This area gives details of how the rules on the acceptance of outside appointments by Crown Servants (known as the "Business Appointment Rules") are applied and managed.
For Managers it gives details on how to evaluate applications submitted by their staff under the Business Appointment Rules.
For Employees, it gives details on who should submit an application and how, the process for evaluation and approval of applications.
For DE & S Commercial and Approving Authorities, it gives details of the process to be followed to evaluate and approve applications.
| Updated | Details |
| 5th September 2011 | Rebranded |
| 6th February 2012 | Content Revised |
Announcements
There are currently no announcements.
The Business Appointment Rules for Civil Servants and the Armed Forces
This policy should be read in conjunction with the related Process and both must be followed.
Overview
1. This policy concerns the rules that must be followed by serving and former Civilian Employees and Military Officers (including Warrant Officers) who are considering taking up employment on leaving the MOD or the Armed Forces.
2. Before accepting any new appointment or employment (including unpaid appointments in the voluntary / charity sectors) whether in the UK or overseas, which they intend to take up after they have left the MOD or the Armed Forces all serving/former Civilian Employees and Military Officers (including Warrant Officers) must consider whether an application is required under the Business Appointment Rules is required. If it is required, they must not accept a new paid or unpaid job offer before it has been approved.
Applies to
3. This policy applies to all those currently serving Civilian Employees and Military Officers (including Warrant Officers) and to former Civilian Employees and Military Officers (including Warrant Officers) for two years after last day of paid service. This includes:
- Permanent Civilian Staff;
- Military Officers (including Warrant Officers);
- Civilian Staff on Fixed Term Contracts;
- Civilian Staff on secondment to other organisations;
- Those on secondment to the MOD from other organisations. Except when individuals are returning to their employing organisation, and remain there for two years, in which case safeguards will have been provided in the terms of the secondment; and
- Special Advisors.
Business Appointment Policy (the Rules)
4. The Ministry of Defence is committed to:
- Upholding the Business Appointment Rules (www) which are designed to uphold the core values of the Civil Service Code (www) and equivalent Armed Forces Codes JSP 887: Defence Strategy and Social Conduct Code to Meet Public Sector Equality Duties.
- Enabling its Civilian Employees and Military Officers (including Warrant Officers) with experience of public administration to move into business or other bodies outside central Government in such a way that unjustified public concern over a particular appointment is not an issue.
- Enabling its former Civilian Employees and Military Officers (including Warrant Officers) to take up an outside appointment or employment with no course for justified public concern, criticism or misinterpretation.
- Ensuring that its Civilian Employees and Military Officers (including Warrant Officers) are not influenced in carrying out their duties by the hope or expectation of future employment with a particular firm or organisation or in a specific sector.
- Ensuring that its Civilian Employees and Military Officers (including Warrant Officers) on leaving the MOD or the Armed Forces do not improperly exploit privileged access to contacts in Government or sensitive information.
- Ensuring that by employing a former Civilian Employee and Military Officer (including Warrant Officer) who, in the course of their official duties had access to:
- i) information relating to unannounced or proposed developments in Government policy, knowledge of which may affect the prospective employer or any competitors, or
- ii) commercially valuable or sensitive information about any competitors, a particular company or organisation does not gain an improper advantage.
When approval is required
5. Civilian Employees and Military Officers (including Warrant Officers) must apply under the (Business Appointment) Rules if they are:
- SCS PB3 and above (and Military Equivalents);
- SCS PB2 (and Military Equivalents);
- SCS PB1 and below (and Military Equivalents) and their circumstances match one or more of the following:
- i. Have been involved in developing policy affecting your prospective employer, or have had access to unannounced Government policy or other privileged information affecting the prospective employer at any time in their last two years in the MOD or the Armed Forces;
- ii. Have been responsible for regulatory or any other decisions; affecting their prospective employer, at any time in their last two years in the MOD or the Armed Forces;
- iii. Have had any official dealings with their prospective employer at any time in their last two years in the MOD or the Armed Forces;
- iv. Have had official dealings of a continued or repeated nature with their prospective employer at any time during their MOD or Armed Forces career;
- v. Have had access to commercially sensitive information of competitors of their prospective employer in the course of their official duties;
- vi. The proposed appointment or employment would involve making representations to, or lobbying the Government on behalf of their new employer;
- vii. The proposed appointment or employment is consultancy work, either self-employed or as a member of a firm and the employee has had official dealings with outside bodies or organisations in their last two years in the MOD and Armed Forces that are involved in their proposed area of consultancy work.
- All Special Advisers, irrespective of grade.
Terms of approval
6. Applications may be approved unconditionally, or approved subject to conditions which may apply up to a maximum two years from the Civilian Employees and Military Officers (including Warrant Officers) last day of paid service. Such conditions may include:
- A waiting period before taking up the appointment or employment and/or;
- A behavioural condition that for a specified period the former Civilian Employee and Military Officer (including Warrant Officer) should stand aside from involvement in certain activities, for example, commercial dealings with the MOD, or involvement in particular areas of the new employer’s business.
7. A default lobbying ban of 12 months will be imposed on all applications. This may be reduced or extended up to 2 years. Lobbying in this context mean that the former Civilian Employee or Military Officer (including Warrant Officer) should not engage in communications with Government (including Ministers; special advisors and officials) with a view to influencing a Government decision or policy in relations to their interests or the organisation by which they are employed or to whom they are contracted.
8. Permanent Under Secretaries (PUS) and 2nd Permanent Secretary (2nd PUS) (and Military Equivalents), will be subject to a minimum waiting period of three months between leaving paid MOD employment and taking up an outside appointment or employment. This period is subject to review by the Advisory Committee on Business Appointments (www) who may:
- Advise that this minimum waiting period should be waived if, in its judgement, no questions of propriety or public concern arise from the appointment being taken up earlier;
- Advise a longer waiting period is appropriate due to the sensitivity of the particular appointment or employment, up to a maximum of two years;
- Exceptionally the Committee may state that they view the appointment or employment to be unsuitable.
9. SCS PB3 and above (and Military Equivalents) will normally be subject to a two year ban on the lobbying Government on behalf of their new employer after they leave the MOD. This may be reduced by the Advisory Committee if they consider it to be justified by the particular circumstances of an individual application.
10. Any condition, including a waiting period, imposed on the proposed appointment will run from the last day of paid service. Where appropriate, account will be taken of any differences between the last day of paid service and the last day in post Approval will not normally be given to start a paid appointment or employment with a new employer before completion of the last day of paid service.
Acknowledgement of the Rules
11. On appointment/promotion to the Senior Civil Service or to 1-Star level in the Armed Forces, Civilian Employees and Military Officers will be required to sign an acknowledgement that they have seen the rules contained in this policy document. A similar acknowledgement will be requested on retirement or resignation from the MOD or the Armed Forces. See Acknowledgement of the Business Appointment Rules. The acknowledgement will be retained by the appointing authority or HR staff.
Reporting approaches from outside employers
12. All Civilian Employees and Military Officers (including Warrant Officers) must report to their line manager and countersigning officer any approach from an outside employer with an offer of an appointment or employment for which approval would be required under the Business Appointment Rules (www) if they plan to follow up the offer. SCS PB1 and above (and Military equivalents) must report the approach to the 2nd Permanent Secretary (2nd PUS).
13. Civilian Employees and Military Officers (including Warrant Officers) involved in activities that lead to contracts with a prospective employer, have knowledge of prospective employer’s competitors, or who have information about MOD’s business plans and strategies, must report all offers of an appointment or employment whether or not they are followed up.
Impact Assessment Statement
14. This policy has been Equality and Diversity Impact assessed in accordance with the Departmental policy. This resulted in a Part 1 screening only completed (no direct discrimination or adverse impact identified/policy is a reflection of statutory requirements and has been cleared by a Legal Advisor). This policy is due for review in 2013.
Version
Version: 2.0
Effective Date: 6 February 2012
This
process should be read in conjunction with the related Policy and
both must be followed.
Stage
1 - Application
Step 1 - Make sure you are familiar with the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
Step 2 - Take advice if you wish from your Manager or the DBS Civilian HR. You must not take up your new appointment or employment until your application has been approved and you have complied with all waiting periods and conditions imposed.
Guidance - Business Appointment Rules
Refer to the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
Further information on the Business Appointment Rules can be found on the Advisory Committee on Business Appointments (ACoBA) (www) website.
Step 3 - You must complete a Business Appointment application using HR Form 038: MOD Business Appointment Application if you meet the criteria defined in the Business Appointment Rules Policy.
You must submit the completed application form to your Countersigning Officer, two ranks / grades above you to complete their evaluation. The countersigned form must then be sent to DBS Civilian HR.
Guidance - Completing the Application
It is important to submit your application as soon as possible, even if your application is purely speculative. The DBS Civilian HR Business Appointment Team aim to respond to applications received within 25 working days, depending on the complexity of the application. You must not enter into any contractual agreement with a potential employer or client until you have received the Department’s final decision. If your application is urgent you should contact the People Service Centre (PSC).
If your application is to set up as an independent consultant the Department will wish to take account of the full range of activities you propose to undertake, before making its decision. Information about any specific commissions, including speculative commissions, if appropriate will help the Department in formulating it’s view of the consultancy and whether any conditions should be applied to it.
It is your responsibility to ensure that the countersigned form reaches the DBS Civilian HR. You are therefore advised to ensure that your Countersigning Officer completes their part of the form and forwards it to DBS Civilian HR.
Guidance - Countersigning Officer
The Countersigning Officer should be someone in a position to understand the potential issues arising from your proposed appointment or employment and judge whether there could be justified public concern, criticism or misinterpretation should the appointment be taken up as proposed. This person must be at least two Grades / Ranks senior to you.
If you have already left the MOD or the Armed Forces, you must submit your application to the officer who held this position during your final appointment.
Guidance - Consideration of Applications
Your application will be referred to DE&S Commercial staff for evaluation. Where you may have had access to commercially sensitive information from competitors of your proposed employer, those competitors will be contacted and given the opportunity to raise any concerns they might have over your proposed appointment or employment.
DE&S will make a commercial / business recommendation to the Approving Authority within DBS Civilian HR For applicants of B1 grade and below (and their Military equivalents) the Approving Authority is the Senior Wellbeing, Conduct, Absence and Leave (WCAL) Working Pattern, Leave and Leaving (WPL&L) Senior Manager. For SCS PB1 (and their Military equivalents), the Approving Authority is the DBS Chief Executive. The final decision whether a condition may be applied to the proposed appointment or employment rests with the Approving Authority.
The DBS Civilian HR Business Appointment Team will inform you of when your application has gone forward to the Approving Authority for the final decision.
For further information refer to Evaluation of Applications.
Stage
2 - Initial Evaluation There is no Employee action at this Stage.
There is no Employee action at this Stage.
Stage
3 - Commercial / Business Evaluation There is no Employee action at this Stage.
There is no Employee action at this Stage.
Stage
4 - Decision
Step 1 - You will be advised of the decision by the DBS Civilian HR Business Appointment Team. Your application may be approved subject to imposed conditions.
If your proposed appointment has been approved without condition, refer to Stage 4 Step 4.
If your proposed appointment may be subject to conditions, refer to Stage 4 Step 2.
Guidance - Approval of applications
Each application will be considered individually and on its merits and recommendations will be made accordingly.
Applications may be approved unconditionally, or approved subject to conditions applying for a maximum two years from the Civilian Employees or Military Officers (including Warrant Officers) last day of paid service. Such conditions may include:
- A waiting period before taking up the appointment and / or;
- A behavioural condition that for a specified period the former Civilian Employee and Military Officer (including Warrant Officer) should stand aside from involvement in certain activities, for example, commercial dealings with the MOD or the Armed Forces, or involvement in particular areas of the new employer’s business.
- A default lobbying ban of 12 months will be imposed on all applications. This may be reduced if this can be justified by the particular circumstances of the Employee’s application. Equally it may be appropriate that a particular appointment or employment requires a longer period, up to the maximum two years. Lobbying in this context mean that the Civilian Employee and Military Officer should not engage in communications with Government (including Ministers; special advisors and officials) with a view to influencing a Government decision or policy in relation to their interests or the organisation by which they are employed or to whom they are contracted.
Further information on Terms of Approval can be found in the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
Step 2 - You will be given the opportunity to discuss your application and the proposed conditions with the officer responsible for approving your application (Approving Authority) before the final decision is reached.
You may wish to contact the Approving Authority if conditions have been applied. You should inform the DBS Civilian HR Business Appointment Team, who will arrange this for you. You should provide supporting evidence where possible to counter any concerns raised during the evaluation of your proposed appointment. The Approving Authority will consider your representations and may seek further commercial advice before making a final decision.
If you have received approval to set up as independent consultant, you will not normally be expected to seek approval to accept individual commissions unless the work you propose to undertake is of a different nature to that already covered by the approval granted.
You will be informed of the final decision in writing by the DBS Civilian HR Business Appointment Team. Your proposed employer, and where appropriate competitors of your prospective employer, will also be informed that the MOD has taken appropriate measures to minimise any justified concerns.
Step 3 - On leaving the MOD or the Armed Forces you must sign an acknowledgement that you have seen the Business Appointment Rules contained in this policy and process if you are in the SCS PB1 (or at least a 1 Star Military equivalent). The acknowledgement will be retained by HR staff.
Step 4 - You must submit a new application if within two years of leaving paid MOD or Armed Forces employment you wish to take up a new appointment or employment. If you have problems contacting your former Countersigning Officer you should contact the People Service Centre (PSC) for assistance.
View
End-to-End Process
This
process should be read in conjunction with the related Policy and
both must be followed.
Stage
1 - Application
Step 1 - Make sure you are familiar with the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
Step 2 - Take advice if you wish from your Manager or the DBS Civilian HR.
Civilian Employees and Military Officers (including Warrant Officers) must not take up new employment until their application has been approved and they have complied with all waiting periods and conditions imposed.
Employees considering an approach from a prospective employer offering employment for which approval would be required under the Business Appointment Rules must report the approach to their line manager and to you as their Countersigning Officer if their post involved activities that lead to contracts with a prospective employer, gave them knowledge of prospective employer's competitors, or gave them access to information about MOD's business plans and strategies, they must report all offers of an appointment or employment whether or not they are followed up.
This is particularly important if the approach is from an outside employer with whom they or their staff has had official dealings. You must consider whether the proposed offer of employment or appointment will create a Conflict of Interest with their current post in the MOD or the Armed Forces. You may want to consider re-assigning the Employee to an alternative post until they leave the MOD or the Armed Forces.
SCS 1 (and their Military equivalents) must report any approach to the 2nd Permanent Secretary (2nd PUS) - Service ranks and civilian grades (broad equivalents).
Guidance - Business Appointment Rules
Refer to the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
Further information on the Business Appointment Rules can be found on the Advisory Committee on Business Appointments (ACoBA) (www) website.
Step 3 - You must familiarise yourself with the rules and process for Business Appointments and ensure that Employees are aware of the existence of the Business Appointment Rules.
You must ensure that Employee (Civilian or Military) submit an application if they are seeking an appointment or employment outside the MOD or the Armed Forces and they meet the criteria defined in the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
The application should be submitted as soon as possible, even if purely speculative. The DBS Civilian HR Business Appointment Team aim to respond to applications received within 25 working days, but this may be longer, depending on the complexity of the application.
Stage
2 - Initial Evaluation
Step 1 - You must complete the evaluation of the proposed appointment, including recommending any conditions you consider appropriate, giving as much detail as possible. In fairness to the applicant you should complete your evaluation within 5 working days.
Each application must be considered individually and on its merits and recommendations made accordingly.
Applications may be approved unconditionally, or approved subject to conditions applying for a maximum two years from the Civilian Employees or Military Officers (including Warrant Officers) last day of paid service. Such conditions may include:
- A waiting period before taking up the appointment or employment and / or;
- A behavioural condition that for a specified period the former Civilian Employee and Military Officer (including Warrant Officer) should stand aside from involvement in certain activities, for example, commercial dealings with the MOD or the Armed Forces, or involvement in particular areas of the new employer's business.
A default lobbying ban of 12 months will be imposed on all applications. This may be reduced if this can be justified by the particular circumstances of the Employee's application. Equally it may be appropriate that a particular appointment or employment requires a longer period, up to the maximum two years. This may be reduced or extended up to 2 years. Lobbying in this context mean that the Civilian Employee and Military Officer should not engage in communications with Government (including Ministers; special advisors and officials) with a view to influencing a Government decision or policy in relation to their interests or the organisation by which they are employed or to whom they are contracted.
Further information on Terms of Approval can be found in the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
You must be willing to discuss the application constructively with the applicant, including any conditions or waiting periods you are considering recommending as part of the evaluation.
The countersigned form must then be sent to DBS Civilian HR.
For further information on the evaluation of applications refer to Evaluation of Applications.
Guidance - Countersigning Officer
As Countersigning Officer, you should be in a position to understand the potential issues arising from the proposed appointment or employment and judge whether there could be justified public concern, criticism or misinterpretation should the appointment or employment be taken up as proposed. You must be at least two Grades/Ranks senior to the applicant.
If the applicant has already left the MOD or the Armed Forces, you should be the Countersigning Officer who held this position during their final appointment.
If the serving or former Civilian Employee or Military Officer (including Warrant Officer) is not well known to you, you are advised to seek advice from your predecessor or your Line Manager.
Stage
3 - Commercial / Business Evaluation There is no Countersigning Officer action at this Stage.
There is no Countersigning Officer action at this Stage.
Stage
4 - Decision There is no Countersigning Officer action at this Stage.
There is no Countersigning Officer action at this Stage.
View
End-to-End Process
This
process should be read in conjunction with the related Policy and
both must be followed.
Stage
1 - Application There is no DE&S action at this Stage
There is no DE&S action at this Stage
Stage
2 - Initial Evaluation There is no DE&S action at this Stage
There is no DE&S action at this Stage
Stage
3 - Commercial / Business Evaluation
Step 1 - Make sure you are familiar with the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
Step 2 - Take advice if you wish from your Manager or DBS Civilian HR.
Guidance - Business Appointment Rules
Refer to the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
Further information on the Business Appointment Rules can be found on the Advisory Committee on Business Appointments (ACoBA) (www) website.
Step 3 - You will receive the Business Appointment application HR Form 038: MOD Business Appointment Application with supporting evidence, including recommendations from the applicant's Countersigning Officer. You must consider the application and the supporting evidence and determine if the application presents any commercial or business concerns.
You must provide a recommendation to the Approving Authority within DBS Civilian HR.This will be to approve the application (with or without conditions and/or waiting periods) or to refuse the application. You must explain clearly the reasons for your recommendations. You should endeavour to complete your evaluation and recommendations within 10 working days of receiving the application and supporting information.
You must notify the DBS Civilian HR Business Appointment Team of your recommendations, in writing.
Guidance - Consideration of Applications
Where the applicant may have had access to commercially sensitive information from competitors of their proposed employer, you will be informed of any concerns these competitors have over the proposed appointment. You may also wish to consult individual Commercial Heads for their views on the application. Further information on the factors you must consider can be found in Evaluation of Applications.
Each application must be considered individually and on its own merits and recommendations made accordingly. Applications may be approved unconditionally, or approved subject to conditions applying for a maximum two years from the Civilian Employees' and Military Officers (including Warrant Officers) last day of paid service. Such conditions may include:
- A waiting period before taking up the appointment or employment and / or;
- A behavioural condition that for a specified period the former Civilian Employee and Military Officer (including Warrant Officer) should stand aside from involvement in certain activities, for example, commercial dealings with the MOD or the Armed Forces, or involvement in particular areas of the new employer’s business.
A default lobbying ban of 12 months will be imposed on all applications. This may be reduced if this can be justified by the particular circumstances of the Employee's application. Equally it may be appropriate that a particular appointment or employment requires a longer period, up to the maximum two years. Lobbying in this context mean that the Civilian Employee and Military Officer should not engage in communications with Government (including Ministers; special advisors and officials) with a view to influencing a Government decision or policy in relation to their interests or the organisation by which they are employed or to whom they are contracted.
Further information on Terms of Approval can be found in the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
Stage
4 - Decision There is no DE&S action at this Stage
There is no DE&S action at this Stage
View
End-to-End Process
This
process should be read in conjunction with the related Policy and
both must be followed.
Stage
1 - Application There is no Approving Authority action at this Stage.
There is no Approving Authority action at this Stage.
Stage
2 - Initial Evaluation There is no Approving Authority action at this Stage.
There is no Approving Authority action at this Stage.
Stage
3 - Commercial / Business Evaluation There is no Approving Authority action at this Stage.
There is no Approving Authority action at this Stage.
Stage
4 - Decision
Step 1 - Make sure you are familiar with the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
Step 2 - For applicants of B1 grade and below (and their Military equivalents) the Approving Authority is the Senior Wellbeing, Conduct, Absence and Leave (WCAL) (WP&L) Manager. For SCS PB1 (and their Military equivalents), the Approving Authority is DBS Chief Executive.
Take advice if you wish from your Manager.
Guidance - Business Appointment Rules
Refer to the Business Appointment Rules (www).
Further information on the Business Appointment Rules can be found on the Advisory Committee on Business Appointments (ACoBA) (www) website.
Step 3 - You will receive the Business Appointment application (HR Form 038: MOD Business Appointment Application) with supporting evidence, including recommendations from the applicant’s Countersigning Officer and DE&S Commercial staff. You must consider the recommendations against the supporting evidence.
If conditions have been recommended you must allow the applicant the opportunity to discuss the application with you before making the final decision.
You should endeavour to complete the approval process within 5 working days of receiving the application and supporting information.
For further information refer to Evaluation of Applications.
Guidance - Approval of Applications
Each application must be considered individually and on its merits and decisions made accordingly, Applications may be approved unconditionally, or approved subject to conditions applying for a maximum two years from the Civilian Employees' and Military Officers (including Warrant Officers) last day of paid service. Such conditions may include:
- A waiting period before taking up the appointment or employment and/or;
- A behavioural condition that for a specified period the former Civilian Employee and Military Officer (including Warrant Officer)should stand aside from involvement in certain activities, for example, commercial dealings with the MOD, or involvement in particular areas of the new employer’s business.
A default lobbying ban of 12 months will be imposed on all applications. This may be reduced if this can be justified by the particular circumstances of the Employee’s application. Equally it may be appropriate that a particular appointment or employment requires a longer period, up to the maximum two years. Lobbying in this context mean that the Civilian Employee and Military Officer should not engage in communications with Government (including Ministers; special advisors and officials) with a view to influencing a Government decision or policy in relation to their interests or the organisation by which they are employed or to whom they are contracted.
Further information on Terms of Approval can be found in the Business Appointment Rules for Civil Servants and the Armed Forces Policy.
For further information refer to Evaluation of Applications.
Step 4 - You must sign off the Approval once you are content with the recommendations and forward all the documentation to the DBS Civilian HR Business Appointment Team. You must include any submission from the applicant regarding proposed conditions and your associated decision. The DBS Civilian HR Business Appointment Team will notify the applicant of the decision. If conditions apply to the proposed appointment they will notify the proposed employer and, where appropriate, competitor companies and inform them that the MOD has taken appropriate measures to minimise any justified concerns.
View
End-to-End Process
