Pre-appointment scrutiny hearings

robert-hazell-350x350In September the Commons Public Administration and Constitutional Affairs Committee published their report into Pre-Appointment Scrutiny Hearings. Robert Hazell gave evidence to the committee’s inquiry on the subject; here he discusses the report’s conclusions, and describes the events that led to its being undertaken, including two Constitution Unit studies that evaluated the effectiveness of such scrutiny.  

The recently published report of the Commons Public Administration and Constitutional Affairs Committee (PACAC) was the product of an inquiry undertaken at the request of the Commons Liaison Committee, because of growing concerns amongst Select Committee chairs that pre-appointment scrutiny hearings were a charade, especially when the government ignored committee recommendations.  The Liaison Committee and PACAC both heard evidence from the former Constitution Unit Director, Professor Robert Hazell, who explained that pre-appointment hearings were more effective than MPs recognised, and suggested ways in which they could be made more effective still.

Pre-appointment scrutiny hearings were introduced by Gordon Brown, when he became Prime Minister in July 2007.  In his Green Paper The Governance of Britain he proposed:

… that the Government nominee for key positions … should be subject to a pre-appointment hearing with the relevant select committee. The hearing would be non-binding, but in the light of the report from the committee, Ministers would decide whether to proceed.  The hearings would cover issues such as the candidate’s suitability for the role, his or her key priorities, and the process used in the selection.

The Cabinet Office and the Liaison Committee subsequently agreed a list of just over 50 key positions which would be subject to the new procedure. Ten years later, by the end of the 2015-17 Parliament, there had been almost 100 scrutiny hearings, involving almost every single departmental Select Committee. The Constitution Unit conducted an early evaluation of the first 20 hearings in 2009-10, and a second study in 2016-17, looking at a further 70 hearings. Continue reading

Government still lacks a strategic approach to research

 

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The Cabinet Office this week published the official Areas of Research Interest for six government departments, including the Department for Transport and the Foreign and Commonwealth Office. Tom Sasse, of the Institute for Government, welcomes the decision to publish, but claims that the quality of the output varies between departments. At a time when ministers have less money to spend on research, he argues that the government does not work well enough with academia and needs to change its approach if proper evidence-based policy making is to occur in the future.

Policy makers need to find the research and evidence they need to strengthen policy, and researchers need to identify the Government’s priorities so that they can provide input.

The 2015 Nurse Review of Research Councils called on the government to publish the priority questions it would like answered through new or existing research. Sir Jeremy Heywood, the Cabinet Secretary, announced the first publication of the Cabinet Office’s Areas of Research Interest (ARI) last week.

Six government departments (Business, Energy and Industrial Strategy; Health; Transport; Environment, Food and Rural Affairs; Cabinet Office; and the Foreign Office) have now published their ARIs, with the rest expected to follow soon.

These first six ARIs are mostly brief, high-level and of mixed quality. The Department for Transport’s ARI, however, stands out as an example for others to follow.

These ARIs are welcome, but government departments need to develop more comprehensive strategies for accessing the evidence and research they need.

Continue reading

Constitution Unit publishes new study on non-executive directors in Whitehall

 

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In 2017, the Constitution Unit conducted the first-ever study of the work of non-executive directors (NEDs) within Whitehall. In this blog post, project leader Robert Hazell and Lucas Chebib, one of the project’s research volunteers, discuss the methodology and findings of the report. 

The Constitution Unit has just completed the first major study of non-executive board members in Whitehall (commonly known as non-executive directors, or NEDs). The report concluded that non-executives are high calibre, committed people, whose expertise is greatly valued by the civil service. However, NEDs themselves often said they find the role frustrating, and feel they could be much more effective if the system only allowed.

The study was carried out over 18 months by four former senior civil servants, with assistance from five research volunteers. The team compiled a detailed database of all NEDs; organised a survey; conducted almost 70 interviews; and tested their findings in private briefings and seminars. The full report is published here; what follows is a summary of the main points. Continue reading

The Codes of the Constitution: how the the UK constitution has been expressed in writing over the past century

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Over the past century there has been an enormous growth in the number of publicly available codes providing accounts of various constitutional rules and principles. In a new book Andrew Blick explores this phenomenon and its implications for the UK constitution. He offers an overview here.

Towards the end of this year the Cabinet Office marks its hundredth anniversary. This institution traces its origins to the secretariat David Lloyd George attached to the war cabinet he formed upon becoming Prime Minister in December 1916. Accounts of this administrative innovation tend to focus on its making possible the proper recording and circulation of the decisions of cabinet and its sub-committees. But the instigation of the war cabinet secretariat also prompted another process that has, in the intervening century, become a prominent feature of arrangements for the governance of the UK. It is the subject of my new book, The Codes of the Constitution.

9781849466813In January 1917, the Secretary to the War Cabinet, Maurice Hankey, produced a document entitled Rules of Procedure, circulating it to government ministers. Its ten paragraphs contained a series of stipulations about the operation of the War Cabinet and the implementation of the conclusions it reached. Rules of Procedure was probably the first example of a genre of official texts setting out official accounts of the principles, rules and practices of the UK governmental system. Having passed through a series of transitions Rules of Procedure remains with us today as the Ministerial Code, the latest version of which was published in October 2015. In 31 pages this informs ministers about a range of issues from their participation in cabinet, to their making of appointments, to their relations with their departments, the civil service and parliament, to their political and private business, to their media relations, and even their travel arrangements.

Since 1917, numerous other codes have appeared – so many that no one public official could possibly be familiar with the existence, let alone the content, of all of them. Such was the scale of growth that, in 2000, the Cabinet Office saw a need to codify codification itself, issuing a two-volume Directory of Civil Service Guidance, a compilation of existing texts either in full or summarised form. The Cabinet Office has been a key producer of these documents; and the Treasury has also made significant contributions, through documents such as Managing Public Money. The existence of a unified permanent civil service, which properly came into being shortly after the First World War, has also been a general driver of codification.

Continue reading

Will Ministers want an EMO?

Whitehall has a new acronym – the EMO.  Not some exotic bird, but Extended Ministerial Offices, first announced by Francis Maude in July.  Last week Cabinet Office published guidelines fleshing out the details: https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/261358/November_-_EMO_Guidance_to_Departments.pdf

EMOs will have three categories of staff: civil servants in the traditional Private Office role, Special Advisers, and external appointees.  The main expansion is likely to be in the third category, and the Civil Service Commission have created a new exception to allow recruitment without competition of chosen individuals as temporary civil servants for up to five years.  The previous maximum was two years: the new exception will allow outsiders to be recruited for the whole of a Parliament.

Ministers who want an EMO will need first to agree the mix of staff and the budget with their Permanent Secretary, before seeking the approval of the Prime Minister.  The budget must come within the department’s overall allocation.  The main quality control will come from Cabinet Office and the PM’s Chief of Staff in scrutinising EMO proposals: the PM is unlikely to give this his personal attention.  A few Ministers may go up from two Special Advisers to three.  But the main test will lie with the external appointees: will they be additional cheerleaders, or serious policy experts?  No 10 will be alert to negative headlines (eg The Times 19 November) and may be tight in what they allow through.

There are two twists in the tail for Ministers who want an EMO.  The first is that at least one member of the EMO must focus on implementation, reporting to the Head of the Cabinet Office Implementation Unit. So there is a direct line reporting line from the EMO to the centre on whether the department is meeting its targets.  The second is that requests must include ‘specific proposals for strengthening the offices of junior Ministers … of a different party’.  Where no EMO is planned, junior ministers can put forward their own proposals.  This is primarily to strengthen the support for the dozen Lib Dem junior ministers scattered round Whitehall, who feel isolated and outgunned. But it will require courage for them to go it alone: they must discuss their proposals first with their Secretary of State, who may not want to give the Lib Dems additional firepower.

Will many Ministers want an EMO?  In the remainder of this Parliament that seems unlikely.  Maude will have to have one, to set an example; but only a handful of colleagues may follow.  Energetic Ministers like Gove have already found ways of recruiting additional advisers, and may not want to seek approval from the centre.  And outsiders may be reluctant to sign up for an 18 month passage when the ship is beginning to run out of steam and they may be paid off in 2015.  So the real test will be in the next Parliament.  In an interview with Civil Service World Labour’s shadow Cabinet Office  spokesman Jon Trickett said that he supported the government’s plans for EMOs [link – http://www.civilserviceworld.com/trickett-civil-service-reforms-ad-hoc-with-hectoring-tone/].  But that was off the cuff, in the margins of the Labour party conference; we don’t know Miliband’s views.   If we have another hung Parliament, the future of EMOs might depend not on Francis Maude, but on the Lib Dems carrying his idea into the next government if they hold the balance of power.

The latest special adviser reshuffle

The full breakdown of special adviser movement.
Note: an asterisk denotes change due to Lena Pietsch’s return from maternity leave; SSoS refers to ‘Senior Secretary of State’.

Last Friday, the Cabinet Office published the first list of special advisers (spads) in post since the September 2012 reshuffle.

It appears they were uploaded at 7.08pm that night. An hour earlier, Andrew Mitchell had resigned his post as Chief Whip. Mitchell had only just appointed a new spad, Meg Powell-Chandler, and he may have been planning to appoint another. Since spads’ appointments are technically terminated when their appointing Minister leaves office, Powell-Chandler’s tenure was abruptly cut short.

Andrew Mitchell’s replacement as Chief Whip is Sir George Young, who left the Cabinet only six weeks earlier. His return brings the possibility that Robert Riddell, his spad as Leader of the House (2010-12), will make a return to government. Young is unlikely to keep on Powell-Chandler or appoint anyone else, because the Chief Whip under Coalition has so far only taken on one on spad, giving the other ‘slot’ to their deputy from the partner party.

Since the reshuffle, a couple of significant appointments have been made at the centre of government, with Oliver Dowden and Ryan Coetzee being brought in to the Prime Minister and Deputy Prime Minister’s offices, Dowden as Deputy Chief of Staff And Coetzee as Clegg’s chief strategy spad.

Some line departments now have more than two spads. Michael Gove and Iain Duncan-Smith now have three spads each. Another impending appointment means that BIS will now have four spads in the department: two for Vince Cable, two for the Conservative ‘junior’ ministers, Michael Fallon and David Willetts.

Jeremy Hunt has kept one of his spads from DCMS, Sue Beeby, and has agreed to appoint a second spad, Sam Talbot-Rice. Talbot-Rice is not included on Friday’s release because he had not started in his post. The Constitution Unit understands that he will take up his post on November 19 and will act as Hunt’s ‘policy special adviser’. Chris Grayling (MOJ) and Maria Miller (DCMS) are two Secretaries of State likely to hire a second spad soon.

Both of Andrew Lansley’s spads at DH have left the government, unique among spads with reshuffled ministers. The only spad to leave their post without their minister being reshuffled was Bridget Harris. She was one of the six Lib Dem ‘departmental’ spads appointed to monitor developments across government, reporting to Nick Clegg.

Three spads have moved to work for different ministers in different departments. Amy Fisher has moved from Defra to MOJ; Victoria Crawford from DFT to DFID; Guy Levin from DCMS to DFID. That is unusual: spads are usually personal appointments, and move with their minister.

Jonathan Caine is unique as spad to the Secretary of State for Northern Ireland. As predicted in a previous blog post, he is the only spad who has remained in a department in spite of a change of Secretary of State. That may be explained by his previous history: he was a spad in NIO under John Major for five years before being brought back in 2010. Arguably, he is an ‘expert’ spad.

But it is worth noting that the pending appointment in DH and BIS means that the Government will soon set a record for the number of spads in government. With fourteen joining and only ten leaving, the number of spads in post increased between July and October 2012 from 81 to 85. But the reported appointments at DBIS and DH as well as potential appointments in the Whips’ office, MoJ and DCMS mean that the number of spads can be expected to reach 87 and perhaps as high as 90, topping the previous record of 85 spads in 2004 under Labour. The rise in numbers may be brought about by the fact of coalition (and the need for greater cross party interaction); and recognition of the need for more politically committed advice and assistance to Ministers. But it is also a product of the rise in the number of ministers in the Coalition Government—especially ministers attending Cabinet.

Last weekend, the Public Administration Select Committee (PASC) published its report ‘Special Advisers in the thick of it’. The Committee came out against a cap on the numbers of spads. That was sensible: the focus should be on the effectiveness of special advisers, not their numbers. Spads are here to stay, and the sooner we have a dispassionate and informed debate about their role, the better. But whether or not the public and Westminster observers will agree is a different matter.

MH

[This post was edited on 23/10/12 to take account of Coalition practice in appointing spads to whips.]

Should We Give Them Some Space? FOI and Cabinet decisions

The retiring Cabinet Secretary Gus O’ Donnell spoke in an interview today about the need to amend FOI to protect decision-making. He was concerned that the possibility of release led to officials ‘fudging’ the minutes.

“I want the minutes to accurately to reflect what people have said. I want good governance…I want them to have an open space. I want us not to be fudging the issue by saying there was a little discussion.”

He also spoke of the nervousness over lack of certainty in the law over Cabinet discussions.

‘He said he wanted more certainty that Cabinet minutes would be protected than offered by the current law, suggesting amendments to the Freedom of Information Act. “If we could draft it in a way that would really enhance openness and transparency whilst allowing some safe space, that would be good for all of us”.

What Gus O’ Donnell is referring to is a variant of the so-called Chilling Effect.  We have concluded that FOI can have this effect but it doesn’t do so systemically and it is almost impossible to disentangle the effect of FOI from lots of other concerns (see page 16-18 in our local government report). However, these conclusions come with qualifications.

1. Finding evidence is very tough. FOI does cause nervousness but whether it then leads to changes is more difficult to prove. Gus also said in his interview ‘ he had not “fudged” any minutes, but was “nervous”. It would be interesting to see firm evidence and if the fudging refers to particular incidents or a general ‘shift’ in minute taking approaches. We found one or two clear cut cases but they were rare and unusual. Proving a negative and asking officials to admit unprofessional conduct is tricky.

2. Is it FOI to blame? Gus said that “Can I guarantee that this is going to stay private? No, I can’t.” But inhibitions (or lack thereof) over discussions are down to many things. Leaks were, are and always will be a huge issue- who said or did not say what and when was central to many recent controversies issues from the War in Iraq to the EU veto.  A well timed leak can hinder many enemies foreign and domestic. Even US Cabinet discussion about the impact of Wikileaks was leaked.

3. Many politicians and officials told us that the ‘politics’ of decision is often ‘off paper’. How and why minutes are recorded how they is due to many things from style to resources. It plays into wider styles of ‘doing’ decisions. Do you do unminuted ‘sofa government’ or are you more formal?

4. Interestingly, overall there were some paradoxical views held. Officials at other levels were more concerned about the consequences of not having a record rather than having one.

5. Very few requests are actually made for Cabinet documents. Only one release of Cabinet Minutes has taken place over Thatcher’s controversial ‘Westland’ affair. Some countries, such as Canada,  actually completely exclude all Cabinet material from FOI.

However, nervousness abounds among officials especially at senior level. This may also be heighted due to how they come into contact with FOI. Senior officials will only be copied into particularly sensitive or problematic requests. Unless they are particularly curious they will only see one in every hundred or thousand and the ‘worst’ one at that. In Ireland, such concern did help lead to a change in the law as it related to Cabinet documents.

Finally, Gus also spoke about the use of the ‘veto’ (called in the article the ‘nuclear weapon’) which can be deployed to overturn appeal decisions. This protection, then, is available but it has only been deployed twice in the UK. This compares with 48 times in the same early years of FOI in Australia. This seems to point to a perverse incentive-unlike a nuclear weapon or an EU veto – the more it is used the less attention it gets.