for e'ample/ it (ould be difficult to set conditions on t#e appointment if t#eDepartment #ad alread! allo(ed it to be taken up during a career break (#ic#

#ad subse9uentl! been curtailed50

e0 Managing +mplo!ment $ontracts Draftmodel contracts of emplo!ment E for e'ample/ for fi'ed term appointees or members of t#e S$S E s#ould makee'plicit reference to t#e Rules0

f0 Protecting *#ird Parties W#ere applicants #ave/ at an! time during t#eir lastt(o !ears in t#e $ivil Service/ #ad contractual dealings (it# an! competitors oft#eir prospective emplo!er/ or access to information concerning t#em (#ic#could be regarded as commerciall! sensitive/ Departments s#ould seek t#evie(s of t#e competitors about t#e proposed appointment as a matter of course0

g0 Managing "ig# Risk Areas Departments s#ould identif! interc#ange trendsand obvious areas of risk and ensure t#ese are understood b! seniormanagement and monitored appropriatel! E for e'ample/ b! ensuring t#at allsecondees into t#e $ivil Service are free from an! conflict of interest/ and t#att#e! are free to return to t#eir parent emplo!er (it#out t#ere being cause forconcern on propriet! grounds: and b! ensuring t#at all staff involved inprocurement and t#eir line management are a(are of t#e re9uirement to reportall .ob offers to t#eir Departments: and b! ensuring t#at relations#ips (it#suppliers and partner organisations remain on a proper footing0

#0 Informing Parties of Decisions In addition to advising t#e applicant of t#efinal decision/ t#e Department must also inform t#e prospective emplo!er 4and/

if appropriate/ t#eir competitors5 of an! (aiting periods or conditions imposed/as (ell as informing affected officials (it#in %overnment E for e'ample/ anapplicant;s former colleagues (ill need to be a(are if an appointment #as beenapproved on t#e condition t#at t#e applicant does notpersonall! engage in lobb!ing former colleagues on be#alf of #is or #er ne(emplo!er0

i0 Managing Public +'pectations W#ilst t#ere is no re9uirement forDepartments to publis# t#eir decisions on applications t#ere ma! be occasions(#ere a particular appointment attracts (ider press or public attention0 &nt#ese occasions/ t#e Department (ill (ant to be able to e'plain t#eir position9uickl!/ and so s#ould ideall! structure t#eir case management s!stems (it#t#is in mind E it is unlikel! to instil public confidence in t#e s!stem ifDepartments are unable to confirm t#e decisions t#e! #ave or #ave not made0

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10 In addition to making public t#eir advice on applications referred to t#em/ t#e Advisor! $ommittee ma! also comment on t#eir assessment of overall compliance (it# t#eRules b! Departments 4and ot#er bodies5/ in t#eir Annual Report0

1=0 *#e Advisor! $ommittee;s Secretariat 4contact details at paragrap# = above5 isavailable to provide advice and support to Departments on t#e application of t#e )usiness Appointment Rules and t#e #andling of individual cases at an! level0

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If t#e first of t#ese t(o conditions is not met/ reinstatement is at t#e discretion of t#edepartment or agenc!/ but departments and agencies are encouraged to treat applicationss!mpat#eticall!0

4.4.! Departments and agencies #ave discretion to reinstate civil servants (#o are not int#e politicall! free categor! follo(ing resignation to stand for election to Parliament or t#e+uropean Parliament0 Discretion to reinstate s#ould normall! be e'ercised onl! (#ere it ispossible to post staff/ at least initiall!/ to non-sensitive areas0

4.4.& W#ere a civil servant is reinstated/ t#e period of t#e break (ill not count for pa! orsuperannuation purposes0 Salar! (ill not be pa!able during t#e break0

St,n,0 o: con9ct to -e 0e:ecte in t,:: ,n-oo


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make it clear t#at t#e! are e'pressing vie(s as representatives of t#e union and not as civilservants0

4.4.1! $ivil servants given permission to take part in local political activities must tell t#eirdepartment or agenc! if t#e! are elected to a local aut#orit!0

4.4.1& $ivil servants given permission to take part in political activities must give up t#oseactivities if t#e! are moved to a post (#ere permission cannot be granted0

4.4.1( $ivil servants are dis9ualified from election to Parliament 4"ouse of $ommonsDis9ualification Act 16@=5 and from election to t#e +uropean Parliament 4+uropeanParliamentar! +lections Act 16@B50 *#e! must t#erefore resign from t#e $ivil Service beforestanding for election in accordance (it# paragrap#s 0023 and 00210

4.4.2* $ivil servants in t#e politicall! free group are not re9uired to resign on adoption as aprospective candidate0 )ut to prevent t#eir election being #eld to be void t#e! must submitt#eir resignation before t#e! give t#eir consent to nomination in accordance (it# t#e

Parliamentar! +lection Rules0

4.4.21 All ot#er civil servants/ including civil servants on secondment to outsideorganisations/ must compl! (it# t#e provisions of t#e Servants of t#e $ro(n4Parliamentar!/ +uropean Parliamentar! and ort#ern Ireland Assembl! $andidature5&rder 16B@0 *#e! must not issue an address to electors or in an! ot#er manner publicl!announce t#emselves or allo( t#emselves to be publicl! announced as candidates orprospective candidates for election to Parliament or t#e +uropean Parliament: and t#e!must resign from t#e $ivil Service on t#eir formal adoption as a Parliamentar! candidate orprospective candidate in accordance (it# t#e procedures of t#e political part! concerned0$ivil servants not in t#e politicall! free group (#o are candidates for election mustcomplete t#eir last da! of service before t#eir adoption papers are completed.

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4.4 ANNE' A@ GUIDELINES AND PRINCIPLES ONPARTICIPATION IN POLITICAL ACTIVITIES

1. In e'ercising discretion over participation b! civil servants in t#e political activitiesdescribed in paragrap# 00>/ departments and agencies must pa! regard to t#e follo(ingprinciples

,. permission s#ould normall! onl! be refused (#ere civil servants are emplo!ed insensitive areas in (#ic# t#e impartialit! of t#e $ivil Service is most at risk0Permission ma! be granted to individuals or groups to undertake eit#er onl!national or onl! local political activities:

-. permission s#ould normall! be granted in all ot#er circumstances/ provideddepartments and agencies are satisfied t#at t#e civil servants concerned are a(areof t#e need to observe t#e principles set out in paragrap#s 0013 and 0011 and

t#e ot#er rules governing t#e conduct of civil servants/ including t#ose relating tot#e use of official information0

2. In appl!ing t#ese principles/ departments and agencies s#ould regard posts as being7sensitive8 if

,. t#e! are closel! engaged in polic! assistance to Ministers 4or to non-departmental $ro(n bodies5 suc# as tendering advice or e'ecuting immediateMinisterial directives:

-. t#e! are in t#e private offices of Ministers or senior officials or in areas (#ic# arepoliticall! sensitive or sub.ect to national securit!:

c. t#e! re9uire t#e post#older regularl! to speak for t#e %overnment or t#eirdepartment or agenc! in dealings (it# commercial undertakings/ pressure groups/local government/ public aut#orities or an! ot#er bodies:

. t#e post#older represents t#e %overnment in dealing (it# overseasgovernments: or

e. t#e post#older is involved in a significant amount of face to face contact (it#members of t#e public (#o ma! be e'pected to kno( of t#e post#older;s politicalactivities and makes/ or ma! appear to make/ decisions directl! affecting t#empersonall!0

3. Departments and agencies are advised to appl! as #elpful a postings polic! aspossible to staff (#o (is# to become or remain politicall! active/ provided t#e staffconcerned understand t#at t#is ma! #ave t#e effect of limiting t#eir range of e'perience:and to identif! blocks of posts in (#ic# staff ma! be granted advance permission to takepart in t#e political activities described in paragrap# 0010

4. W#ere a civil servant is adopted as a parliamentar! candidate and is t#erefore re9uiredto resign/ departments and agencies ma!/ at t#eir discretion/ make an e'-gratia pa!mente9uivalent to t#e period of notice to be given to t#e individual if t#e adoption process doesnot reasonabl! allo( for t#e individual to give full notice0

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4.5 Di7i,) Diciine ,n G0ie=,nce@ R9e ,n Coe o: P0,ctice

4.5.1 Departments and agencies are responsible for t#eir o(n dismissal/ disciplinar! andgrievance arrangements0 Additionall!/ t#e Minister for t#e $ivil Service re9uires t#at

departments and agencies must act (it#in t#e central frame(ork set out belo(0 *#e! must

,. ensure t#at staff are a(are of t#e procedures (#ic# (ill appl! to t#em fordismissals/ disciplinar! decisions s#ort of dismissal/ and grievances/ and of t#ecircumstances in (#ic# t#e! ma! be invoked: and

-. reflect t#e rules at paragrap#s 0=02 to 0=01C and Anne' A in t#eir o(ndisciplinar! procedures0

*#e attention of departments and agencies is dra(n to t#e follo(ing as guides to t#edra(ing up of t#eir o(n procedures

i. t#e A$AS $ode of Practice on Disciplinar! and %rievance Procedures

4#ttp(((0acas0org0ukinde'0asp'NarticleidO21@ 5

ii. t#e good practice guide (#ic# complements t#e $ode of Practice/ Discipline andgrievance E t#e Acas guide

#ttp(((0acas0org0uk$"ttp"andler0as#'NidO13>

*#e A$AS $ode of Practice is given significant (eig#t in +mplo!ment *ribunal cases and(ill be taken into account (#en considering relevant cases0

Diciine ,n i7i,

4.5.2 Disciplinar! procedures ma! be invoked in certain circumstances in addition to/ orinstead of/ criminal investigations or legal proceedings0 Departments and agencies s#ouldconsult t#eir legal advisers before taking disciplinar! action in parallel (it# criminalproceedings and compl! (it# t#e section belo( on suspension from dut!0

4.5.3 It is for departments and agencies to define t#e circumstances in (#ic# initiation ofdisciplinar! procedures ma! be appropriate0 It is not necessar! to attempt to define ever!circumstance0 "o(ever departments; and agencies; rules for staff must make clear t#ecircumstances in (#ic# t#e application of t#e disciplinar! procedures ma! be considered/and t#ese must include

,. breac#es of t#e organisation;s standards of conduct or ot#er forms of misconduct

4see paragrap# 0105: and

-. an! ot#er circumstances in (#ic# t#e be#aviour/ action or inaction of individualssignificantl! disrupts or damages t#e performance or reputation of t#e organisation:

as (ell as ot#er circumstances covered b! t#e statutor! dispute resolution procedures0 4.5.4 *#e central rules on t#e limited efficienc! and inefficienc! procedures are given inSection C0>0

4.5.5 It is for departments and agencies to decide t#e level at (#ic# decisions are made/(#et#er or not to proceed (it# disciplinar! action/ t#e disciplinar! procedures to be

follo(ed/ and t#e arrangements for appeals0 "o(ever/ departments and agencies mustcompl! (it# t#ese rules0 *#e $abinet &ffice recommends setting up simple/ clear

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procedures (#ic# closel! follo( t#e A$AS $ode of Practice and guidance rat#er t#anadding additional steps0

Diciin,08 e,0in ,n eciion;7, must betaken b! t#e Permanent "ead of t#e Department or $#ief +'ecutive of t#e Agenc!0

Decisions concerning $#ief +'ecutives belo( t#at level must be taken b! t#e Permanent"ead of Department0 Individuals in t#ese cases #ave a rig#t of appeal to t#e "ead of t#e"ome $ivil Service0

4.5.& Decisions not to proceed (it# disciplinar! action in cases of serious fraud/ ot#ert#an (#ere t#e individual is being prosecuted/ must be taken b! t#e "ead of Department or $#ief +'ecutive of t#e agenc! after consultation (it# t#e responsible Minister0

4.5.( *#e sanctions applied as a result of disciplinar! proceedings are a matter for t#edepartment or agenc! concerned in t#e lig#t of t#e circumstances of eac# case0

S9enion :0o7 9t8

4.5.1* Individuals under criminal investigation or disciplinar! procedures ma! besuspended from dut! if necessar! to protect t#e public interest0 Pa! ma! not be (it##eld or reduced to basic pa! during suspension unless t#e appropriate steps under t#edepartment;s or agenc!;s dispute resolution procedures #ave been completed0

Di7i,

4.5.11 Departments and agencies must follo( t#e statutor! dispute resolution procedures(#enever a member of staff is/ or ma! be/ dismissed unless t#e dismissal/ suc# asretirement (#ic# #as its o(n separate procedure/ is clearl! outside t#e statutor! disputeresolution procedures/

G0ie=,nce

4.5.12 *#e level at (#ic# grievances are determined is a matter for t#e Permanent "eadof Department/ sub.ect to compliance (it# t#e follo(ing good practice guidance0

• W#ere a grievance is raised on an issue attributable to an identifiable management

decision/ t#e decision on t#e grievance s#ould be taken/ (#ere t#is is practicable/b! an officer at least one management level #ig#er t#an t#e officer (#o (asresponsible for t#e decision or action (#ic# is t#e sub.ect of t#e grievance0

• Appeals on grievance matters must be #eard/ (#ere t#is is possible/ b! someone at

least one level #ig#er t#an t#e person making t#e decision being appealed0

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• Appeal decisions s#ould be taken b! someone independent of t#e original decision

if t#is is practicable0

Coecti=e G0ie=,nce

4.5.13 Recognised trade unions #ave t#e rig#t to make representations on proceduralmatters and on general principles underl!ing disciplinar! action0 Suc# representations ma!be made centrall! and at departmental and agenc! level0 Additionall!/ trade unionrepresentatives or anot#er emplo!ee representative ma! raise a collective grievance onbe#alf of more t#an one emplo!ee0 In line (it# t#e statutor! procedures/ t#ese (ouldnormall! be dealt (it# t#roug# t#e ordinar! c#annels of trade uniondepartmentalcommunications rat#er t#an t#roug# t#e grievance procedure/ and departments andagencies (ill t#en be considered as #aving complied (it# t#e statutor! grievanceprocedure0

R9e co77on to iciin,08 ,n 0ie=,nce 0oce90e

Ait,nce ,t , e,0in

4.5.14 Staff must be given t#e rig#t to t#e assistance of a trade union official or a colleaguet#roug#out formal disciplinar! or grievance proceedings0

Ae,

4.5.15 Departments and agencies must make clear to individuals t#eir rig#ts of appealagainst disciplinar! or grievance decisions0 Staff must #ave a route of appeal (it#in t#edepartment or agenc!0 In addition/ departments and agencies must allo( staff (#o aredismissed to appeal to t#e $ivil Service Appeal )oard if t#e! are eligible to do so 4seeparagrap# 12010@50

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4.5.1 Departments and agencies must appl!/ (#ere appropriate/ t#e rules (#ic# appl! tot#e recover! of losses to public funds on dismissal and to t#e forfeiture of superannuationbenefits in respect of dismissal for certain criminal offences0 *#ese rules are set out in Anne' A0

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4.5 ANNE' A@ RECOVER$ O# LOSSES TO PU+LIC #UNDS

1. &n dismissal for an offence involving loss to public funds/ an! sums unpaid/ fore'ample in respect of salar! or (ages up to t#e last da! of dut!/ or of income ta' overpaid

on salar! ma! be (it##eld as a set-off against t#e loss0 Similar set-offs s#ould be made ifsomeone (#o (ould #ave been dismissed for an offence resigns before t#e dismissal canbe put into effect0 *#e Inland Revenue s#ould be notified of an! sums so (it##eld inrespect of income ta' refund/ and at t#e same time be re9uested t#emselves to (it##oldt#e refund of overpa!ment of ta'0 If t#e amount of ta' from t#ese sources is less t#an t#eloss to public funds/ it ma! be possible to recover t#e balance from an! superannuationbenefits pa!able0 $ivil Service Pensions Division/ $abinet &ffice s#ould be consulted at anearl! stage and t#eir aut#orit! obtained for t#e deduction to be made0

#o0:eit90e o: S9e0,nn9,tion +ene:it >ee ,o Section 12.1?

2. Automatic loss of pension rig#ts applies onl! (#ere a civil servant is convicted of

treason0

3. *#e $abinet &ffice e'ercises t#e po(er under rule B02 of t#e Principal $ivil ServicePension Sc#eme to (it##old superannuation benefits in (#ole or in part if a civil servant orformer civil servant is convicted of

,. one or more offences under t#e &fficial Secrets Act 16B6 for (#ic# t#e personconcerned #as been sentenced to a term of imprisonment of at least ten !ears or#as been sentenced on t#e same occasion to t(o or more consecutive termsamounting in t#e aggregate to at least 13 !ears: or

-. an offence in connection (it# an! emplo!ment to (#ic# t#e P$SPS applies/

being an offence (#ic# is certified b! a Minister of t#e $ro(n eit#er to #ave beengravel! in.urious to t#e State or to be liable to lead to serious loss of confidence int#e public service0

4. *#e guaranteed minimum pension pa!able under t#e provisions of t#e Social Securit!Pensions Act 16@=/ as amended/ must be paid in t#e case of paragrap# >b/ but t#atelement of a pension can be (it##eld if forfeiture is applied under paragrap# >a or as aresult of a conviction for treason0 )efore t#e $abinet &ffice e'ercises t#is po(er to (it##oldsuperannuation benefits/ t#e case (ill be discussed on a 7(it#out pre.udice8 basis (it# t#etrade union side0

5. *#e $abinet &ffice (ill normall! advise Ministers on t#e certification of offences inaccordance (it# paragrap# >b0 +mplo!ment $onditions and Statistics Division/ $abinet&ffice s#ould t#erefore be consulted at an earl! stage in an! case in (#ic# criminalproceedings are pending and t#e c#arges are suc# t#at a (it##olding of superannuati

civil service management code june2011 tcm6 3222 (1)

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