OUTSIDE ACTIVITIES

This instruction applies to: Reference:

National Probation Service PI 38/2014

Issue Date Effective Date Expiry Date Implementation Date 20 January 2015 1 June 2014 31 May 2015 (Revised) Issued on the NOMS Agency Board authority of For action by All staff responsible for the development and publication of policy and instructions National Probation Service (NPS) Instruction type HR function For information All staff Provide a summary of The aim of the policy is to ensure a consistent approach to the policy aim and the authorising outside activities is maintained across the NPS reason for its Directorate and to ensure there is no conflict with the interests development/ revision of NOMS. Contact Shared Services HR Contact Centre  0845 010 3504 Associated Guidance on undertaking all the requirements contained in this documents Instruction can be found on the My Services website. PI xx/2014 - Corruption Prevention: How to Identify, Report and Manage Staff Corruption in the National Probation Service (yet to be published) Civil Service Code PI 42/2014 NOMS/NPS Staff Grievance policy PI 19/2014 AI 19/2014 PSI 25/2014 NOMS IT Security Policy Replaces the following documents which are hereby cancelled: None

Audit/monitoring: Chief Officer Grades staff Pay Bands A-D will ensure local records are kept and monitored to demonstrate compliance with the mandatory actions set out in this instruction. Compliance with this Instruction will be monitored by Deputy Directors (DDs) within their Division. Introduces amendments to the following documents: None

Notes: Update 20 January 2015 Due to a report from the Public Administration Select Committee into the Business Appointment Rules, the Government has recently published a revised set of Business Appointment Rules as a result amendments have been made to paragraph 2.84.

All Mandatory Actions throughout this instruction are in italics and must be strictly adhered to.

PAGE 1 CONTENTS

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Section Title For reference by 1 Executive Summary 2 Outside Activities Policy 2.1 Purpose 2.4 Other Employment 2.11 Dealing with Official Information 2.16 Taking Part in Trade Union Activities 2.22 Press, TV or Radio 2.30 Publications All staff 2.39 Speeches and Lectures 2.42 Taking Part in Surveys 2.46 Business Affairs 2.56 Cadet Forces 2.58 Jury Service 2.61 Political Activities 2.81 Outside Appointments 2.94 Legal Proceedings

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 2 1. Executive Summary

Background

1.1 This PI sets out policy on Outside Activities. It applies to all staff directly employed in the NPS Directorate of NOMS.

1.2 The purpose of this policy is to ensure that staff :

 do not engage in any activity which might lead to their being less effective civil servants, or which  might bring NOMS (NPS) into disrepute  might conflict with the interests of NOMS (NPS), or  might be inconsistent with their position as civil servants

Desired outcomes

1.3 This PI aims to ensure that:  A consistent approach to authorising outside activities is maintained across the estate;  There is no conflict with the interests of NOMS (NPS);  Staff remain effective in their position as civil servants;  Staff comply with the Working Time Regulations;  Staff understand the need to ensure their actions outside of work do not bring NOMS (NPS) into disrepute

Application

1.4 All staff must be familiar with all sections of this policy.

1.5 All managers with responsibility for authorising outside activities are required to read and follow all sections of the NPS Outside Activities policy as required.

Mandatory actions

1.6 All actions in this Instruction are mandatory unless otherwise specified and are shown in italics. All levels of management and all employees must ensure that they are aware of these mandatory actions and ensure this policy is implemented and adhered to.

Resource Impact

1.7 It is not anticipated that there will be any direct resource impact resulting from this Instruction.

(Approved for Publication)

Carol Carpenter Director of Human Resources, NOMS

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 3

2. OUTSIDE ACTIVITIES POLICY

Purpose

2.1 Outside activities is a general term to describe paid or unpaid activities (which may include voluntary work otherwise covered on My Services) away from work. This PI sets out NOMS NPS policy on:

 Other employment;  Dealing with official information;  Taking part in Trade Union Activities;  Press, TV or radio;  Publications;  Speeches and lectures;  Taking part in surveys;  Business affairs;  Jury Service;  Cadet Forces;  Political activities;  Outside appointments;  Legal proceedings.

2.2 The purpose of this policy is to clarify the circumstances in which NOMS employees may engage in outside activities.

2.3 If staff do not comply with the rules and requirements set out in this Instruction they may be subject to disciplinary (or legal) procedures which could lead to their dismissal.

Other Employment

Principles

2.4 Staff may take on other work as long as:  they declare their plans before starting the work;  it does not conflict with their duties or the Working Time Regulations; and  they have been given permission to do so.

Applying for permission

2.5 All staff must obtain written permission from the relevant senior manager before taking up another job, whether paid or unpaid, while they are employed by NOMS (NPS). Staff must also obtain permission if they wish to perform any duty for another government department outside the scope of their official duties. Permission is required because management needs to make sure that the work does not:

 affect staff negatively because it breaks the Working Time Regulations or health and safety regulations;  have a negative effect on their official work; or

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 4

 conflict with their official position, or with our interests, or damage public confidence with NOMS (NPS).

2.6 In deciding whether to give permission, the relevant senior manager (Chief Officer Grades staff Pay Bands A-D must bear in mind the following:

 In most circumstances NOMS (NPS) work must have priority over any other work;  The activity must not conflict with the employee’s official position, NOMS (NPS) interests, damage public confidence in NOMS (NPS), or otherwise bring NOMS (NPS) into disrepute;  The activity should not require attendance during the member of staff’s normal scheduled working hours;  Subject to the particular requirements of their NOMS (NPS) role, the member of staff must be available to attend their NOMS (NPS) employment at short notice if required;  The requirements of the Working Time Directive;  The member of staff’s performance;  The member of staff’s attendance record;  The member of staff’s conduct where this is relevant to the nature of the secondary employment.

2.7 In accordance with the Working Time Regulations staff must sign an opt-out clause if their other employment could lead to them working over 48 hours a week. Forms are available on My Services.

2.8 Staff must not engage in paid outside activity whilst they are sick or on paid special leave. If they do, their pay from NOMS will be stopped.

2.9 NOMS (NPS) may also withdraw permission to work in another job – e.g. if there is a conflict of interest and the individual’s performance at work is suffering.

2.10 The nature and demands of other employment may change over time. Staff who have other jobs must therefore ask for permission to be renewed, and renew their opt-out clause every twelve months. Individual members of staff are responsible for submitting the necessary information to the relevant senior manager every twelve months. Dealing with Official Information

Principles

2.11 Staff must not release official information unless they are authorised to do so, and must take all due care to safeguard official information in their possession.

Disclosing Official Information

2.12 Staff must comply with the requirements of the Data Protection Act, the Freedom of Information Act, and the Environmental Information Regulations.

2.13 Staff must not release, to anyone who is not authorised to receive it, personal sensitive information or information which they have gained through their official

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 5 duties. Details of the standards required can be found in chapter four of the Civil Service Management Code and in the Civil Service Code. These also apply to staff participation in social media and online activity. Further guidance is available on My Services.

2.14 Staff must  take particular care with information which has a security marking - for more information on security markings and how this affects how you handle information, ask your manager, read the NOMS IT Security Policy PI 19/2014 AI 19/2014 PSI 25/2014, or contact the MoJ Architecture, Technology and Information Assurance Directorate;

 Confirm the identity of anyone asking for information (perhaps by calling them back) before deciding if it should be released;

 Ask for permission before becoming involved in any activity which might lead to the disclosure of official information or use their official experience. This applies even where staff have retired or left NOMS for any other reason;

 Use personal or sensitive information in line with the Data Protection Act 1998 – for more guidance contact the MoJ Data Access and Compliance Unit;

 Clear, beforehand, text for publication which uses official information or experience;

 Not try to obstruct or hold up policies or decisions by revealing, outside government, any information they have had access to.

2.15 These obligations continue even after staff have left the NPS (NOMS). See information on the Business Appointment Rules. Where staff who have left the NPS (NOMS) do not obtain the necessary permissions, and act contrary to these provisions, NOMS may take legal action.

Taking Part in Trade Union Activities

Principles

2.16 NPS (NOMS) recognises Napo, UNISON and GMB / SCOOP.

2.17 NOMS also provides facilities that allow our staff to take part in some trade union activities by providing reasonable time off from their normal working duties.

Trade Union Representatives and Trade Union Members

2.18 NOMS will publish details of the time off allowed for trade union activities and a NOMS/NPS Trade Union facilities agreement, which governs the arrangements for trade union representatives to engage in TU duties and activities.

2.19 Trade Union representatives must comply with the relevant facilities agreement, and directly-employed representatives remain bound by the Civil Service Code of Conduct. If staff are trade union members they must operate within the terms of

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 6 the policy on Dealing with Official Information (paras 2.11 – 2.15) and Political Activities (paras 2.61 – 2.69).

2.20 As long as trade union representatives operate within the terms of the facilities agreement, they do not need to ask permission to promote or publish the views of their trade union on an official matter to do with the conditions of service of union members. However, permission is required from the NOMS Employee Relations Team if there is a conflict between an individual’s duties as a trade union representative and their official work as a civil servant.

2.21 Where trade union representatives comment on government policy or official matters they must make it clear that they are expressing these views as a trade union representative and not as a civil servant.

Press, TV and Radio

Principles

2.22 Staff are expected to support NOMS (NPS) aims and achievements, but must leave dealing with the press, media or pressure groups to authorised staff or staff in the press office or media relations who have specific responsibility for this.

2.23 Where staff do not comply their line manager may take action under the disciplinary procedure.

Contact with the Media

2.24 If the press, media or pressure groups ask for information, staff should refuse the request and give them the name of the appropriate, authorised person for a response. This would normally be the relevant senior manager, or MOJ Press Office. Where staff are not sure who the appropriate person is they should ask their manager.

2.25 The relevant senior manager may deal direct with their local media and only need refer to Press Office if they believe particularly difficult issues are raised, or if they think there is a reasonable prospect that the interview or access they are about to give will be taken up by the national media.

2.26 Deputy Directors may authorise members of their staff to give media interviews on matters concerning their own Division.

2.27 When giving interviews to local or regional media it is important to avoid divulging information which could prejudice security or the interests of individual offenders or victims. It is especially important to contact MoJ Press Office if the theme is likely to touch on sensitive or controversial issues or matters of criminal justice policy.

2.28 With the exception of trade union representatives acting on behalf of their members on trade union business, staff must obtain written permission from the NOMS HR Policy Group before seeking to publish letters which touch on the business of the Ministry of Justice, or another government department, containing information they have acquired during their official duties. However, where a

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 7 senior manager feels that an issue within their remit has been wrongly portrayed in a newspaper article, for example, it may be helpful to make a strong, positive point through a prompt letter to the offending newspaper correcting the inaccuracy. MOJ Press Office who have experience and journalistic writing skills to offer, should be consulted. Similarly, Press Office can help senior managers to take matters up with the Press Complaints Commission.

2.29 The duty to exercise particular care when dealing with the press, media or pressure groups continues after staff have retired or left NOMS for any other reason. The unauthorised disclosure of specified categories of information is an offence under the Official Secrets Act 1989, and is particularly serious where the disclosure can be shown to have damaged the national interest.

Publications

Principles

2.30 Staff must get permission before revealing information they have access to as a part of their job.

Getting Permission

2.31 Staff must obtain written permission from the NOMS HR Policy Group before publishing electronically or in hard copy a book, article, letter or any other publication including film, video or audio material that relates to the official business of the MOJ, or any other government department. This applies even where staff have retired or left NOMS (NPS) for any other reason. Where the requirements are breached, NOMS may take disciplinary or legal action.

2.32 The finished text must be sent to the NOMS HR Policy Group for approval in good time before it is published. If the publication is likely to interest the media or is political, staff must also contact the Press Office or Media Relations for advice.

2.33 Staff must not accept payment for any publication produced in work time or in an official capacity.

Publication of Research

2.34 NOMS policy on Research Applications sets out the requirements for authorising research, and the protocols that are in place for publishing the subsequent findings.

Crown Copyright

2.35 Publications may be covered by Crown Copyright protection. Crown Copyright applies to any work which staff have prepared or published in the course of their employment. This means that copyright belongs to the Crown and not to the member of staff as the author. As a result staff will not be entitled to payment or reward if the work is published or marketed. For more information contact the Office of Public Sector Information.

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 8 Memoirs

2.36 Staff must not publish or broadcast their personal experiences (memoirs) in government, or enter into commitments to do so while they are employed. Staff who have left NOMS (NPS) must formally ask permission before entering into a contract to publish memoirs. Memoirs must be submitted via the NOMS HR Policy Group. Where the requirements are breached NOMS may take disciplinary or legal action.

2.37 The proposed memoirs must be sent to the NOMS HR Policy Group in good time before any proposed publication date. In reviewing information, NOMS, and where appropriate other government departments, will take account of whether the information could damage internal relations, national security or the confidential relationships between ministers, and between ministers and civil servants.

2.38 If staff are appointed to a sensitive post, as a condition of taking up the post NOMS will assume that they have transferred to the Crown copyright in any future work which relates to their employment or which contains or relies on official information which the individual became aware of as a result of their employment as a civil servant. If staff are given permission to publish the work, NOMS will transfer copyright in the relevant part of the work. Further information is available on My Services.

Speeches and Lectures

Principle

2.39 Staff must get permission before speaking publicly on any subject that relates to their work or official business.

Getting Permission

2.40 Staff must obtain permission from their relevant senior manager before giving a lecture outside of work that relates to their work or official experience. If the speech or lecture is likely to interest the media, or is political, staff should make their relevant senior manager aware of this and should also contact the press office or media relations for advice. If asked to give speeches or lectures at events arranged by political parties staff must comply with the Political Activities section of this policy (see paragraphs 2.61 to 2.80).

2.41 Staff must not accept payment for a speech, broadcast, interview or lecture that relates to their work or official experience, or which is given in an official capacity.

Taking Part in Surveys

Principle

2.42 Staff must get permission before taking part in external surveys (not approved) on any subject that relates to our business.

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 9 2.43 Staff may take part in surveys outside of work that are not connected to official matters. If the survey relates to official matters or is aimed at gathering official views, staff must ask for permission from their relevant senior manager before taking part.

2.44 Staff will normally be given permission providing the information is factual and already in public circulation.

2.45 If staff are asked, in their official capacity, to take part in surveys dealing with attitudes or opinions on political matters or matters of policy they must keep to the requirements set out in the Political Activities section of this policy (see paragraphs 2.61 to 2.80).

Business Affairs

Principle

2.46 Staff must not put themselves in a position where they have a conflict between their work and their private interests. If this happens they must report it to their manager.

2.47 If staff make decisions in an official capacity which relate to an outside organisation or individual in whom they have a personal interest they must report the circumstances immediately to their line manager who will inform the relevant senior manager. This also applies if staff contribute to such decisions or have knowledge of the relevant area of work in an official capacity.

2.48 Staff must be sensitive to the public view that these kind of conflicts could prevent them from being impartial when carrying out their official duties. Where staff report potential conflicts of interest, the relevant senior manager will consider:

 whether a conflict exists; and  whether there are reasonable grounds for a public perception of impropriety and advise the member of staff accordingly in writing.

Contracts

2.49 Staff must not make a bid for a contract NOMS have put to tender either personally or through an organisation in which they have a financial interest unless they have revealed this interest and they have permission. Staff should ask their relevant senior manager and their HR Business Partner for permission in the first instance.

2.50 If, while at work, staff come into contact with any matter to do with a business organisation in which they have an interest in, they should disclose this to the relevant senior manager and HR Business Partner and ask that another member of staff deals with the matter.

Personal financial affairs

2.51 Staff may invest in shares and other investments unless it conflicts with the nature of their work. Staff must not be involved in taking any decisions which could affect

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 10 the value of their private investments, or the value of those on which they give advice to others. Staff must not use information they have gained in the course of their work for their own private financial interests or those of others.

2.52 Staff must report to their line manager:  business interests (including directorships) or shares or other investments they or members of their immediate family hold from which they would be able to gain from as a result of their official position; and  if they are in financial difficulties and legal action (for example, a county court judgment) is taken against them , or they become bankrupt or insolvent.

2.53 The individual’s line manager or manager’s manager will consider:

 the effect their actions are likely to have on how effective they are at specific duties or to work for us;  the risk to public money; and  whether NOMS will be affected in a negative way.

2.54 NOMS will take disciplinary action against staff if:  they have done something deliberately which has affected NOMS’ (NPS) reputation;  they have failed to tell their line manager or HR Business Partner about their actions or involvement; or  there is evidence that public funds may have been involved in an illegal act.

Commercially sensitive information

2.55 If staff have access to information that could affect the price of the shares or investments of a particular company, it is an offence to:

 deal in those shares or investments;  give advice about or arrange such a deal; or  pass on information to be used for the purpose of dealing, giving advice about or arranging a deal.

If staff are not sure about their position, they should ask their manager.

Cadet Forces

2.56 Written consent is not required to join the Cadet Forces although staff must notify their relevant senior manager that they have joined.

Volunteer Reserve Forces

2.57 Staff who transferred from a Trust should refer to the relevant NNC / SCCOG and Trust Policy on Volunteer Reserve Forces.

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 11 Jury Service

Principle

2.58 All employees are eligible to serve on juries. Staff will be allowed paid special leave for the entire period they attend court and would otherwise be attending work.

2.59 Employees released early from jury service must inform their line manager immediately, or report to their normal place of work at the earliest opportunity. Failure to do so may lead to the absence being treated as unauthorised with stoppage of pay implemented and possible disciplinary action.

Serving on a Jury

2.60 On receipt of a jury summons employees must let the Summoning Officer and the Courts know that they are an employee of NOMS (NPS). As a juror, an employee is required to notify the court immediately if they know someone on the trial to which they are assigned. Additionally employees would need to notify the court if they have any other connection with the trial, which might, or could appear to threaten its fairness, if they were to sit as a juror. Employees need to apply to the jury Central Summoning Bureau for their jury service to be transferred to another court, if they think there is a reason why they should not serve.

Political Activity

Principles

2.61 Staff must stay politically neutral at all times in the discharge of their responsibilities. Staff must get permission to take part in political activities if needed (see paras 2.65 – 2.69).

Neutrality

2.62 Staff must serve the Government, from whatever party/parties it is formed, to the best of their ability, no matter what their own political beliefs are. Staff must not act in a way that is affected by a political belief, or allow their personal political views to affect any advice they give or their actions.

2.63 Staff must keep to the rules governing the political activities that all civil servants can be involved in. These rules are aimed at making sure that:

 ministers and the public have confidence in the independence of the civil service; and  staff are given the greatest possible freedom to take part in public affairs without affecting their duties as a civil servant.

2.64 Staff must not attempt to bring political or other outside influence to support their own personal claims as a civil servant. For example staff should not ask a member of parliament or any other person outside the Service to support claims for promotion, transfer, etc. Further information is available on My Services.

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 12 Permission to take part in Political Activity

2.65 Senior Management will decide whether to give a member of staff permission to take part in political activities where needed. This will depend on whether the individual is employed in an area where being seen as independent is at risk. Staff will fall into one of the following three groups depending on their job role:

 the ‘Politically-free’ group, which includes NPS Directorate employees (probation Pay Bands 1-6);  the Politically-restricted’ group, which includes Senior Civil Servants (SCS) and civil servants immediately below the SCS (which includes Chief Officer Grades staff who report directly to a Deputy Director);  the ‘Intermediate’ group, which includes employees not covered in the politically-free or restricted groups. This group is sub-divided into those who need to ask permission before engaging in national or local politics and those who have standing permission subject to the Code of Discretion (see paras 2.68 & 2.69).

Where staff are not sure which group they fall into they should ask their line manager.

2.66 These rules relate to activities where staff might express their political views in public. They do not concern individuals’ private beliefs or opinions, prevent staff being members of a political party or from being part of a campaign or protest group. If staff want to get involved in any political activity they may need to apply for permission. Further information and a chart setting out the restrictions on the different groups of staff can be found on My Services. Staff should consult their line manager if they are not sure which group they fall into.

2.67 Where an application is required to take part in political activity it must:

 be in writing;  give the nature of the political activity;  give the period of time the individual thinks they will be involved;  be submitted to the relevant senior manager.

2.68 When considering any application, the relevant senior manager will consider the nature of the employee’s current duties and the type of activity they want permission for.

2.69 An application is unlikely to be agreed where the employee carries out the following types of duties:

 is closely involved in helping ministers with policy decisions;  in areas which are politically sensitive or governed by national security;  regularly speaks on behalf of the government or NOMS in dealings with commercial companies, pressure groups, local government, public authorities or any other organisation and who may appear to those organisations to influence government policy which affects them;  represents the government in dealings with overseas governments.

Employee Responsibilities

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 13

2.70 Where permission to take part in political activities is granted, staff must keep to the following code of discretion:

 Staff who fall into the politically restricted and intermediate groups cannot advocate or criticise any political party. However staff should express their comments with moderation, particularly on matters their own minister is responsible for. Staff should avoid any comment if the issue concerned is controversial to the organisation;  Personal attacks, especially on MoJ ministers, should be avoided;  Embarrassment to ministers or a ministerial departments which could result from the actions of employees who become prominently involved in party political controversy should be avoided;  Staff that have been given permission to take part in local political activities are not being given permission to take part in national or politically controversial matters. A separate request would need to be made and considered regarding national activities.

2.71 Staff must not carry out any political activities while at work or on official premises. Staff must also continue to keep to the restrictions on using official information or experience that apply to all civil servants.

What if circumstances change?

2.72 If the employee’s circumstances change the relevant senior manager will review whether the individual should still have permission to be involved in political activities. Staff should be aware that NOMS can withdraw permission to take part in political activity at any time and without notice if circumstances change, for example if the nature of the employee’s work changes.

If permission to take part in political activity is refused

2.73 Where permission to take part in political activity is refused, NOMS (NPS) will expect the employee not to take a prominent role in political matters. If the nature of the employee’s current post is causing the problem (see paragraph 2.69 above) the relevant senior manager will consider the possibility of finding the employee another post. However, staff must accept that this cannot be guaranteed, and that there is no automatic right to a public interest transfer in these circumstances.

Political Activities and Postings Policy

2.74 Staff who have been granted permission to engage in political activities, remain liable in the usual way to posting to different official duties according to the needs of the NPS Directorate. Within this context the policy is to try to meet individual wishes wherever possible. Nevertheless, there are posts for which permission to engage in political activities cannot be granted and, where staff are voluntarily or compulsorily transferred to these posts, they must relinquish political activities for the duration of the posting.

Attendance at Outside Conferences convened by, or under the umbrella of, political organisations

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 14 2.75 As a general rule staff should not accept, in their official capacity, invitations to conferences or similar events convened by, or under the umbrella of, political organisations and other bodies linked to sensitive or controversial areas. Any such invitations should be referred to the NOMS HR Policy Team.

Trade Union Activities and Political Activities

2.76 Staff do not need permission to take part in activities outside of work time organised by their trade union and it is not NOMS (NPS) intention to deter them from taking part in such activities.

2.77 Staff in either the ‘Intermediate’ or the ‘Politically Restricted’ category who are elected as trade union representatives are bound by the rules on political activities when not acting in a trade union capacity.

2.78 Staff who are elected as a trade union representatives will, from time to time, inevitably comment on Government policy when acting, as an elected representative, on behalf of their members. The rules on political activities in no way deny representatives the right to pursue the legitimate interests of their members: but when this involves commenting on Government policy the representative must make it clear that they are expressing views as a union representative and not as a civil servant and must convey those views in a reasonable way bearing in mind their position as a civil servant.

2.79 Trade Union representatives must obtain official permission from the NOMS Employee Relations Team when there is a conflict of interest and their own official duties are directly connected to their political trade union activities.

How to appeal

2.80 An employee who believes that NOMS has unreasonably witheld permission to engage in political activities can appeal using the NOMS/NPS Staff Grievance policy PI 42/2014.

Outside appointments

Principles

2.81 Staff may take on work when they leave NOMS subject to the following requirements on getting approval, where needed. Legal action may be taken against individuals who breach the requirements.

Approval may be required

2.82 Approval may be required before taking any form of full-time, reduced-hours, or fee-paid employment after leaving the Civil Service. The rules covering whether or not approval is necessary are set out below in the Business Appointment Rules section. They apply within two years of leaving the Civil Service.

2.83 NOMS does not intend to restrict staff but does need to:

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 15

 keep public trust in the Civil Service;  avoid suspicion that a civil servant has used their position for their own interests; and  avoid a firm being seen as gaining an improper advantage by employing a civil servant who has had access to technical or other information not in public circulation.

The Business Appointment Rules

2.84 Where any of the following apply, staff must apply for approval before accepting any form of full-time, reduced-hours or fee-paid employment within a year of leaving the Civil Service. For members of the Senior Civil Service and equivalents, including special advisors of equivalent standing, the Rules continue to apply for two years after the last day of paid Civil Service employment.

If the member of staff:

 has had any official dealings with their prospective employer during the last two years of being employed by government;  has had official dealings of a continued or repeated nature with their prospective employer at any time in their employment in the Civil Service;  has had access to commercially sensitive information relating to the competitors of their prospective employer in the course of their official duties;  has, during the last two years of Civil Service employment, been involved in advice decisions or knowledge about policy that has benefited, or could benefit, their prospective employer;  is employed on a consultancy basis (either for a firm of consultants or as an independent self-employed consultant) and has had dealings of a commercial nature with other organisations in their last two years of Civil Service employment;  is on secondment to NOMS from outside the Civil Service, unless they return to their organisation and stay there for at least two years before moving on.

2.85 These rules do not apply to:

 unpaid appointments in non-commercial organisations;  appointments by a government minister;  any appointments for which permission was granted while the individual was a serving civil servant.

Reporting Offers of Employment

2.86 If a member of staff is considering any approach from an outside employer offering employment (or which seems likely to lead to an offer) for which approval is required under these rules, this must be reported as follows:

 the Senior Civil Service or equivalent – report to the Permanent Secretary;  all other employees report to your countersigning officer.

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 16

2.87 Where the member of staff is involved in procurement or contract work they must report any approach, whether or not they are considering taking it up, particularly if it is from an outside employer with whom the individual or their staff have had official dealings.

Applying for Approval

2.88 Where permission is required staff must fill in an application form and send it to the appropriate manager indicated in paragraph 2.86 above. Further information and an application form are available on My Services.

2.89 If an individual has had contact with their prospective employer, NOMS will take the following circumstances into account when considering their application:

 How much of the contact was in the course of their official duties;  How significant that contact was;  The nature of the proposed employment;  The connection between the new job and the civil service employment including access to information which could be commercially sensitive;  Whether the individual was acting as a member of a team, jointly with individuals in NOMS or more widely in government, or taking responsibility;  Whether the individual benefited substantially from these dealings;  Whether the contact was direct or indirect.

Terms of Approval

2.90 The person identified in paragraph 2.86 will give approval either

 Unconditionally; or  Under conditions which may apply for up to two years.

2.91 Conditions may include:

 A waiting period before taking up employment;  A ban on any dealings between the prospective employer and the Government;  A ban on the individual being involved in dealings between the prospective employer and a named competitor (or competitors) of that employer; and  In the case of consultancies, the need to get official approval before accepting commissions of a particular nature or from named employers.

2.92 If NOMS stipulates a waiting period or other conditions the individual may ask for an interview with the officer who made the decision.

2.93 The advice in this section is based on the Rules of Acceptance of Outside Appointments by Crown Servants.

Legal Proceedings

PI 38/2014 UPDATE ISSUED 20/01/2015 PAGE 17 2.94 Staff involved in legal proceedings as a result of their duties must refer to the guidance on My Services.

Further Information

2.95 Guidance on undertaking all the requirements contained in this Instruction can be found on the My Services website.

2.96 Line managers are the initial point of contact for queries about this Instruction. If line managers are unable to deal with the query Shared Services should be contacted.

HR Contact Centre at Shared Services - 0845 010 3504

PI 38/2014 UPDATE ISSUED 20/01/2015