Committee on Standards in Public Life Defining the Boundaries within the Executive: Ministers, Special Advisers and the permanent Civil Service Ninth Report Cm 5775 The Seven Principles of Public Life Selflessness Holders of public office should act solely in terms of the public interest. They should not do so in order to gain financial or other benefits for themselves, their family or their friends. Integrity Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their official duties. Objectivity In carrying out public business, including making public appointments, awarding contracts, or recommending individuals for rewards and benefits, holders of public office should make choices on merit. Accountability Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office. Openness Holders of public office should be as open as possible about all the decisions and actions that they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands. Honesty Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest. Leadership Holders of public office should promote and support these principles by leadership and example. Ninth Report of the Committee on Standards in Public Life Chair: Sir Nigel Wicks GCB CVO CBE Defining the Boundaries within the Executive: Ministers, Special Advisers and the permanent Civil Service Report Presented to Parliament by the Prime Minister by Command of Her Majesty April 2003 Cm 5775 £21.00 (inc. VAT in UK) i Ninth Report of the Committee on Standards in Public Life © Crown Copyright 2003 The text in this document may be reproduced free of charge in any format or medium providing that it is reproduced accurately and not used in a misleading context. The material must be acknowledged as Crown copyright and the title of the document specified. Any enquiries relating to the copyright in this document should be addressed to The Licensing Division, HMSO, St Clements House, 2-16 Colegate, Norwich, NR3 1BQ. Fax: 01603 723000 or e-mail: [email protected]. ii Committee on Standards Standards in in Public Life Public Life Chair: April 2003 Sir Nigel Wicks GCB CVO CBE I am pleased to present the Committee’s Ninth Report, which deals with Boundaries within the Executive. The Committee’s First and Sixth Reports made recommendations relating to members of the Executive: Ministers, civil servants and special advisers. This report reviews the implementation of these recommendations, taking account of the reference in our terms of reference to “examine current concerns”, and of developments within the Executive since the Committee’s Sixth Report. We took as the framework for our Report the Seven Principles of Public Life and their three supporting mechanisms, codes of conduct, independent scrutiny and guidance and education, all of which had been recommended in the Committee’s First Report. The evidence presented to us suggested that there is a need to clarify the definitions and secure the maintenance of the boundaries within the Executive. This would, we believe, provide assurance to the public that government is carried out in accordance with the Seven Principles of Public Life. It would provide a robust framework for ensuring that the Civil Service is fit for purpose and can play its full part in delivering the programme of the government of the day. It would also help office holders within the Executive continue to build and to sustain the relationships necessary for good government. Finally, it would help prevent the unfortunate events which, though occasional, occur when there is a breakdown in relationships between Ministers, civil servants and special advisers and which are corrosive to the public’s estimation of office holders in the Executive. We have, accordingly, made a series of recommendations, which address public concerns in particular areas. We have recommended changes to the Ministerial Code and to the way in which compliance of the Code is monitored and any breaches are investigated. We have recommended a change too to the status of special advisers, who are currently classed as temporary civil servants. Another area of our recommendations concerns the maintenance of the core Civil Service values, particularly impartiality from political party, whilst ensuring that the Service remains “fit for purpose”. We also make recommendations concerning the Office of the Prime Minister and the Government Information and Communication Service. We consider it crucial that the procedures for sustaining the fundamental principles identified throughout this report should be subject to Parliamentary scrutiny and decision. We therefore recommend statutory legislation to implement our key recommendations. Taken together, we believe that our recommendations will help to ensure the highest standards of propriety of office holders in the Executive and so enhance public trust in government and thereby strengthen our democracy. Nigel Wicks iii Ninth Report of the Committee on Standards in Public Life CONTENTS LIST OF RECOMMENDATIONS 1 ᕡ Chapter INTRODUCTION 5 The First and Sixth Reports 5 The purpose and scope of the present inquiry 6 Gathering evidence 6 The framework within which the Committee works 7 Acknowledgements 7 Chapter ᕢ BOUNDARIES WITHIN THE EXECUTIVE: THE COMMITTEE’S INTEREST 9 Leadership 9 Objectivity/impartiality 10 Accountability 10 Openness 10 ᕣ Chapter DEFINING THE BOUNDARIES 13 Boundaries and relationships 13 The constitutional framework 14 Party in government 14 Ministers, the permanent Civil Service and special advisers 15 ᕤ Chapter THE CHANGING LANDSCAPE 17 The increased focus on delivery 17 Changing demands on the Civil Service 18 Government and the media 19 ᕥ Chapter MINISTERS 21 Leadership 21 Accountability 21 Objectivity 21 The Ministerial Code 22 Compliance 22 Advice on conflicts of interest 23 An Adviser on Ministerial Interests 25 Investigation 27 Guidance and education 29 iv Contents ᕦ Chapter THE PERMANENT CIVIL SERVICE 31 The Committee’s interest 31 Making the Civil Service fit for purpose 31 Serving the Government of the day 31 Some concerns 33 The overall effect of change 33 Recruitment 34 Selection on merit 34 Applying the principle of selection on merit 35 Exceptions to the rules 36 Ministerial involvement in recruitment 36 Short-term appointments and secondments 37 The principle of selection on merit and a Civil Service fit for purpose 38 Working relationships: The Principal Private Secretary 38 Upholding the values of the permanent Civil Service: the Code, training and induction and independent scrutiny 39 Dispute resolution 40 Appointment of the First Civil Service Commissioner 42 ᕧ Chapter SPECIAL ADVISERS 43 Status 43 Categories 45 Role 46 The legal definition of a special adviser 46 Accountability 48 Compliance with the Code of Conduct for Special Advisers 49 Funding 49 Numbers 50 Unpaid advisers 51 The Code of Conduct for Special Advisers 52 Training and induction 53 Chapter ᕨ THE GOVERNMENT INFORMATION AND COMMUNICATION SERVICE 55 Upholding the values of the GICS 56 A GICS fit for purpose 57 Impartiality and the application of the principle of selection on merit 58 Special advisers and the GICS 59 v Ninth Report of the Committee on Standards in Public Life ᕩ Chapter THE PRIME MINISTER’S OFFICE 61 “Special and different” 61 The Committee’s interest 61 Developments in the organisation of the Prime Minister’s Office 62 Number of special advisers in the Prime Minister’s Office 62 “Executive powers” 64 Guidance on the practice of media work in the Prime Minister’s Office 66 µ Chapter SECURING THE BOUNDARIES 67 The need for legislation 67 The commitment to legislation 69 Progress towards an Act 69 What should an Act contain? 70 ¸ Chapter SUSTAINING PUBLIC TRUST 73 Appendices 74 AFirst and Sixth Report recommendations 74 B List of submissions 77 C List of witnesses who gave oral evidence 78 D Previous reports by the Committee on Standards in Public Life 80 EThe Civil Service Code 81 FThe role of the Civil Service Commissioners 83 List of abbreviations and acronyms 84 About the Committee 85 Bibliography 87 vi List of recommendations LIST OF RECOMMENDATIONS Chapter 5: Ministers (f) The facts of ministerial interests should be published. R1. (a) Material currently contained in the Ministerial Code which covers departmental and (g) Where unforeseen conflicts arise parliamentary custom and practice should be subsequently during the course of a department’s published separately as a Ministerial Handbook. work, the Minister should consult the Adviser over what action might be necessary. (b) The substantive material on issues of conduct should form a new Ministerial Code, which (h) The Adviser should refer any breach or should be defined as having equal weight and allegation of a breach to the Prime Minister. authority to the Civil Service Code and the Code of Conduct for Special Advisers. (page 22) (i) The Adviser should be appointed by open competition, chaired by the First Civil Service R2. The Cabinet Secretary and Permanent Secretaries Commissioner, for a fixed, non-renewable term. should have no responsibility for giving advice to Ministers on conflicts of interest arising under (j) The Adviser should be provided with the Ministerial Code. (page 25) appropriate resources to achieve his or her task. (page 27) R3. (a) An independent office-holder, called an Adviser on Ministerial Interests, should be R4. (a) At the beginning of each Parliament, the established to provide advice to Ministers on Prime Minister should nominate two or three compliance with those sections of the individuals of senior standing after consultation Ministerial Code which cover the avoidance of with leaders of the major opposition parties.