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					CANDIDATE BRIEF AND JOB SPECIFICATION




THE OFFICE OF RAIL REGULATION

CHIEF EXECUTIVE




Prepared by:      Simon Russell
                  Hugh Thorneycroft

Assignment:       38150-007

Date:             December 2010




                                      1
CONTENTS

Background and context

The Role

The Candidate Profile

Terms and Conditions


APPENDICES
Appendix A               Biographies of ORR Board Members

Appendix B               Selection process

Appendix C               Equal opportunities form

Appendix D               ORR’s values and the Civil Service Code




                                2
OFFICE OF RAIL REGULATION

BACKGROUND AND CONTEXT

Who are we?
The Office of Rail Regulation is an independent regulator responsible for both the
economic and safety regulation of the railway sector. We are a non-ministerial
government department with a budget of about £30 million a year and 300 staff. Our
costs are paid for by the sector not the taxpayer.

The railway sector

Britain‟s railways carry 1.3 billion passengers a year and 100 million tonnes of freight.
The sector‟s turnover is £18 billion pa including Network Rail, (the monopoly
infrastructure provider), train and freight operating companies, rolling stock
companies and suppliers/ contractors to the sector.
The sector has had a chequered history since privatisation in 1994-7 including the
failure of Railtrack, a series of train crashes and significant regulatory reorganisation.
Its record is however now much more successful; safety is improving (although there
is never room for complacency), there are more trains, passenger numbers are up,
passenger satisfaction is increasing and punctuality rates are at an all time high. The
Department for Transport awards franchises to the train operating companies (TOCs)
and Network Rail, as the monopoly infrastructure provider, is regulated by ORR. The
companies are private sector companies( Network Rail is a not for dividend
company) but the sector (primarily Network Rail but also the TOCs) receive
significant public subsidy - £5 billion in 2009-10.The sector is a heavily regulated one,
both because of the significant monopoly elements (Network Rail and the TOCs) and
the amount of taxpayers‟ money going into it. The regulator therefore has a key role
to play in making this complex system work for the benefit of customers and funders.

Office of Rail Regulation

Our functions are:-
   To regulate health and safety in the sector. This function was transferred from
    the HSE in 2006 and covers the mainline railway and London Underground, light
    rail and the heritage sector.

   The regulation of Network Rail as a monopoly provider of the rail infrastructure.
    This involves five yearly reviews of the prices Network Rail charge for access to
    the network, setting the outcomes the company has to achieve (e.g., in terms of
    enhancements to the network performance requirements and efficiency
    improvements) all consistent with the governments‟ in London and Edinburgh
    high level output specifications and public funding commitments, monitoring the
    company‟s performance and intervening when licence conditions are breached.

   Establishing terms and conditions under which the TOCs and freight operators
    access the network, which means we approve all train access to the mainline
    network.


                                            3
   Competition powers used to address, for example, predatory pricing or
    exclusionary behaviour. We have similar powers to the OFT.

   Consumer protection powers used, for example, to ensure passengers get the
    information that they need and non discriminatory prices.

   The publication of key statistics on the performance of railways.

We have a five year strategy which runs to 2014 when the current price control
period ends. Its vision includes

Health and Safety

   Zero workforce and industry-caused passenger fatalities, with an ever decreasing
    overall safety risk.

Needs of users

   Satisfaction levels of passengers and freight users equivalent to the best in
    comparable railways and in other forms of transport.

Efficiency

   Efficiency equivalent to that achieved by the best comparable railways across the
    world.

The strategy sets out 7 themes which ORR expects to concentrate on in achieving its
objectives:
   A focus on passenger and freight customers
   Excellence in health and safety culture
   Excellence in asset management
   Improved industry planning and delivery of major projects
   Efficient use of capacity on the mainline network
   Development by the industry of the capabilities of its people
   High quality data and information for key decisions
For further information, and to see the full strategy, see www.rail-reg.gov.uk.

The changing landscape
The combination of the financial crises and the new government means the railway
sector is facing a period of significant challenge and change and we will need to
respond and play our part in this. The challenges will include the following:

   Although significant levels of capital expenditure in the railways will continue
    under the Comprehensive Spending Review, the amount of public subsidy will
    inevitably reduce over time.

 There is a common and strongly held view that the issues in the railway sector are
  not just about the amount of public money going into it but whether the
  expenditure is value for money. Sir Roy McNulty, previously Chair of the Civil
  Aviation Authority, is currently reviewing value for money across the sector. He is
                                            4
    due to report in April 2011. His report is likely to recommend changes in the way
    that both Network Rail and the TOCs operate including potentially decentralising
    Network Rail by region or route, and joint incentive schemes with TOCs to achieve
    greater efficiency. We would have a significant role to play in putting these
    arrangements in place.

 Consultations for Network Rail’s next price control (2014-19) begin in 2011.
  European benchmarking suggests Network Rail is still 30-40% less efficient than
  the best of its counterparts. Whilst our current periodic review requires it to reduce
  this by at least 21% by 2014, the remaining gap needs to be closed as soon as
  possible after that. The price control or periodic review is a major piece of work
  affecting the whole sector and involving close consultation and engagement with
  all our stakeholders.

 The Coalition Government‟s manifesto stated that it wanted us to become a
  passenger champion - we need to reach agreement on what this means in
  practice and then implement it.

 There are legitimate concerns that regulation should be no more interventionist
  than is necessary to do its job and that it should incentivise those it regulates to
  achieve the desired outcomes without being unnecessarily prescriptive. ORR
  already embraces these principles but will need to remain alert to best regulatory
  practice.

 Our stakeholders‟ feedback about us is generally positive but there is a view that
  we need to be more commercial and more proactive particularly on efficiency
  issues. We will need to act where these concerns are justified.
The challenges ahead for the next CEO are therefore both significant and exciting.
The right candidate could have a fundamental impact on the future success of the
sector.

ORR’s organisational structure

All our powers are vested in our 12 person statutory Board. The Board is lead by a
non executive chair, Anna Walker, and has six other non executive directors and five
executive directors. Biographies of all Board members are at Appendix A.

The corporate structure consists of the following directorates:

   Chief Executive‟s Office (Bill Emery, CEO)
   Railway Markets and Economics (John Thomas, Director)
   Railway Planning and Performance (Michael Lee, Director)
   Rail Policy (Michael Beswick, Director)
   Railway Safety (Ian Prosser, Director)
   Corporate Services (Lynda Rollason, Director)
   External Affairs (Ken Young, Director)
   Legal Services (Juliet Lazarus, Director)

As a non ministerial government department, our staff are civil servants with civil
service terms and conditions.

                                           5
The Role of the new Chief Executive

Given the major challenges faced by the railway sector and ORR, the new Chief
Executive will be a full member of the board, and have a significant leadership role
both in the sector and ORR. Key elements of the role will be:

   to work with our Board to review its current strategy in the light of recent
    developments and then to lead effective delivery of it, once agreed;

   to play a key role in adapting the regulatory regime to changes in the sector
    incentivising all players to work more effectively in partnership and improve their
    efficiency and value for money;

   to lead our work on the next price review of Network Rail, consultations on which
    begin in 2011;

   to continue to make effective use of our existing regulatory powers and develop a
    more proactive consumer role;

   support the Director of Railway Safety to ensure continuous improvement in the
    sector‟s health and safety;

   provide strong leadership within the organisation:

    o communicating a clear vision;

    o supporting and developing a strong and effective management team;

    o having the energy, enthusiasm and drive to motivate staff to give of their best
      during a very difficult period; and

    o ensuring we have the systems, people and skills needed to meet the
      challenges ahead;

   together with the Chair be an effective ambassador for the ORR developing
    positive relationships with key stakeholders including in government, the sector
    and among consumer groups;

   act as accounting officer ensuring we have effective systems of financial control in
    place and that our resources are used effectively and efficiently.




                                             6
In the first twelve months, the new CEO will need to:

   work with the Chair and Board to update the strategy in the light of changing
    circumstances and to ensure the organisation has the right skills and capability to
    deliver the strategy;

   Grasp the complexities of the regulatory regime and the sector and ensure that
    we are contributing fully to implementing the agreed recommendations of the
    McNulty review and the proposed changes in the way the sector operates;

   have established an effective framework to carry out the 2014-19 price control
    review and an effective initial consultation;

   clarify and visibly implement our consumer and other regulatory roles;

   work with the Director of Railway Safety to improve health and safety in the
    sector;

   earn the confidence of our wide ranging stakeholders;

   earn the confidence of the senior team and ensure the staff understand, are
    skilled for, and motivated to deliver, the changed agenda.



By 2014 (the beginning of the next price control period), the CEO / ORR must:

   have agreed an effective price control with Network Rail and the railway sector,
    driving UK railways to be „best in class‟ for efficiency and customer satisfaction;

   have established a clear and effective role for ORR in incentivising the whole
    railway sector to achieve maximum efficiency. Success measures would include:

    o increased customer satisfaction measures as the sector becomes more
      customer centric

    o Network Rail‟s efficiency is “best in class”

    o reduction in public expenditure and an increase in private investment in our
      railways

    o capital investment and new projects are serving the needs of local
      communities as well as national needs, helping generate economic growth.

   demonstrably be hitting safety and environmental targets:

   have stakeholders speaking positively about our performance and that we are
    seen as proactive and understand the commercial pressures on the sector; and

   have a skilled and motivated work force with high employee engagement.



                                            7
Ideal Candidate Profile

To meet these challenges we are looking for an exceptional candidate who is an
outstanding leader with:

 CEO / Managing Director or senior leadership experience in either the public or
  private sector;

 a track record of successfully and visibly managing and leading complex change
  both within their own organisation and more broadly across a sector;

   proven ability to operate in a political setting with a real understanding of how
    complex regulation works and can contribute to innovative thinking;

   a good and proven record of team and partnership working both within an
    organisation (with the Board and staff) and externally;

   good experience of delivering operationally in an area with a strong consumer
    activity/orientation;

   experience within a sector involving significant safety issues would be very useful;

 previous experience of building effective leadership teams and providing clear
  direction and inspirational leadership for staff;

 the personality, presence and communication skills to deal effectively with our
  broad range of stakeholders;

 a track record of working successfully through a board structure recognizing and
  encouraging the different roles;

 experience of, or a clear demonstrable understanding of, how private sector
  companies can be incentivised to behave differently;

 sound financial management skills, ideally with an understanding of government
  accounting; and

 the personal characteristics to be seen as an exemplar of our values and an
  appreciation of the boundaries within which the public sector has to operate.

Candidates could come from either the public or private sector. In either case, prior
experience of the transport or construction sectors, or large scale infrastructure
projects would be particularly relevant and useful.




                                            8
Critical Competencies for Success

Leadership

   In an environment where there will be a wide range of opinions on the optimal
    economic and safety regulation models to use, the successful candidate will be
    someone who:
    o Creates a realistic vision and goals for what needs to be achieved
    o Establishes and helps others understand the direction of the organisation
    o Is a role-model of expected behaviour
    o Inspires others
    o Establishes a learning environment
    o Has real operational experience of delivery.

Team and partnership working

   This will be needed within ORR (with the Board, the senior team and staff) and
    externally with our wide range of stakeholders. This partnership working still has
    to deliver on our objectives


   Further, because of the context and nature of the role described above, it will be
    particularly important to exercise strong Interpersonal and communication
    skills by

    o   Going the „extra mile‟ to spend time with stakeholders and engage with them
    o   Communicating with and listening to them in an open and timely manner that
        fosters a spirit of goodwill based on trust and respect throughout the railway
        sector
    o   Persuading stakeholders of the merits of a particular point of view or strategy
    o   Communicating with the Chair, Board, DfT and Transport Scotland so that
        they are aware of potential issues arising, bringing them into critical
        discussions early on, and working with them to find solutions ahead of the
        problem
    o   Exercising different modes and means of communication suitable for the
        audience.

Analytical skills and decision making

   At the heart of the role is the ability to make good decisions when faced with
    multiple agendas and perspectives and the significant complexities of the sector
    and regulation. This will be achieved by:
    o Having a real understanding and experience of the complexities of regulation
    o Considering external and internal factors before making decisions.
    o Understanding when a problem can be solved without further involvement and
        when others are needed to help find and/or agree a solution.
    o Speaking out and persisting in the face of challenge.
    o Listening to criticism, but remaining robust where appropriate.



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Terms and conditions of employment
This is a senior civil service job. It is a fixed-term contract of three years but it
could be extended or made permanent depending on the performance of the
individual. The salary will be in the range of £140,000 to £160,000, and will be
subject to annual adjustments according to the Cabinet Office processes, and ORR‟s
Remuneration Committee‟s judgement of performance.

The job is located at our headquarters in Kemble Street, Central London (just off
Kingsway), but we have five main offices in Glasgow, Manchester, York,
Birmingham, and Bristol, which the chief executive will visit regularly to engage with
our staff and local stakeholders.




                                           10
Appendix A: Biographies of ORR Board members

Non-executive directors:


Anna Walker CB

Anna is chair of the ORR Board and took up the post on 5 July 2009. Prior to taking
up this role, she served on the Board from 22 May 2009. She is also a member of the
Board of Consumer Focus.
Her previous roles include chief executive of the Healthcare Commission from 2004-
09, director general for land use and rural affairs at the Department for the
Environment, Food and Rural Affairs from 2001-2003, director general at the
Department for Trade and Industry, responsible for the Government's energy policy
from 1998 to 2001. She was deputy director general at the Office of
Telecommunications (OFTEL) from1993 to 1997.
Anna is a member of the approvals committee, safety regulation committee
and the remuneration committee.
Appointed 5 July 2009 to 4 July 2014.


Tracey Barlow
Tracey is an independent consultant specialising in business development and
capital programme management, working mainly in the water and energy utility
markets and she is chairman of a Waste to Energy technology business based near
Southampton. Tracey is a non-executive director of the Highways Agency; chairs the
Highways Agency investment programme delivery board sub-group and is a member
of the Highways Agency‟s audit committee.
Previously, Tracey was responsible for the delivery of Scotland‟s £2.3bn water and
wastewater capital infrastructure programmes. She managed this delivery
programme through a seven-partner Joint Venture organisation with Scottish Water.
The unique nature and success of the Joint Venture was recognised through
numerous industry, customer, stakeholder and environmental awards.
She also has extensive operations and customers services experience, culminating
as general manager, Networks for multi utility services in the North West of England.
Tracey was transition manager for the first water industry operations outsourcing
contract involving Welsh Water and United Utilities Plc.
Tracey is the chair of the audit committee.
Appointed from 1 February 2010 to 31 January 2015.




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Peter Bucks
Peter Bucks was the senior financial advisor at Ofgem (the Office of Gas and
Electricity Markets) from 1997 to March 2008. From 2000 to 2006 he also served as
corporate finance adviser at Ofwat (the Office of Water Services). In 2006 he was
appointed a non-executive director of the Board of Water Services Regulation
Authority (Ofwat) for a five year term.
Previously, Peter spent some thirty years in investment banking in London and New
York. From 1987 to 1998, he was a director of Hill Samuel Bank, providing corporate
finance advice to a wide variety of clients, including close involvement in the UK
privatisation programme. He was also a non-executive director of the British Marine
Mutual group of insurance companies prior to its acquisition in 2000.
Peter is a member of the audit committee and the remuneration and periodic review
committees.
Appointed 5 July 2004 and reappointed from 1 April 2010 to 31 March 2014.


Dr Chris Elliott
Chris Elliott is an independent consultant and a visiting professor, with expertise as a
systems engineer and barrister. He has extensive experience of rail and other
transport issues. He has had particular involvement with the management of safety,
working with European railway companies and in the UK with the Rail Safety and
Standards Board to develop policies that properly reflect safety legislation.
Chris is a member of the safety regulation committee.
Appointed from 1 July 2007 to 31 March 2011.


Richard Goldson OBE
Richard Goldson has been involved in the UK rail industry all his working life. He has
held operational and commercial jobs, covering passenger, freight and management
training and development. From 1989 to 1997 he worked at British Railways Board
headquarters, directing successive organisation change and restructuring
programmes.
Before joining the ORR Board, he worked for National Express Group as rail
development director, responsible for regulatory relations, track access
developments, inter-TOC opportunities and new business monitoring worldwide. He
is a trustee director of the Railways Pension Scheme, the £20bn scheme covering all
UK rail companies and is a trustee of the Railway Benevolent Institution. He was
awarded the OBE in the 1996 Birthday Honours.
Richard is chairman of the remuneration committee and a member of the approvals
committee and periodic review committee.
Reappointed from 1 April 2010 to 31 March 2011.




                                           12
Mike Lloyd
Mike Lloyd has wide experience in engineering, manufacturing and supply chain
roles joining Laurence Scott and Electromotors Ltd in 1971 designing specialist
rotating equipment for the naval, industrial and nuclear sectors. He moved to GEC
Large Machines Ltd in 1987 initially as technical director and then managing director
where he and his team were awarded the 1992 UK Productivity award for the
innovative application of Lean and Six Sigma techniques in a low volume
manufacturing environment.
Mike has extensive railway experience joining (GEC) Alstom Transport in 1992
holding several International business and operations roles including senior vice
president of Alstom's Global train assembly businesses from 1999-2002 based in
Paris. In 2002 Mike joined Rolls Royce Plc as president of Gas Turbine Operations
on the company‟s group executive and successfully reorganized the
company‟s manufacturing operations following the events of 9/11. He was
appointed group manufacturing director in 2009.

Mike has a degree in Electrical Engineering, a PhD in Electrical Rotating Machines
and is a Fellow of the Royal Academy of Engineering.

Appointed from 1st March 2010 to 28th February 2015.


Steve Walker
Steve is a chartered mechanical engineer who after leaving school worked for British
Coal in operational line management and major project roles. Steve then worked in
the Thames Water Group for 19 years, and for most of that time he was a director of
Thames Water Utilities in the UK, leading engineering, project delivery, asset
management, health and safety and capital programme management.
For a period he was chairman of a process contracting and operations company in
Spain and separately was chairman and group managing director of the Thames
Water Products group of companies in the UK and USA which manufactured
equipment and supplied water and waste water process solutions. Steve is an
Associate Fellow of the Saïd Business School, University of Oxford, where he both
teaches and directs Executive Education programmes.
Steve is the chair of the safety regulation committee.
Appointed from 1 February 2010 to 31 January 2015.




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Executive directors:


Bill Emery
Bill Emery was appointed chief executive, Office of Rail Regulation, with effect from
19 September 2005. The Secretary of State for Transport appointed him to the ORR
Board with effect from June 2005 and reappointed him to the Board from 19
September 2008 to 18 September 2010 and then again from 19 September 2010
until 28 June 2011, when he steps down as chief executive.
Dr Emery was previously director of costs and performance and chief engineer at
Ofwat. He joined Ofwat in 1990. Before then he worked for Yorkshire Water. He is a
chartered civil engineer, has an engineering degree (civil and structural), a doctorate
in public health engineering and an MBA. Married with two children, he lives in
Sheffield where he is currently a magistrate of long standing.
Bill is chairman of the periodic review committee, a member of the approvals
committee, safety regulation committee and attends all meetings of the audit
committee.


Michael Beswick
Michael Beswick is director, railway policy, Office of Rail Regulation, with
responsibility for developing ORR‟s corporate strategy, advising the chief executive
and Board on all aspects of rail policy and ensuring coordination of ORR's strategic
policy development activities and stakeholder relationships. The Secretary of State
appointed him to the Board with effect from 20 March 2006.
He holds an MSc degree in economics and has 30 years experience of working in
the railway industry. This includes operations, marketing, planning and business
management roles in British Rail. He joined ORR in 1994. Prior to his current role he
was director of infrastructure regulation concerned with the regulation of Network
Rail's stewardship of the network and network performance, and also providing
operational, safety and engineering advice to the office.
Michael is a member of the approvals committee, periodic review and safety
regulation committees.




                                           14
Ian Prosser
Ian Prosser is the chief inspector of railways and director, railway safety, Office of
Rail Regulation. He is responsible for the work of the Railway Safety Directorate,
which strives to ensure duty-holders in the railway industry manage health and safety
risks effectively and thus comply with their statutory duties. The Secretary of State
appointed him to the Board with effect from 26 September 2008.
Ian was educated at Imperial College where he attained a first class honours degree
in chemical engineering, followed by a Master of Philosophy in control engineering
and operations research at Cambridge University. He has worked in safety critical
industries for more than 26 years: originally in the chemical pharmaceutical and
automotive industries, where the roles performed spanned a wide spectrum from
works/production management to project and technology management, delivering
improvements in safety and quality.
Prior to joining ORR, he spent eight years in the rail industry, working for Amey Rail
and Amey Operations as both technical director and Quensh director and then
Metronet Rail, where he had the leading role in safety management; he was a
director of both infraco companies.
Ian is a member of the safety regulation committee.


Michael Lee
Michael Lee is director, railway planning and performance at the Office of Rail
Regulation. He leads on overseeing Network Rail's performance and its stewardship
of the national railway network infrastructure by monitoring and enforcing compliance
with the network licence. He provides advice to the Board on engineering and other
railway operational matters. The Secretary of State appointed him to the Board with
effect from 22 January 2007.
He joined ORR in 2005 and has more than 30 years' experience in the rail industry.
He initially joined BR and worked in operational research, marketing and business
planning. At privatisation he moved to OPRAF where he developed policy for fares
and service specifications and led teams handling the award of franchises. He spent
eight years in consultancy, the majority as a director of AEA Technology‟s Rail
business. He holds degrees in mathematics, statistics and OR.
Michael is a member of the periodic review and safety regulation committees.




                                           15
John Thomas
John Thomas is director, railway markets and economics, Office of Rail Regulation.
He leads the development and implementation of competition, economic and
financial policy underpinning ORR's regulation of the rail industry. The Secretary of
State appointed him to the Board with effect from 22 January 2007.
Prior to joining ORR in July 2001, he was a transport economist with Halcrow for
seven years. He worked on the development and evaluation of transport policies and
projects across all modes of transport, for governments and the private sector, in the
UK and overseas. He has also worked for Lloyds of London for three years. He has
an MA in transport economics from the University of Leeds. He was formerly an
advisory member of the non-statutory Advisory Board of the Public Private
Partnership Arbiter.
John is a member of the periodic review committee.


Jeremy Chittleburgh
The terms of reference of the audit committee include provision for an independent
member. This is to ensure that at least one member of the committee is a qualified
accountant.
Jeremy Chittleburgh BSc CA qualified as a chartered accountant in 1991 with Chiene
+ Tate, a well respected Edinburgh firm. Following two years with the Charter Group
Partnership he returned to Chiene + Tate as a Partner in 1996. He deals with a range
of clients providing business support as well as internal and external audit services.
Internal audit clients include both OFT and Ofgem.
Appointed from 1 March 2007. Reappointed from 1 March 2010 to 29 February 2012.




                                          16
Appendix B: Selection and recruitment process
This appointment will be made on the basis of fair and open competition established
in the Civil Service Commission‟s recruitment principles. Eliza Hermann, Civil Service
Commissioner, will chair and oversee the selection process.
The Civil Service Commission has two key functions, as set out in the Constitutional
Reform and Governance Act 2010:

 the Commission is responsible for upholding the principle that selection to
  appointments in the Civil Service must be on merit on the basis of fair and open
  competition; and

 the Commission can hear and determine complaints raised by civil servants under
  the Civil Service Code, the ethical code which forms part of the terms and
  conditions of every civil servant. The Commission also work with departments to
  help them promote the Code and the core values of the Civil Service that it
  describes.
In addition to Eliza, the members of the selection panel will be:
      Anna Walker, Chair of the Office of Rail Regulation
      Colette Bowe, Chair of OFCOM
      Non-Executive Director of the Office of Rail Regulation
      Steve Gooding, Director General, Motoring & Freight Services, Department for
       Transport

. To apply, you should
    Complete the Equal Opportunities form in Appendix C (electronic or manual)
    Send your CV and the completed Equal Opportunities form either
      electronically to orr@spencerstuart.com or in paper form to Spencer Stuart, 16
      Connaught Place, London W2 2ED, marked for the attention of Gloria Marin.

The closing date for applications is 5 p.m. on Tuesday 11 January 2011

All applications will be considered by the selection panel and a short list of
candidates invited to interview. The timetable for the process is as follows:

 Closing date for applications                   5 p.m. Tuesday 11 January
 Long listing                                    12-14 January
 Preliminary interviews with Spencer Stuart      17 January – 2 February
 Short listing                                   3-4 February
 Candidate assessments undertaken                7-11 February
 Informal meeting with Anna Walker               14-25 February
 Informal meeting with non-executive
                                                 14-25 February
 directors
 Formal panel interviews                         Week of 7 March

                                            17
Equality and diversity
The Office of Rail Regulation is committed to equality and diversity amongst its
employees. Our aim is to ensure that no job applicant or employee receives less
favourable treatment on the grounds of ethnicity, gender, sexual orientation, age,
marital or civil partnership status, disability, religion, gender reassignment, or family
and other caring responsibilities.


Data Protection Act, 19981
Information provided by you as part of your application to the Office of Rail
Regulation will be used in the recruitment process. Any data about you will be held
securely by ORR with access restricted to those involved in dealing with your
application and in the recruitment process. Once this process is completed the data
relating to unsuccessful applicants will be stored for a maximum of 12 months and
then destroyed by ORR. If you are the successful candidate, your application form
will be retained and form the basis of your personal record. Any equal opportunities
information provided by you will be used to monitor ORR's diversity policies and
practices. By submitting your completed application you are giving your consent to
ORR for your data being stored and processed for the purpose of the recruitment
process, equal opportunities monitoring and your personal record if you are the
successful candidate.


Complaints
ORR‟s recruitment processes are underpinned by the principle of selection for
appointment on merit on the basis of fair and open competition as outlined in the Civil
Service Commission's recruitment principles, which can be found at
http://www.civilservicecommission.org.uk/.

If you feel your application has not been treated in accordance with the Code and
you wish to make a complaint, you should contact the head of human resources in
the first instance at david.chapman@orr.gsi.gov.uk. If you are not satisfied with the
response you receive from ORR, you can contact the Civil Service Commission.




Note 1: For Spencer Stuart‟s standard privacy terms and conditions please go to the following
link: http://www.spencerstuart.com/policy/.




                                             18
Appendix C: Equal Opportunities Monitoring
The Office of Rail Regulation is committed to a policy of equal opportunities. We
aim to provide equal opportunity in employment, career development and
promotion to all that are eligible on the basis of ability and qualifications.

We want to ensure that our policies are working in practice and to do this we need
details of applicant‟s age, gender, ethnic background, religious belief, national
identity and any disability.

The information in this part of the application form will not be made available to the
selection panel – this is to ensure that the information you provide is treated
confidentially and does not affect your job application.

Section A – Gender and Disability (please delete as appropriate)

Name:                                                         Gender: Male / Female

Do you consider yourself disabled? Yes / No

If yes, please give details:




Section B – Ethnic Background (please cross or underline one)

Asian:                    Black:                         Mixed Ethnic Background:

Bangladeshi              African                       Asian and White

Indian                   Caribbean                     Black African and White

Pakistani                Any other Black background    Black Caribbean and White
                          (specify if you wish):
Any other Asian                                         Any other Mixed ethnic
background (specify if                                   background (specify if you
you wish):                                               wish):



Chinese:                  White:                         Any Other Ethnic Background:

Any Chinese              Any White background          Any other ethnic
background (specify if    (specify if you wish):         background (specify if you
you wish):                                               wish):




                                          19
Section C – National Identity (please cross or underline one)

British or Mixed British         English

 Irish                            Scottish

 Welsh                            Or any other? (specify if you wish):

Section D - Date of
birth:




                                      20
Appendix D: ORR Values and the Civil Service Code

ORR’S VALUES
The Office of Rail Regulation‟s mission statement is:

To promote safe reliable and value for money rail services across Britain;

Underpinned by organisational values which state that ORR:

           Will communicate openly ensuring that we are approachable and listen to
            the views of others;
           Value others, respecting their views and behaving appropriately;
           Act professionally dealing with issues consistently and fairly;
           Think strategically, acting on evidence whilst not losing sight of the bigger
            picture; and
           Empower its people giving them space to develop, innovate and collaborate.


Civil Service values
1. The statutory basis for the management of the Civil Service is set out in Part 1 of
   the Constitutional Reform and Governance Act 2010.

2. The Civil Service is an integral and key part of the government of the United
   Kingdom1. It supports the Government of the day in developing and
   implementing its policies, and in delivering public services. Civil servants are
   accountable to Ministers2, who in turn are accountable to Parliament3.

3. As a civil servant, you are appointed on merit on the basis of fair and open
   competition and are expected to carry out your role with dedication and a
   commitment to the Civil Service and its core values: integrity, honesty, objectivity
   and impartiality. In this Code:

    „integrity‟ is putting the obligations of public service above your own personal
     interests;
    „honesty‟ is being truthful and open;


1
 Civil servants working for the Scottish Executive and the Welsh Assembly Government, and their
Agencies, have their own versions of the Code. Similar Codes apply to the Northern Ireland Civil
Service and the Diplomatic Service. Civil servants working in Non Ministerial Departments in England,
Scotland and Wales are covered by this Code.
2
  Some civil servants are accountable to the office holder in charge of their organisation. This is made
clear in terms and conditions of employment.
3
 Civil servants advising Ministers should be aware of the constitutional significance of Parliament, and
of the conventions governing the relationship between Parliament and the Government.




                                                   21
    „objectivity‟ is basing your advice and decisions on rigorous analysis of the
     evidence; and
    „impartiality‟ is acting solely according to the merits of the case and serving
     equally well Governments of different political persuasions.

4. These core values support good government and ensure the achievement of the
   highest possible standards in all that the Civil Service does. This in turn helps the
   Civil Service to gain and retain the respect of Ministers, Parliament, the public
   and its customers.

5. This Code4 sets out the standards of behaviour expected of you and other civil
   servants. These are based on the core values which are set out in legislation.
   Individual departments may also have their own separate mission and values
   statements based on the core values, including the standards of behaviour
   expected of you when you deal with your colleagues.


Standards of behaviour
Integrity
6. You must:
 fulfil your duties and obligations responsibly;
 always act in a way that is professional5 and that deserves and retains the
    confidence of all those with whom you have dealings6;
 carry out your fiduciary obligations responsibly (that is make sure public money
    and other resources are used properly and efficiently);
 deal with the public and their affairs fairly, efficiently, promptly, effectively and
    sensitively, to the best of your ability;
 keep accurate official records and handle information as openly as possible
    within the legal framework; and
 comply with the law and uphold the administration of justice.

7. You must not:
 misuse your official position, for example by using information acquired in the
    course of your official duties to further your private interests or those of others;
 accept gifts or hospitality or receive other benefits from anyone which might
    reasonably be seen to compromise your personal judgement or integrity; or
 disclose official information without authority. This duty continues to apply after
    you leave the Civil Service.




4
  The respective responsibilities placed on Ministers and special advisers in relation to the Civil
Service are set out in their Codes of Conduct: www.cabinetoffice.gov.uk/propriety_and_ethics.
Special advisers are also covered by this Civil Service Code except, in recognition of their specific
role, the requirements for objectivity and impartiality (paras 10-15 below).
5
 Including taking account of ethical standards governing particular professions.
6
 Including a particular recognition of the importance of cooperation and mutual respect between civil
servants working for the UK Government and the devolved administrations and vice-versa.

                                                  22
Honesty
8. You must
 set out the facts and relevant issues truthfully, and correct any errors as soon as
     possible; and
 use resources only for the authorised public purposes for which they are
    provided.

9. You must not:
 deceive or knowingly mislead Ministers, Parliament or others; or
 be influenced by improper pressures from others or the prospect of personal
    gain.

Objectivity
10. You must:
 provide information and advice, including advice to Ministers, on the basis of the
    evidence, and accurately present the options and facts;
 take decisions on the merits of the case; and
 take due account of expert and professional advice.

11. You must not:
 ignore inconvenient facts or relevant considerations when providing advice or
    making decisions; or
 frustrate the implementation of policies once decisions are taken by declining to
    take, or abstaining from, action which flows from those decisions.

Impartiality
12. You must:
 carry out your responsibilities in a way that is fair, just and equitable and reflects
   the Civil Service commitment to equality and diversity.
13. You must not:
 act in a way that unjustifiably favours or discriminates against particular individuals
   or interests.

Political Impartiality
14. You must:
 serve the Government7, whatever its political persuasion, to the best of your ability
   in a way which maintains political impartiality and is in line with the requirements
   of this Code, no matter what your own political beliefs are;
 act in a way which deserves and retains the confidence of Ministers, while at the
   same time ensuring that you will be able to establish the same relationship with
   those whom you may be required to serve in some future Government; and
 comply with any restrictions that have been laid down on your political activities.




   7
    Some civil servants are accountable to the office holder in charge of their organisation. This is
   made clear in terms and conditions of employment.

                                                  23
15. You must not:
 act in a way that is determined by party political considerations, or use official
   resources for party political purposes; or
 allow your personal political views to determine any advice you give or your
   actions.


Rights and responsibilities
16. Your department or agency has a duty to make you aware of this Code and its
   values. If you believe that you are being required to act in a way which conflicts
   with this Code, your department or agency must consider your concern, and
   make sure that you are not penalised for raising it.

17. If you have a concern, you should start by talking to your line manager or
   someone else in your line management chain. If for any reason you would find
   this difficult, you should raise the matter with your department‟s nominated
   officers who have been appointed to advise staff on the Code.

18. If you become aware of actions by others which you believe conflict with this
   Code you should report this to your line manager or someone else in your line
   management chain; alternatively you may wish to seek advice from your
   nominated officer. You should report evidence of criminal or unlawful activity to
   the police or other appropriate regulatory authorities. This Code does not cover
   HR management issues.

19. If you have raised a matter covered in paragraphs 16 to 18, in accordance with
   the relevant procedures8, and do not receive what you consider to be a
   reasonable response, you may report the matter to the Civil Service
   Commission9. The Commission will also consider taking a complaint direct. Its
   address is:
         3rd Floor, 35 Great Smith Street, London SW1P 3BQ.
         Tel: 020 7276 2613
         email: info@civilservicecommission.org.uk

   If the matter cannot be resolved using the procedures set out above, and you feel
   you cannot carry out the instructions you have been given, you will have to resign
   from the Civil Service.

20. This Code is part of the contractual relationship between you and your employer.
   It sets out the high standards of behaviour expected of you which follow from your
   position in public and national life as a civil servant. You can take pride in living up
   to these values.


   8
    The whistle blowing legislation (the Public Interest Disclosure Act 1998) may also apply in some
   circumstances. The Directory of Civil Service Guidance and the Civil Service Management Code
   give more information: www.cabinetoffice.gov.uk/conduct-ethics/civil-service.aspx.
   9
    The Civil Service Commission‟s Guide to Bringing a Complaint gives more information, available
   on the Commission‟s website: www.civilservicecommission.org.uk.


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