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					Essential Guide to Rules & Tools




       The Blue Book




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   Table of Contents

   Foreword
   Introduction
   Contents
   A. Overall Business Planning
        Corporate Strategy Group/Resource Management Group
   B. Managing Programmes, Projects and Expenditure
        Corporate Strategy Group/Programme Guidance Group
   C. Accountability and Audit
        Accounts Group
   D. Procurement
        Procurement Group
   E. Managing People
        Human Resources Division (HRD)
   F. Conduct and Propriety
        Human Resources Division (HRD)
   G. Accommodation and Workplace
        Office Services and Security Department (OSSD) Overseas Estate Support Team
   H. Security
        Security Department
   I. Information Systems
        Information Systems Department (ISD)
   J. Managing Information and Communications
        Information and Civil Society Department (ICSD) Open Government Unit
   K. Parliamentary, Ministerial and Top Management Group
        Parliamentary Unit
   L. Roles
   Glossary
   Abbreviations
   Index


Essential Guide to Rules & Tools




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   Foreword



                           MESSAGE FROM THE PERMANENT SECRETARY                                            and complying with the rules which apply to our jobs. The Blue Book will make it
                                                                                                           easier for all of us to know what we must do. Compliance will be tested through
                                   Welcome to DFID’s “Essential Guide to Rules and Tools”. Many of you
                                                                                                           our audit processes and Directors must provide an assurance each year to the
                           know the former blue card on programme management; the new guide
                                                                                                           Management Board that their Divisions are operating according to the rules set out
                           takes its name from this and is called the Blue Book.
                                                                                                           in the Blue Book.

                                   The Blue Book sets out the core information about how to do things in
                                                                                                               The rules and guidance for each area of corporate activity will be maintained
                           DFID that we expect most staff to know. It explains the rules governing key
                                                                                                           and updated by teams in the central Divisions reporting to the Director General for
                           corporate activities including programme management, finance, people
                                                                                                           Corporate Performance. The Blue Book tells you who they are. These teams are also
                           management, security, IT and propriety. Some of you will be familiar with
                                                                                                           responsible for delivering related training, advice and other support to users.
                           parts of its predecessor manuals (which include the four volumes of Office
                           Instructions). The Blue Book represents a significant rationalisation and           The Blue Book is being issued in hard copy to all staff over the next few weeks

                           streamlining. Its focus is on mandatory requirements. There is also a large     and will be available on-line. Managers should encourage staff to use it, and the

                           amount of other guidance material available, which the Blue Book tells you      accompanying on-line package that has been designed to help staff test their

                           where to find. It will in due course be supported by further work bringing      knowledge and understanding.

                           together best practice from DFID and other agencies.
                                                                                                               It is inevitable in an organisation of DFID’s size and complexity that the rules

                                   The Blue Book does not aim to cover everything any of us need to know   and tools will evolve, and we will all need to keep our knowledge up to date. The

                           in order to do our jobs. It does not, for example, cover details of policy or   Blue Book will be updated periodically through insight, and will be re-issued in

                           programmes we finance. It is focused on the systems, procedures and rules       hard copy in the future if needed.

                           we use to get things done in DFID.


                                   Compliance with the rules is very important for DFID’s effectiveness
                                                                                                           Suma Chakrabarti
                           and its reputation. Each of us who work for DFID is responsible for knowing




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                                                                                                                                       the main Board. There are currently sub-committees                   assistance funds, and with the standards and reporting
   Introduction                                                                                                                        covering audit, human resources, security policy issues              requirements applicable to official development
                                                                                                                                       (the Development Committee). More details of the                     assistance and official aid (the two main categories of
   1.   This introductory chapter:                                4.   In addition, the final section extracts a list of the           Management Board and sub-committees, including                       assistance recognised in the OECD).
                                                                       compliance tasks associated with particular roles.              membership, papers and records of meetings are
        -    tells you how to use the blue book;                                                                                                                                                       13. On the basis of these external requirements, and taking
                                                                       This provides a checklist which staff in these roles            accessible through InSight.
        -    describes the history of DFID and our current                                                                                                                                                 account of our experience in helping poorer countries
                                                                       (eg Director, Head of Office, Line Manager) might
             structure;                                                                                                           9.   Each Director General supervises a number of divisions,             develop over the last 40 years, DFID has built up a set
                                                                       want to revisit from time to time.
                                                                                                                                       which are headed by Directors. DFID’s main business                 of rules procedures and systems through which we
        -    explains the framework within which we               5.   Each template also identifies the department or                 planning and delivery takes place at the divisional level.          manage our work.
             operate, including our governing legislation, the         business unit responsible for rules in that area. If the        Directors’ delivery plans, updated annually, set budgets
             international standards with which we comply                                                                                                                                              14. We have also, like other organisations, developed our
                                                                       material in the Blue Book or the associated                     for staff and finance, and the outcomes expected to be
             and our main policy framework;                                                                                                                                                                own culture and values. DFID is covered by the values
                                                                       guidance on inSight does not answer your question,              delivered through their deployment. Directors then
                                                                                                                                                                                                           of the wider Civil Service, but we have our own values
        -    summarises the philosophy behind the Blue                 please contact them using the contact point given in            supervise departments, overseas offices and other teams
                                                                                                                                                                                                           statement too. In DFID we value:
             Book and why our rules are important to us;               the template.                                                   who all have budgets and responsibilities for delivery of
                                                                                                                                       the set of activities necessary for DFID to achieve its              -   our ambition and determination to eliminate
        -    and tells you where you can go for more help.                                                                                                                                                      poverty;
                                                                                                                                       overall goals.
                                                                  History and Structure                                                                                                                     -   the diversity of our workforce and their need for an
   How to use the Blue Book                                       6.   DFID was established in 1997. But a single ministry                                                                                      appropriate balance between work and private life;
                                                                                                                                  Legislative and Policy Framework
   2.   For each topic identified in the contents page, the            or department responsible for Britain’s official                                                                                     -   effective team work;
                                                                       development assistance programme to poorer                 10. Each year Parliament votes funds to DFID on the basis of
        manual provides details of:                                                                                                                                                                         -   listening, learning and creativity;
                                                                       countries has existed since the creation of the                proposals made by the Chancellor of the Exchequer
        -    the background on the topic;                              Ministry of Overseas Development in 1964. For part             through spending reviews. Most of the funds voted to                  -   knowledge and professionalism.
                                                                                                                                      DFID are governed by the 2002 International
        -    compliance tasks, or the rules to follow dealing          of the intervening period we were a free standing
                                                                                                                                      Development Act.
             with the issue;                                           ministry with our own Cabinet minister. For part of
                                                                       the time we were supervised by the Secretary of            11. DFID’s accounting and financing procedures are                   And finally …..
        -    processes and tools, in particular links to
                                                                       State for Foreign and Commonwealth Affairs. But                governed primarily by the Government Accounting                  15. We welcome feedback on the blue book. Please let the
             guidance, best practice documentation and
                                                                       throughout we have had our own budget, a Minister,             Manual produced by HM Treasury. DFID is also subject                 compliance team know PGGBlueBookFeedback@dfid.gov.uk
             other material available on InSight;
                                                                       a Permanent Secretary responsible as Accounting                to other UK legislation, including laws on health and                if you find:
        -    associated learning and skills, including training        Officer to Parliament, and our own legislation.                safety, freedom of information and, human rights. We
             courses and e-learning materials;                                                                                                                                                              -   anything you think is an error;
                                                                                                                                      are also governed by the wider UK government
                                                                  7.   The     Permanent     Secretary    chairs  DFID’s
        -    the risks of non-compliance, and the reasons we                                                                          framework for the Civil Service, including the Civil                  -   anything that is unclear or leaves you uncertain what
                                                                       Management Board, whose other members are the
             have the rules we do;                                                                                                    Service Code and the systems for public appointment                       to do;
                                                                       Directors General and Non-Executive Directors. The             supervised by the Civil Service Commissioners.
        -    other sources of information.                             Management Board is collectively accountable to                                                                                      -   anything you think should be covered but is not.
                                                                       Ministers for the delivery of DFID’s goals, in             12. As a member of the OECD’s Development Assistance
   3.   The templates describing each topic are intended to                                                                                                                                            17. The Blue Book is only useful if it is used – by you. We
                                                                       particular our Public Service Agreement.                       Committee, DFID also complies with good international
        be free standing as far as possible. But the index at                                                                                                                                              are very keen to receive your suggestions for
                                                                                                                                      practice on the use and management of development
        the end of the Blue Book also provides some cross-        8.   The Management Board is supported by a number of                                                                                    improvement.
        referencing.                                                   sub-committees, each chaired by a member of the


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                                   Overall Business Planning                            A


                                   Corporate Strategy Group/Resource Management Group
                                   Corporate Performance Framework                 A1
                                   Managing Financial Resources                    A2




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                                                                                                                                                                     CORPORATE PERFORMANCE FRAMEWORK
                                                                Corporate Performance
                                                                Framework                                                                          Processes and     CSG Insight Page
                                                                                                                                                           Tools     FCPD Insight Page
Background                                                      • agree joint reports with other Government
                                                                  Departments, where appropriate (PSA targets are                                                    The Corporate Cycle – From Strategy to Value
DFID ‘s overall performance framework is agreed with              currently shared with the Department of Trade &
the Treasury for each Spending Review period. Spending            Industry (DTI), Foreign & Commonwealth Office                                                      The Corporate Calendar
                                                                  (FCO), Ministry of Defence (MoD) and Her
Review 2004 sets the framework for the period                     Majesty’s Treasury (HMT)
2005 to 2008.                                                                                                                                                        PRISM Guidance
                                                                • respond to Parliamentary scrutiny by both the
The framework covers DFID’s overall corporate goals,              International Development Committee (IDC), and                                                     Essential Guide to Rules & Tools: Managing Financial Resources
which are set out in the Public Service Agreement (PSA),          through the National Audit Office (NAO) the
together with a set of efficiency targets and a number of         Public Accounts Committee (PAC). We have a
                                                                  responsibility to address requests for information
additional targets set out in the Settlement Letter.              from both Committees in their annual review of
                                                                  the Departmental Report and Accounts together                                        Associated    None
The PSA for the period 2005 to 2008 is based around 6
                                                                  with other enquiries
PSA targets and 6 objectives, which represent DFID's                                                                                             Learning & Skills
measurable rolling contribution towards the                     • ensure that the Accounting Officer completes the
achievement of the internationally agreed Millennium              statement of internal control, which accompanies
                                                                  DFID’s annual accounts. This is derived from the
Development Goals (MDGs). The PSA directly maps                   statement of assurance to the accounting officer                               Other Sources of    None
onto DFID’s organisational structure and assigns clear            provided by individual directors (“Directors’
areas of responsibility for performance at all levels of the      Statements”).                                                                      Information
organisation. Some PSA targets are jointly owned and            Figure 1 Cascading Corporate goals through the organisation
reported on with other Government Departments.
                                                                                                   At a global level the UN monitors the
The overarching planning and monitoring framework is                                                 MDGs and donors report on e.g.
                                                                                                          Monterrey commitments
                                                                  Millennium Development Goals
set out in Figure 1. Director’s Delivery Plans (DDPs) are                    (MDGs)
the main mechanism to translate corporate goals into                                                  At a corporate level we monitor
                                                                                                       progress against PSA and key
operational divisional plans and thereby country and                Public Service Agreement        corporate management indicators,
                                                                              (PSA)                  through the Autumn Performance
departmental plans. They inform country, department                                                  Report, Departmental Report and
                                                                                                    Quarterley Management Report and
and team objectives and ultimately those of individual                                                     corporate risk register
                                                                     Directors’ Delivery Plan
members of staff.                                                            (DDPs)
                                                                                                       At a divisional level we monitor
Our corporate responsibilities are therefore to:                                                    progress against DDPs during the year
                                                                                                   and annually through DDP reviews and
                                                                     Country Assistance Plans                     risk matrices
                                                                               (CAP)
• negotiate with Treasury the   • monitor progress against         Institutional Strategy Papers
                                                                                (ISP)
  performance framework for       the performance framework                                         At country and institutional level we
                                                                                                   monitor our work through CAP and ISP
  each Spending Review            through the PSA progress                                               reviews and risk matrices
  period                          reports to Parliament and          Department and Team
                                                                          Objectives
                                  through periodic reporting                                        At departmental and team level we
• ensure that DFID’s annual                                                                         monitor outcomes against objectives
                                  to Her Majesty’s Treasury                                           and departmental risk matrices
  planning process addresses                                       Personal Development Plans
                                  (HM T ). Th is e x te rn al                                                                                                        CSGEnquiries@dfid.gov.uk
  the goals and targets set
                                  reporting is complemented
                                                                             (PDPs)
                                                                                                   At an individual level we use mid-year
                                                                                                                                                          Contact
  out in the agreements                                                                               reviews and annual performance
                                  by quarterly reporting to                                                     assessments
  with HMT
                                  the Management Board

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   Compliance Tasks                                                                                                      Risks of Non-Compliance

   Management Board                                            4. Directors’ annual statements of assurance set out      Damage to Departmental Credibility
                                                                  both the actions they will take during the year and
   1. The Management Board is collectively responsible                                                                   • Shortfalls in prioritisation, inappropriate
                                                                  their guarantee of the robustness of systems and
       to Ministers for the delivery of DFID’s corporate                                                                    deployment of resources and failings in
                                                                  processes to ensure that they can manage, monitor
       goals and targets. It provides strategic direction to                                                                DFID’s external monitoring will all lead to
                                                                  and report against corporate requirements.                criticism from the International
       the management of DFID’s operations and ensures
       that corporate goals are cascaded through the                                                                        Development Committee (IDC) and the
                                                               CSG
       organisation. The Board monitors and manages                                                                         Public Accounts Committee (PAC)
                                                               5. Corporate Strategy Group (CSG) will issue
       risk through the Corporate Risk Register and                                                                      • Permanent Secretary to be called to account
                                                                  Commissioning Minutes and Guidance notes for
       reviews this on a quarterly basis along with                                                                         before the IDC and PAC
                                                                  the DDP Process, Departmental Report (DR),
       corporate management information.
                                                                  Annual Performance Review (APR), monitoring            • All of these have wider impacts on DFID’s
                                                                  exercises and all other external monitoring reports.      reputation and may have an impact on
   Directors
                                                                                                                            negotiations with Treasury in the next
   2. Directors must ensure that their Director’s                                                                           Capital Spending round.
      Delivery Plan (DDP) addresses the key corporate
      requirements. This means explicitly stating how
      their plan will address the PSA target for which
      they are personally responsible and those where
      they are in a supporting role, together with the
      steps they will take to meet the efficiency and
      other corporate targets for their Division. The DDP
      sets out the key risks to delivery and states how
      these will be managed. DDPs are reviewed
      annually by the Management Board

   3. Directors must ensure they have a monitoring
       system, which enables them to report on these
       corporate requirements in line with the corporate
       calendar




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                                                                          MANAGING FINANCIAL RESOURCES
Managing Financial
Resources                                               Processes and     Spending Review (SR)
                                                                Tools     Directors Delivery Plans (DDP)
Background                                                                Resource Allocation Round (RAR) Guidance
DFID has devolved much of the responsibility for
                                                                          FINSTATS – In Year Financial Monitoring Guidance
expenditure to Directors, supported by Heads of
Departments and Departmental Finance Officers                             oda:GNI target
(DFOs), but Resource Management Group (RMG)
has overall corporate responsibility for financial                        Aid Framework Lines
monitoring, control and reporting within DFID.
                                                                          DFO portal
RMG’s main areas of responsibility are to:
• secure the financial resources DFID needs from                          Finance and Corporate Performance Division (FCPD)
  Her Majesty’s Treasury (HMT) (principally via                           FCO Service Level Agreement (SLA) Guidance
  the Spending Review (SR)) to deliver its Public
  Service Agreement (PSA)
• support the SR outcomes by ensuring that DFID
  manages its resources effectively and within              Associated    None
  expenditure limits set through the Resource
  Allocation Round (RAR)
                                                      Learning & Skills
• monitor and manage in year spending and
  financial management against the SR and                                 None
  efficiency targets on a calendar and financial      Other Sources of
  year basis, through FINSTATS (DFID’s in year            Information
  financial monitoring exercises looking at actual
  and forecast programme, administration and
  capital expenditure). There are normally 3 or 4
  FINSTATS exercises a year. Divisions at Finstats
  2 make proposals for in year reprioritisation
  where necessary
• report to HMT and the Management Board on
  the DFID corporate financial position in year
  through the Supply Estimates, monthly GEMS
  (General Expenditure Monitoring System)
  Returns, Departmental Report and End Year
  Outturn Exercise
• Manage the Service Level Agreement (SLA)
  with the FCO on behalf of DFID.
                                                               Contact    RMGenquiries@dfid.gov.uk



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   Compliance Tasks                                                                                                         Risks of Non-Compliance
                                                                                                                            Damage to Departmental Credibility
   Directors                                                         variance between expenditure forecasts and
                                                                     outturn. These figures are used as the basis for the   • Expenditure falls outside the International
   1. Directors must ensure their expenditure is in accordance                                                                Development Act 2002, which defines
                                                                     DFID return to HMT for the Public Expenditure
      with the International Development Act 2002 and that                                                                    DFID spending, leading to the Secretary of
                                                                     Outturn White Paper (PEOWP).                             State being called to account by Parliament
      expenditure activity falls within the scope of the
      Departmental Ambit as set out in the DFID                                                                             • Publication of incorrect financial data
                                                                  Heads of Overseas Offices only                              leading to official criticism from the Public
      Parliamentary Estimate
                                                                  9 Heads of Overseas Offices must agree the level of         Accounts Committee (PAC), National Audit
   2. Directors must provide Annual Statements of Assurance         support provided by the Foreign & Commonwealth            Office, International Development Select
      to the Accounting Officer on financial control and risk                                                                 Committee
                                                                    Office (FCO) under the terms of the Service
      management in their Divisions                                 Level Agreement (FCO SLA) as part of the FCO’s          • Permanent Secretary called to account
                                                                                                                              before the Public Accounts Committee
   3. Directors must provide an RAR template to RMG as part         Schedule 5 Exercise
                                                                                                                            • Failure to comply in terms of financial
      of their Directors Delivery Plan (DDP)                      10.Heads of Overseas Offices must agree with                control or risk management could lead to a
   4. Directors must provide RMG with information on their           FCO the basis for the local charges levied               qualification of the DFID Resource
      Division’s financial position (FINSTATS) at set points in      under the SLA and approve the charges for                Accounts by NAO.
      the financial year as directed by RMG. If additional           their office recorded on the FCO Central SLA
                                                                     Invoice.
                                                                                                                            Resources
      resources are required Directors must make a formal
      submission to the Director of Finance and Corporate                                                                   • Resources not aligned with Departmental
                                                                  Departmental Finance Officers (DFOs)                        strategic priorities; including Manifesto and
      Performance Division (FCPD).                                                                                            Spending Review (SR) commitments and
   Heads of Department/Heads of Overseas Offices                  11.DFOs must provide RMG with accurate                      efficiency targets
                                                                     financial returns for the RAR and FINSTATS             • Poor in year financial monitoring and
   5. Heads of Departments/Overseas Offices must identify a          exercises; breaking allocations into programme,          forecasting may misinform the Supply
      Departmental Finance Officer (DFO) who will have               administration and capital for the years                 Estimate process with DFID failing to take in
      responsibility for coordinating and liaising with RMG on       requested                                                sufficient resources to cover expenditure,
      expenditure and financial management                                                                                    leading to an excess Vote (and probably the
                                                                  12.DFOs must inform RMG of transfers of resources           Permanent Secretary being called to
   6. Heads of Departments/Overseas Offices must sign off            between Departments and requests for changes             account before the Public Accounts
      the financial returns requested by RMG                         to Aid Framework allocations after gaining               Committee (PAC))
   7. Heads of Department/Overseas Offices must report their         agreement at the appropriate Divisional level          • Reprioritisation in year not effective and
                                                                                                                              DFID is unable to meet unexpected
      calendar year expenditure as part of FINSTATS 2             13.DFOs must inform RMG of changes to                       spending pressures.
      exercises, for all expenditure which contributes to the        Divisional and reporting structures.
      UN official development assistance: gross national                                                                    FCO Service Level Agreement
      income spending target (oda/GNI ratio) for each
                                                                                                                            • DFID is wrongly overcharged for the
      calendar year                                                                                                           services provided by FCO
   8. Heads of Department/Overseas Offices must provide                                                                     • Disputed Invoice amounts between FCO
      information, via FINSTATS and Accounts Group Year End                                                                   and DFID lead to an irregularity in the
      Pack, on their expenditure outturn explaining reasons for                                                               Whole of Government Accounts (WGA).


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                                   Managing Programmes, Projects                           B
                                   and Expenditure
                                   Corporate Strategy Group/Programme Guidance Group
                                   Pre-Expenditure Requirements: Country
                                   Assistance Plans (CAPs) and Regional
                                   Assistance Plans (RAPs)                           B1
                                   Pre-Expenditure Requirements: Project Header
                                   Sheets, Management Information System (MIS)
                                   Codes & Concept Notes                             B2
                                   Format for Concept Note                           B3
                                   Project/Programme Documents                       B4
                                   Format for Project/Programme Documents over £1M   B5
                                   Consultation Record                               B6
                                   Authority to Approve New Commitments              B7
                                   Formalising Commitments                           B8
                                   Aid Spending: Which Formal Exchange to Use
                                   With Development Partners? – Flowchart            B9
                                   Aid Spending: Which Formal Exchange to Use
                                   With Development Partners? – Text                 B10
                                   Managing Portfolio Performance, Monitoring,
                                   Reporting and Review                              B11




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                                                                               COUNTRY ASSISTANCE PLANS (CAPS) AND REGIONAL ASSISTANCE PLANS (RAPS)
Country Assistance
Plans (CAPs) and                                             Processes and     CAP Guidance

Regional Assistance                                                  Tools     UK Government Compact on relations between Government and the Voluntary and
                                                                               Community Sector
Plans (RAPs)
                                                                               Contribution from the EU: Advancing Coordination, Harmonisation and Alignment

                                                                               Corporate Strategy Homepage
Background
DFID Country Assistance Plans (CAPs) and
Regional Assistance Plans (RAPs) set out the                     Associated    None
details of how DFID will work as part of the               Learning & Skills
international development effort to support
countries/regions reduce poverty.     CAPs/RAPs
                                                           Other Sources of    PARC Website
are rolling business plans that are set within a 3
to 5 year timeframe. They are used to                          Information
recommend resource commitments based on an
appraisal of the country’s/region’s poverty
reduction strategy and to agree with the partner
Government(s) the focus and approach for
DFID’s assistance in support of the strategy.

Where possible DFID country and regional
teams should be aiming to align DFID’s
CAP/RAP planning processes with partner
Government-led       poverty    planning        and
budgeting processes, and to harmonise their
assistance plans with those of other donors.




                                                                    Contact    PGGBlueBookFeedback@dfid.gov.uk



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   Compliance Tasks                                                                                                       Risks of Non-Compliance

   1.   CAPs/RAPs must be prepared in accordance with DFID        7.   New CAPs and major reviews of CAPs must be         • DFID open to challenge on its support to a
        guidance for all country/regional programmes                   quality assured by Corporate Strategy Group           particular country
        incurring expenditure of over £20M a year                      (CSG) before they are submitted for approval to
                                                                       the Secretary of State through the Director        • No direction for country programmes
   2.   Where a partner Government and/or other donors
                                                                       General Programmes and, where s/he is the          • No clear performance framework
        propose preparing a joint donor assistance plan to
                                                                       lead Minister, the Parliamentary Under
        support a national poverty reduction strategy the
                                                                       Secretary of State (PUSS)                          • Protracted time spent seeking clarification on
        Regional Director must decide how to harmonise
                                                                                                                             who is doing what and why.
        DFID’s CAP/RAP planning requirements with the joint       8.   Submissions must highlight any differences of
        planning process                                               opinion arising from the consultation around
                                                                       Whitehall and the Post [BHC/Embassy]
   3.   If appropriate, Regional Directors may commission
        CAPs/RAPs for countries/regions with smaller              9.   Regional Directors must decide whether to
        programmes                                                     seek a discussion with the Secretary of State on
                                                                       annual updates of CAPs
   4.   Regional Directors must agree the timing of the
        production of CAPs/RAPs                                   10. Annual updates must be discussed with the
                                                                      Post [BHC/Embassy] at an early stage. Wider
   5.   Country teams must publish a consultation strategy and
                                                                      consultation around Whitehall is at the
        timetable on DFID’s website, and ensure that
                                                                      discretion of Regional Directors
        government, civil society, the private sector, other
        donors, international agencies, relevant HQ               11. Where they have been produced, Parts I and II
        departments, the Post (British High Commission,               of CAPs/RAPs must be published. Joint donor
        BHC/Embassy) and other interested UK Government               assistance plans must, as a minimum, be
        departments have the opportunity to comment on the            published electronically. Part III must be
        CAP/RAP before it is finalised. Preparation must not          prepared for all countries/regions, irrespective
        duplicate country led poverty strategy consultation           of the planning process followed, and because
        processes and where possible consultation and                 it is updated annually, should be published in
        analysis should build on the processes of others              electronic format only.
   6.   CAPs/RAPs comprise three parts, all of which must be
        completed and made available either as DFID
        documents, or as part of a joint donor assistance plan.
        Part III of the CAP consists of a mandatory performance
        framework that must be reviewed annually. This
        framework will include progress towards corporate
        targets, as well as impact and performance


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                                                                             PRE-EXPENDITURE REQUIREMENTS: PROJECT HEADER SHEETS, MANAGEMENT INFORMATION SYSTEM
Pre-Expenditure                                                                                            (MIS) CODES & CONCEPT NOTES


Requirements: Project                                      Processes and     Project Header Sheet

Header Sheets,                                                     Tools     Management Information System
                                                                             Input Sector Codes and Policy Information Markers
Management                                                                   Standard Submission Format
Information System                                                           Delegated Authority
(MIS) Codes &                                                                Terms of Reference
Concept Notes                                                                Design Phase
                                                                             Ineligible for DFID Financing
                                                                             Essential Guidance to Rules & Tools: Format for Concept Note

Background
                                                               Associated    TAPED Course
Project Design must be consistent with the
2002 International Development Act, DFID’s               Learning & Skills
Public Service Agreement, Director’s Delivery
Plans, Country Assistance Plans/Regional                 Other Sources of    International Development Act
Assistance Plans and Institutional Strategies
                                                             Information     Public Service Agreement
(where applicable). DFID must maintain a
                                                                             Director’s Delivery Plans
statistical   record   for    Parliament      and
                                                                             Country Assistance Plans
Development Assistance Committee (DAC)
                                                                             Institutional Strategies
reporting.
                                                                             Tools for Development (TAPED) handbook
                                                                             Fiduciary Risk Assessment
                                                                             PRISM
                                                                             EnquiriesPGG@dfid.gov.uk
                                                                             Aid Instruments



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                             2005 Version 1         B2                       Essential Guide to Rules & Tools 2005 Version 1




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   Compliance Tasks                                                                                                       Risks of Non-Compliance

   Project Header Sheet, Policy Information Markers                5.   For all politically sensitive, novel or           • Spending not consistent with the IDA 2002,
   (PIMs)                                                               contentious proposals, regardless of value, the      the PSA the DDP and/or the CAP or ISP
                                                                        CN must be submitted, in the standard format,
   1.   A PHS, including a meaningful, easily understood                                                                  • DFID open to legal challenge
                                                                        to the Secretary of State (SofS) through the
        (plain English) Project Title, must be prepared for all
                                                                        relevant Director General, and where he is the    • Poorly designed projects/programmes
        programme-spending activities regardless of value. For
                                                                        lead Minister, the Parliamentary Under
        all spending over £100K, Policy Information Markers                                                               • Unrealistic expectations of partners
                                                                        Secretary of State (PUSS)
        (PIMs) must be completed. A Project Officer must be
        identified on the PHS.                                     6.   The CN budget estimate must include details of    • Detrimental impact on resources
                                                                        the anticipated design and appraisal costs.
                                                                                                                          • Detrimental impact on the Environment
   Management Information System Codes (MIS),                           These costs must be charged to the Project
   Input Sector Codes:                                                  using a separate lower level MIS code             • Inaccurate official statistics.
   2.   Management Information System Codes (MIS), Input           7.   Copies of all CNs must be sent in electronic
        Sector Codes (and PIMS if applicable) must be set up            form to Statistical Reporting and Support Group
        before expenditure can be incurred. It is essential that        (SRSG) for inclusion in the Electronic
        correct codes are used to ensure accurate performance           Document Repository (accessible through
        data and statistical reporting.                                 PRISM). They will then automatically appear on
                                                                        the DFID website.
   Concept Notes:
   3.   A Concept Note (CN) (limited to 2 pages/500 words)         Design & Appraisal:
        must be prepared in the standard CN format for all         8.   Clear Terms of Reference must be prepared for
        investments of £1M and over and must be                         design and appraisal work
        accompanied by a PHS. (A CN is not required when
                                                                   9.   If consultancy inputs are necessary it must be
        the Secretary of State has already agreed a formal aid
                                                                        made clear that consultants appointed to assist
        pledge.)
                                                                        in the design phase are excluded from bidding
   4.   The Project Officer is responsible for coordinating the         for implementation unless a contract for design
        preparation and submission of the CN, using the                 and implementation is issued at the outset
        standard submission format, and for ensuring that
                                                                   10. Programme Guidance Group (PGG) must be
        approval to proceed is obtained in writing at the
                                                                       consulted when considering the use of Trusts,
        appropriate level of delegated authority. CNs for
                                                                       Liabilities, Guarantees, Indemnities and/or
        proposed investments £20M and above should be
                                                                       similar arrangements.
        submitted to the Director for approval




Essential Guide to Rules & Tools                                                                                                                                         B2




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                                                                                                                                                 FORMAT FOR CONCEPT NOTE
                                                                   FORMAT FOR
   The main text of the CN should comprise:
                                                                   CONCEPT NOTE                                                Processes and     Project Header Sheet
                                                                                                                                       Tools     Essential Guidance to Rules and Tools: Pre-Expenditure Requirements
   1. A meaningful, easily understood (plain English) Project
       Title
                                                                                                                                   Associated    None
   2. An MIS Code
                                                                   Background                                                Learning & Skills
   3. Basic Information including the Purpose and objectives
                                                                   The Concept Note (CN) must be written in
       and how they relate to the National Poverty Strategy (or                                                                                  None
                                                                   jargon free language making clear what is being           Other Sources of
       equivalent) and delivery of the Millennium Development
                                                                   recommended and why, what will be achieved,                   Information
       Goals (MDGs), the Directors’ Delivery Plan (DDP) and the
                                                                   the beneficiaries and the cost.
       Country Assistance Plan (CAP)/Institutional Strategy (IS)
                                                                   The CN must be limited to 2 pages/500 words
   4. Estimated cost (the indicative budget should identify, the
                                                                   (excluding    any    tables)      and    must   be
       type of funding mechanism, and include estimated costs
                                                                   accompanied by a Project Header Sheet (PHS),
       associated with Design and Appraisal
                                                                   including proposed Input Sector Codes and
   5. Details of principal project partners (Government, civil     PIMS markers. The person approving the CN
       society, donors, others)                                    must sign the PHS.

   6. Proposed approach to design and appraisal, key risks,
       and how they will be managed/mitigated

   7. Checklist of who will be consulted during the design and
       appraisal process

   8. Projected timetable and steps to prepare submission of
       full proposal for approval.




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Essential Guide to Rules & Tools                                                                  2005 Version 1        B3                       Essential Guide to Rules & Tools 2005 Version 1




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                                                                                                                                                                                                                         NEXT
                                                                           PROJECT/PROGRAMME DOCUMENTS
Project/Programme
Documents                                                Processes and     Logical Framework
                                                                 Tools     Project Header Sheet
                                                                           Environmental Screening Note
                                                                           Environmental Guide
                                                                           Assessment of Risks
Background
                                                                           Fiduciary Risk Assessment
Documents for all expenditure commitments
                                                                           Delegated Authority
must be submitted for approval, at the
appropriate level of delegated authority.                                  Standard Submission Format
                                                                           Essential Guidance to Rules & Tools: Format Project/Programmes Document over £1M
Wherever possible a harmonised approach,
involving partner governments and other                                    Essential Guidance to Rules & Tools: Consultation Record
donors, should be adopted when preparing
Project/Programme documents; ideally building
                                                                           TAPED Course
on existing analysis and diagnostic studies and              Associated
supporting performance Indicators. However, if         Learning & Skills
there is a need for additional analysis to meet
DFID requirements, DFID should provide it.
                                                       Other Sources of    Tools for Development (TAPED) handbook

                                                           Information     EnquiriesPGG@dfid.gov.uk




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                            2005 Version 1        B4                       Essential Guide to Rules & Tools 2005 Version 1




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   Compliance Tasks                                                                                                         Risks of Non-Compliance

   Projects/Programmes Below £1M                                       with the Environment Adviser and to ensure that      • Projects not consistent with the IDA 2002,
                                                                       any actions identified during screening are taken       the PSA the DDP and/or the CAP or ISP
   1. For projects valued at less than £1M, the officer with
                                                                       forward. Specific actions must be reflected in the
      delegated authority to approve the project must decide
      the most appropriate way to present it. All projects must        project document and the logical framework.          • DFID open to legal challenge
      clearly identify the development outcomes and must               Both the Project Officer and the Environment
                                                                       Adviser must sign off the ESN.                       • Poorly     designed/ineffective   projects   or
      have clear objectives with inputs specified. This
      information must be recorded in the document used to          7. The officer presenting the project for approval is      programmes
      authorise the expenditure.                                       responsible for ensuring that adequate               • Unrealistic expectations of funding (by
   Projects/Programmes Above £1M                                       consultation has been carried out and the
                                                                       approver must be satisfied that appropriate             potential partners)
   2. The Project/Programme Document must be a
      freestanding document in standard format, of no more             consultation has taken place.                        • Detrimental impact on resources
      than 5,000 words (excluding tables). It must explain          8. The officer presenting the project for approval is
      clearly in jargon free language what is being approved.          responsible for coordinating the preparation of      • Detrimental impact on the Environment
      The presenter must quality assure the draft before               the draft using the standard submission format
      submitting for approval.                                                                                              • Incorrect official statistics
                                                                       and for ensuring approval at the appropriate
   3. All project/programme documents must follow the                  level of delegated authority.
      prescribed format. They must include an outline of no
                                                                    9. All documents for investments over £20M, and
      more than 2 pages (500 words) summarising relevant
      information and must be accompanied by:                          those that are politically sensitive, novel or
                                                                       contentious regardless of value, must be
        a) a Logical Framework with a limited number of                submitted through the relevant Director General,
           meaningful targets (or an equivalent Performance            and where he is the lead Minister the
           Measurement Framework agreed with other donors)
                                                                       Parliamentary Under Secretary of State (PUSS),
        b) a Project Header Sheet (PHS)                                for approval by the Secretary of State (SofS). The
        c) a Consultation Record and                                   submission, following the standard submission
                                                                       format, should include the recommendation,
        d) an Environmental Screening Note (ESN).                      confirmation that funding is available from the
   4. Annexes must not form part of the document for                   Aid Framework and highlight:
      approval but should be retained by the Spending                   a) Novel, contentious, reputational/
      Department to be consulted if/when required.
                                                                           presentational issues the SofS/PUSS should
   5. An assessment of risks must be carried out for all                   be aware of
      projects/programmes over £1M. A full Fiduciary Risk
      Assessment (FRA) must be carried out for all General or           b) Parliamentary interest.
      Sector Poverty Reduction Budget Support (PRBS).                   c) The human resource capacity (DFID and
      Finance & Corporate Performance Division (FCPD) must                 partners) to deliver
      be consulted prior to submission for approval.
                                                                        d) Details of any conditionality
   6. It is the responsibility of the Project Officer to complete
      the Environmental Screening Note (ESN), in consultation           e) Plans for publicity (if none explain why)

Essential Guide to Rules & Tools                                                                                                                                                B4




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                                                                                                                                           FORMAT FOR PROJECT/PROGRAMME DOCUMENTS OVER £1M
                                                               FORMAT FOR
                                                               PROJECT/PROGRAMME                                         Processes and     Project Header Sheet

                                                               DOCUMENTS OVER                                                    Tools     Logical Framework

                                                               £1M                                                                         Consultation Record
                                                                                                                                           Environmental Screening Note (ESN)

Format                                                         Background
                                                                                                                             Associated    None
The document should be accompanied by:                         Project / Programme Documents should be no
Project Header Sheet (PHS):                                    more than 5,000 words (excluding tables).               Learning & Skills
The person approving the expenditure must sign the PHS.        Section 2 should only be completed when
Logical Framework: (or equivalent performance                                                                                              None
                                                               DFID is leading the design and appraisal                Other Sources of
measurement framework e.g. taken from other
donor/partner documentation)
                                                               process. Where this commitment supports a                   Information
                                                               programme designed and appraised by others,
Consultation Record: refer to template at B6
                                                               section 2 can be omitted. However, if there is a
Environmental Screening Note (ESN)
You should also consider whether a Contents page and a         need for additional analysis to meet DFID
List of Abbreviations would be helpful.                        requirements then DFID should provide it.
The main text of the Document should comprise:                 The format below should be followed in all
1. Summary
                                                               cases. But the proportionality principle should
This should be a short section (of no more than 2 pages/500
words) that summarizes all relevant information and briefly    be applied in using it. A Project Programme
describes:                                                     Document for a straightforward £1M proposal
a) the   purpose showing how it fits with the                  might require 500 -1000 words, while one for a
     •    National Poverty Strategy (or equivalent),
                                                               complex £50M proposal might need 5,000
     •    Country Assistance Plan
     •    Other donor programmes and harmonisation efforts     words plus a small number of annexes.
b) expected outputs/outcomes - outlining what will change
   as a result and how it will contribute to the Millennium
   Development Goals (MDGs)
c) period of funding, amount, funding mechanism and type
   of financial contribution, including details of
   contributions from others if DFID funding is contributing
   to a larger initiative.
                                                                                                                                Contact    PGGBlueBookFeedback@dfid.gov.uk
It should also include any key points from the appraisal,
implementation and risk sections of the document, which
are central to the understanding of the project.
                                                                                          2005 Version 1          B5                       Essential Guide to Rules & Tools 2005 Version 1




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   2. Project Details:                                            Environmental Appraisal                                        3.3 Funding                                                    If main responsibility for monitoring is taken by
                                                                       • What is the environmental impact?                            • What is DFID’s contribution? Can it be accommodated     another donor, set out the monitoring proposals
   2.1 Project Description (What are we doing?)                                                                                         within the Aid Framework?
                                                                       • If there are environmental risks, how will they be                                                                     and extent of DFID involvement.
        • What problems does the project programme address?                                                                           • Include an outline of the budget
                                                                         managed?
        • What will the money be spent on?                                                                                                                                                      In order to promote a harmonised approach aim
                                                                                                                                      • Will the project be funded through Financial Aid,
        • Who will benefit?                                       If the commitment involves provision of budget support,                                                                       to carry out monitoring and reporting jointly with
                                                                                                                                        Technical Support [knowledge & skills] or both?
                                                                  summarise the Fiduciary Risk Assessment (FRA).                      • What are other Donors /Partners’ financial and/or       partner governments and other donors ideally
   [This section should be suitable for using as a freestanding
                                                                                                                                        non-financial contributions?                            building on partner governments’ own
   description of the project programme. It should explain in     If the project supports contentious policy issues, has a
                                                                                                                                      • How will any future operating and maintenance           assessments. Where possible, targets and
   simple English the goal, purpose and outputs from the          Poverty and Social Impact Assessment been conducted?
                                                                                                                                        costs be funded/managed?                                milestones should be defined and agreed with
   logframe/Performance Measurement Framework]                    Annexes are at the discretion of the Spending Department            • What plans are in place regarding ownership of          reference to the key aspects of the partner
   2.2 Project Programme Appraisal (Why are we doing it?)         but will often be useful either to back up, where necessary,          DFID funded assets on completion?                       government’s own reform programme.
   Background:                                                    analysis in the main document or to record understandings
                                                                                                                                 3.4 Contracting and Procurement                                4. Risks
        • How did we come to be involved?                         with partners that will facilitate implementation. However,
                                                                                                                                      • Is there a need for a procurement strategy/timetable?   Summarise key risks identified in the Risk
        • How does it fit with the partner Government’s           annexes should not form part of the submission document
                                                                                                                                      • Who will be responsible for procurement - DFID          Assessment including:
           strategy, DFID policies, legal framework and work      but should be retained by the Spending Department to be
                                                                                                                                        and/or partners?                                           • judgement on overall risk
           of other donors?                                       consulted if required.
                                                                                                                                      • What are the tendering arrangements for any goods          • an evaluation of the risk of corruption
   Approach                                                       2.3 Lessons & Evaluation                                              and services?                                              • statement on key risks based on current
       • Why we are doing it this way?                                 • What lessons of best practice have been applied              • Are there sufficient safeguards in place for any non-         good practice principles and benchmarks
       • Who are the key stakeholders, and how have they                  from past experience/ work? (if this is a new phase           DFID procurement?                                          • statement of how risks will be monitored
          been involved in the design?                                    of a project programme, a Project Completion Report                                                                      • statement on whether there is a credible
                                                                                                                                 3.5 Accounting/Audit
                                                                          (PCR) for the previous phase must be attached.)                                                                             programme to improve public sector
   Economic Appraisal                                                                                                                 • What type of funding arrangement is it? (e.g. Poverty
                                                                       • How will indicators in logical/performance                                                                                   standards and systems
       • Is this a good use of our partner’s money?                                                                                     Reduction Budget Support (PRBS), financial aid to
                                                                          measurement framework provide the basis to judge                                                                         • what steps are proposed to address these
       • Will it contribute to growth? How?                                                                                             government, grant to an international organization,
                                                                          success?                                                                                                                    risks? Have they been agreed with project
                                                                                                                                        accountable grant to a non-government agency,
   Social Appraisal                                                                                                                                                                                   partners?
                                                                                                                                        technical co-operation managed by DFID etc)
        • Does the project programme reflect a serious                                                                                • If Technical co-operation, will all money be spent
           understanding of poverty and the social context?       3. IMPLEMENTATION (How are we doing it?)                              through contracts, or is an imprest account
        • Which groups of poor people will benefit? How?          3.1 Management Arrangements                                           required?
   Institutional Appraisal                                            • Is this a joint funding arrangement?                          • What are the accounting and audit arrangements?
         • Is the project programme feasible           in   the       • Who in DFID is responsible for managing                  3.6 Monitoring and reporting
            institutional context?                                       implementation?                                         The monitoring plan should describe the method for
         • Does it help build capacity? How?                          • How are roles and responsibilities divided between       measuring progress against poverty reduction targets and
                                                                         DFID, partner Governments, other donors,                risk factors. Key elements of the plan will include:
   Political Appraisal
                                                                         programme partners and implementing agents?                   • mechanisms for monitoring risk and measuring
        • Does the project programme reflect a serious
            understanding of the political dynamics of the        3.2 Timing (Details of start and end date, phasing and key              progress against agreed reform and poverty targets
            country and the forces for and against change?        milestones perhaps with barchart)                                    • a plan for monitoring reviews – including how often
        • Does it strengthen the voice of the poor in policy                                                                              they will take place, who will be involved, what
                                                                                                                                          information is required when and from whom?
            decisions? How?


Essential Guide to Rules & Tools                                                                                                                                                                                                                     B5




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                                                                                                                                                                              CONSULTATION RECORD
                                                                                                   CONSULTATION
    1. Inputs throughout design stage                     Members of Design Team
                                                                                                   RECORD                                                   Processes and     Consultation Record

    Programme Manager/Project Officer            Agree team members prior to development of                                                                         Tools     Essential Guidance to Rules & Tools: Format Project/Programmes Document over £1M
                                                 the CN; define clear roles and responsibilities
    Main Sector Adviser                          for each member including managing the
    Cross Cutting Advisers                       preparation, and submission of project concept
                                                 notes and project documents.
    Key Partners
    2. For proposals above £7.5M            Names of those           Date              Date                                                                     Associated    None
    (use the checklist proportionally for     consulted            consulted        responded
    proposals in the range of £1M-£7.5M)
                                                                                                   Background                                             Learning & Skills
    Relevant Advisers – [identify
    those consulted by discipline]
                                                                                                                                                          Other Sources of    None
    Relevant Policy Division Team(s)                                                               Project/Programme     Documents      must   be
    [identify Team(s)]
    Deputy Director Programme                                                                      circulated to those listed for comment prior to            Information
    Support who will consult as
    appropriate FCPD: RMG,                                                                         submitting proposal for formal approval.
    PGG, AG, PrG
    Evaluation Dept
    Senior Humanitarian Adviser
    (for emergency & conflict
    handling projects)
    Stakeholders: including
    Government, Civil Society,
    Other Donors, BE/ BHC
    Head of Spending
    Department/Divisional Director
    3. For all proposals that are           Names of those           Date              Date
    politically sensitive, novel              consulted            consulted        responded
    and/or contentious (regardless
    of value)
    Chief Economist
    Responsible Heads of Profession
    (identify by discipline)
    Head of Information
    Head of Department/Office
    Foreign & Commonwealth Office
    H.M. Treasury
    Other relevant Whitehall
    Departments (identify
    those consulted)

   I confirm that the necessary consultation process has been undertaken, that papers
   have been circulated and all comments have, unless otherwise stated, been taken into
   account in the final documents.

   Signed (Project Officer):

   Grade:
                                                                                                                                                                   Contact    PGGBlueBookFeedback@dfid.gov.uk
   Date:




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                                                                            AUTHORITY TO APPROVE NEW COMMITMENTS
Authority to Approve
New Commitments                                           Processes and     Financial Principles
                                                                  Tools     Delegated Authority Levels
                                                                            Aid Framework Allocation



Background                                                    Associated    None

All new spending commitments must be                    Learning & Skills
formally approved in writing at the correct level
of delegated authority.                                 Other Sources of    Fiduciary Risk Assessment

The Secretary of State and the Permanent                    Information     EnquiriesPGG@dfid.gov.uk
Secretary are responsible for approving the                                 CAFSL Website
levels of delegation of financial authority
within DFID.

Delegations below Director level are maximum
figures, not automatic levels. Those delegating
authority must relate the level of delegation to
the experience of the member of staff concerned
and the nature of the programme.

Current levels of delegated authority for
Programme Spend are:

   GRADE                   Amount
                           (Up to and including)

   Directors               £20M
   Deputy Directors        £12.5M
   SCS                     £7.5M
   A1                      £5M
   A2/A3                   £1.5M
   B1                      £0.1M                                 Contact    PGGBlueBookFeedback@dfid.gov.uk



                            2005 Version 1         B7                       Essential Guide to Rules & Tools 2005 Version 1




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   Compliance Tasks                                                                                                       Risks of Non-Compliance

   1. The fundamental financial principles that govern the use       relevant Director General, and where he is the       • Potential abuse of funds
      of DFID funds must be adhered to. All employees have           lead Minister, the Parliamentary Under Secretary
                                                                                                                          • Expenditure being approved by officers
      responsibilities under DFID's decentralised financial          of State (PUSS)
      management system and must:                                                                                            inexperienced to do so
                                                                  4. Significant subsequent changes to design or cost
        a) be fully familiar with, and follow, the procedures        must be approved at the same or higher level as      • Inappropriate risks may be approved
           relevant to their post and type of work                   that at which the original was approved.
                                                                                                                          • Potential Risk to DFID’s reputation.
                                                                     Officials approving relatively modest increases,
        b) not exceed delegated authority
                                                                     which carry an original approved budget beyond
        c) ensure that all commitments for spending funds are        their own authority should exercise judgment
           within the scope of the relevant statute (e.g. the        whether the changes are such as to require
           International Development Act, 2002), that                scrutiny and formal approval at a higher level
           expenditure is lawful
                                                                  5. Staff delegating authority must ensure
   2. While long term commitments are encouraged within an           appropriate separation of responsibilities by not
      appropriate policy environment, those approving                giving delegated authority to staff to approve
      commitments beyond the framework period must:                  projects for which they have been or are the
        a) inform Resource Management Group (RMG) in                 Project Officer
           order to ensure that we track potential future         6. Delegated authority must be given in writing.
           commitment levels                                         Directors must ensure that staff are given written
        b) ensure that such commitments remain in a form             notification of their individual approval of
           which is not legally binding (normally through use        financial authority delegated to them. This
           of a standard Memorandum of Understanding                 written notification must be held on a delegated
           (MOU) and which clearly reflect the need for              authority file and copied to Statistical Reporting
           effective aid partnerships                                and Support Group (SRSG)

        c) in addition, Directors must ensure that the total of   7. Staff delegating approval authority must review
           Divisional commitments beyond the framework               annually at least one decision by each officer
           period do not exceed, in any one year, 75% of the         that holds delegated authority to ensure quality
           agreed final year Aid Framework provision                 and compliance.

   3. Programme expenditure proposals above £20M, and all
      politically sensitive, novel or contentious spending
      proposals regardless of value must be submitted for
      approval to the Secretary of State (SofS), through the



Essential Guide to Rules & Tools                                                                                                                                     B7




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                                                                               FORMALISING COMMITMENTS
Formalising
Commitments                                                  Processes and     Memoranda of Understanding
                                                                               Framework Arrangements
                                                                     Tools
                                                                               MOU Guidance and Templates
Background                                                                     Accountable Grant Guidance Note
When approval has been confirmed at the appropriate
level of delegated authority DFID formalises its
                                                                               Administration Arrangement Standard Template
commitment to development partners (Governments,                               Delegated Authority Levels
international organisations, bilateral donors or Civil                         “How do I” Note on Joint Working with Other Donors
Society Organisations (CSOs)) by setting out in writing
the understanding reached on development objectives,                           Essential Guide to Rules & Tools: Formal Exchange Flowchart & Text
respective obligations and how we will work together.                          Essential Guide to Rules & Tools: Procedures and Practices Applicable to the Expenditure
DFID provides development partners either with                                 of UK Financial Aid Resources
finance or with technical cooperation (mainly as
personnel, research, training or goods and equipment)
which DFID purchases itself. Each option gives rise to
different arrangements for accounting and audit. For                           None
more information see the Formal Exchanges Flowchart.             Associated
The formal commitment must be made using the               Learning & Skills
appropriate non-legally binding correspondence as
follows:                                                   Other Sources of    CAFSL’s Website
• Memorandum of Understanding (MOU) – for all
  aid worth £1M and over provided to partner                   Information
  Governments or international organisations. There
  are standard MOUs to be used for each type of
  partner. The MOU must contain details of the
  financial contribution, tranching, reporting,
  management and audit arrangements using a
  standard model text. There is one standard model
  (formerly known as Exchanges of Letters) for all aid
  to partner Governments and for subsequent
  amendments at any stage of DFID’s commitment.
  DFID has concluded Framework Arrangements
  with IADB, UNDP, UNIDO and UNICEF and plans
  others. Where a Framework Arrangement is in
  place there is no need for individual MOUs at
  country level, but an “Administration or
  Contribution Arrangement” should be prepared for
  specific activities
• Accountable Grant - for all grants to Civil Society
  Organisations (CSOs)/Non Government Organisations
  (NGOs)
• Official letter - for commitments of less than £1M
  to partner Governments and international
  organisations. There is no set format but essential               Contact    PGGBlueBookFeedback@dfid.gov.uk
  information must be included. (See compliance
  task 7).

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   Compliance Tasks                                                                                                     Risks of Non-Compliance

   1. Staff must not commit DFID support until financing            (d) The responsibilities (obligations         or    • DFID funds could be used for purposes other
      authority has been obtained at the appropriate level of           contributions) of each participant                 than originally intended and lead to fraud or
      delegated authority                                                                                                  non-compliance with the 2002 IDA
                                                                    (e) Monitoring, reporting, accounting and audit
   2. Commitments must be formally agreed with partners in              arrangements                                    • Confusion as to the responsibilities of DFID
      writing using the appropriate standard format                                                                        and the recipient
                                                                    (f) Arrangements for resolving any problems
   3. All Financial Aid (including General & Sector Poverty             arising
                                                                                                                        • Waste of resources negotiating MOUs when
      Reduction Budget Support (PRBS)) must be channelled
                                                                    (g) If the commitment is for Financial Aid then        there are accepted templates available.
      through Crown Agents Financial Services Ltd (CAFSL).
                                                                        the letter must state the requirement for
      CAFSL must be provided with copies of agreed MOUs
                                                                        funding to go through CAFSL and the
   4. Any subsequent changes to the agreed MOU (for                     “Procedures and Practices” document must
      example, a change to the financial contribution or                be attached to the letter.
      funding period) must be recorded in an amendment letter
                                                                8. If any such commitment is subsequently
   5. The Spending Department/Overseas Office must retain          increased to more than £1M, an MOU is
      copies of all formal commitments and amendment               required and other programme management
      letters. The originals must be sent to Accounts Group        disciplines (including PRISM) for projects of that
      (AG) and copied to Statistical Reporting and Support         value must be applied.
      Group (SRSG). An electronic copy must be placed in the
      PRISM repository

   6. Any proposal to depart from the appropriate standard
      model must first be cleared in draft with Programme
      Guidance Group (PGG) (who may consult Legal Advisers)

   7. Commitments of less than £1M to partner Governments
      or international organisations should be confirmed by
      means of an official letter which must include the
      following:

        (a) The scope and extent of DFID funding

        (b) The purpose for which the funding will be used

        (c) Procurement arrangements



Essential Guide to Rules & Tools                                                                                                                                           B8




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                                                                                                                                                   AID SPENDING: WHICH FORMAL EXCHANGE TO USE WITH DEVELOPMENT PARTNERS? - FLOWCHART
                                                                                        Aid Spending: which
                                                                                        formal exchange to use
                                                                                        with Development
                                                                                        Partners? - Flowchart
                                                                                         Consultants     Partner
                    A. Is DFID giving money          B. Is DFID purchasing               Training
                                                OR                                                       Govt
                    direct to ……                     goods and services?                 Research
                                                                                         Goods           MOU




                    1   A partner                    (i) PRBS
                                                                                     Partner
                        Government?                  Or
                                                                                     Govt MOU
                                                     (ii) Non-budget financial aid




                                                     Trust Fund                      Multilateral MOU
                    2   An international             Voluntary Contribution          Statutory
                        organisation?                Core Contribution
                                                                                     Order through
                                                     Development Banks
                                                     Replenishment                   Parliament



                                                                                     Nordic+ Joint
                    3   Another bilateral            Pooled/Basket Funding           Financing
                        donor?                                                       Arrangement
                                                     Joint programmes
                                                                                     Lead/Silent MOU



                                                     Programme Funds
                    4   Civil Society/an NGO?                                        Accountable Grant
                                                     PPA
                                                                                     letter
                                                     Strategic Grant Agreement
                                                                                     (variations of)
                                                     Challenge Funds




                        Emergency/                   Disaster Relief                 Multilateral MOU
                    5
                        Humanitarian                 Refugee Relief                  or Accountable
                        Assistance?                  Food Aid                        Grant letter




                                                                                     Non-grant
                    6   Another partner,
                                                     E.g. Trusts
                        including the private
                                                     Guarantees
                                                                                     financial
                                                                                     instruments
                                                                                                                                         Contact   PGGBlueBookFeedback@dfid.gov.uk
                        sector?
                                                                                     (consult PGG)



Essential Guide to Rules & Tools                                                                                   2005 Version 1   B9             Essential Guide to Rules & Tools 2005 Version 1




                                                                                                                                                                                                                   <BACK    NEXT>
                                                                                                                                    AID SPENDING: WHICH FORMAL EXCHANGE TO USE?
                                                             Aid Spending: which
                                                             formal exchange to use                               Processes and     MOU Guidance

                                                             with Development                                             Tools     CAFSL

                                                             Partners?                                                              Accountable Grants
                                                                                                                                    Procurement Guidance
                                                                                                                                    Conflict and Humanitarian Department (CHAD)
A. Finance                                                   Background
1. Financial Aid (FA) to a partner government is a grant,
                                                                                                                                    ICSD Homepage
   which is the subject of a formal written arrangement      DFID provides development partners with
                                                                                                                                    Fiduciary Risk Assessment
   under which the partner government is responsible for     finance and/or technical co-operation.
   expenditure. All financial aid payments must be made                                                                             Working with other Donors
   through Crown Agents Financial Services (CAFSL).
   Financial aid may take various forms                                                                                             Essential Guide to Rules & Tools: Promissory Notes
    (i) Poverty Reduction Budget Support (PRBS)                                                                                     Europe, Trade and International Financial Institution Division Institutional Strategies (IS)
        (formerly known as Direct Budget Support) is a
        form of financial aid in which funds are provided:
    • in support of a government programme typically
                                                                                                                      Associated    None
      focussing on growth, poverty reduction, and
      strengthening institutions, especially budgetary                                                          Learning & Skills
      processes; and
    • directly to a partner government’s central
      exchequer, to spend using its own financial                                                                                   None
      management, procurement and accountability
                                                                                                                Other Sources of
      systems.                                                                                                      Information
   PRBS can take the form of:
    • a general contribution to the overall budget
      (General Budget Support) or
    • financial aid earmarked to a discrete sector (Sector
      Budget Support). All budget support proposals
      must include a Fiduciary Risk Assessment (FRA).
    (ii) Non-budget support financial aid can be provided
         to partner governments to meet the costs of
         specified projects or programmes of expenditure.



                                                                                                                         Contact    PGGBlueBookFeedback@dfid.gov.uk



                                                                                        2005 Version 1   B 10                       Essential Guide to Rules & Tools 2005 Version 1




                                                                                                                                                                                                                      <BACK           >
                                                                                                                                                                                                                                   NEXT
   Formalising Commitments                                            • Core Contributions (including General Capital         Means of Audit Discharge.                                           Means of Audit Discharge
   Financial aid commitments are formalised through a Partner           Increases for Multilateral Development Banks)         We need evidence about the use of funds from the organisation’s     We need evidence about the use of funds from
   Government Memorandum of Understanding (MOU), which                • Assessed Contributions                                own audited accounts, or by special audited statements. How we      the organisation’s own audited accounts, or by
   may also include Technical Co-operation –see B below.                                                                      get this varies depending on who is managing the funds (if a        special audited statements produced by the
                                                                      • Replenishment of concessional funds in respect of     managing agent or another bilateral donor then the partner          organisation or by External Auditors. Our
   Means of Audit Discharge                                             International Development Association (IDA) /         organisations own audited accounts). Sometimes external auditors    requirements are set out in standard MOU texts.
   For financial aid in the form of PRBS, the basic accounting          International Fund for Agricultural Development       are hired by a group of donors. It is the responsibility of DFID    DFID responsibility to check on receipt.
   discharge is provided by CAFSL, which confirms that funds            (IFAD) / Regional Development Banks (RDBs).           managers to check these on receipt.
   have reached, for example, the Consolidated Fund of the                                                                                                                                        6. Working with others, including the Private
                                                                  Formalising Commitments (various)                           4. Working with Civil Society
   partner country concerned. However it remains important                                                                                                                                           Sector
                                                                  Multilateral MOU.
   that we also undertake a Fiduciary Risk Assessment (FRA) as                                                                DFID supports CSO/NGO projects and programmes, which                The International Development Act 2002 (IDA)
   part of our PRBS appraisal, and that we put in place           Framework Arrangements have been established with the       promote development objectives through Accountable Grants.          gives power to use loans, equity investment,
   reasonable arrangements to monitor the partner                 following organisations: Inter-American Development Bank;   (However, if DFID wishes to purchase services from a                guarantees and hybrid debt-equity forms.
   Government’s financial management. These arrangements          UNDP; UNICEF and UNIDO.                                     CSOs/NGOs) the competition rules apply: see Procurement             Exceptionally, DFID may also support the
   would normally be based on the output of the partner                                                                       guidance.) The Accountable Grant is also used by Information &
                                                                  Core funding (including General Capital Increases for                                                                           establishment of a Trust. These forms of
   Government’s reporting and accounting systems, and the                                                                     Civil Society Department (ICSD) for Partnership Programme
                                                                  Multilateral Development Banks) and IDA and concessional                                                                        assistance are collectively referred to as non-
   reports of the partner Government Auditor General, backed                                                                  Arrangements (PPA), Strategic Grant Agreements (SGAs) and
                                                                  funds to IFIs (e.g. World Banks (WB) Inter American         Challenge Funds. Guidance can be found on ICSD’s homepage.          grant financial instruments (NGFIs). PGG must
   up by additional information or safeguards where necessary.
                                                                  Development Bank (IADB), African Development Bank                                                                               always be consulted early about any proposal to
   In most cases our assessment and monitoring should be part                                                                 Formalising Commitments
                                                                  (AfDB), Asian Development Bank (ASDB)) require a                                                                                use an NGFI.
   of a common reporting and audit framework for all funders,                                                                 Accountable Grant letter (variations of).
                                                                  Statutory Order (SO) through Parliament.
   and there will often be an agreed financial management                                                                                                                                         Formalising Commitments
   reform programme to support and strengthen these local         Replenishment of IDA/IFAD/RDBs’ concessional funds and      Means of Audit Discharge                                            Varies. See NGFI Guidance.
   systems.                                                       General Capital Increases for Multilateral Development      We need evidence about the use of funds from Annual Audited
                                                                                                                              Accounts, which show funds received from DFID, or from a            Means of Audit Discharge
                                                                  Banks are formalised through promissory notes. Promissory
   For non-budget support financial aid, where there is more                                                                  separate audited statement. Our requirements are set out in         Varies. See NGFI Guidance.
                                                                  Notes are also used for the Global Environment Facility
   detailed specification of what funds are to be used for, and                                                               standard MOU texts.
                                                                  and the Montreal Protocol Fund, and will be used for the
   where money is being reimbursed to the Government for
                                                                  Special Climate Change Fund and the Least Developed
                                                                                                                                                                                                  B. Technical Cooperation
   local expenditure, we need either:                                                                                         5. Emergency/Humanitarian Assistance
                                                                  Countries Fund.                                                                                                                 Technical Cooperation is a category of
        • Annual Audited Statements (AAS) from the partner                                                                    For general enquiries relating to: Humanitarian Assistance          development assistance in which funds are
                                                                  Means of Audit Discharge                                    including Disaster or Refugee Relief contact Conflict and
          Government Auditor General which confirm that                                                                                                                                           spent directly by DFID in support of
                                                                  We need evidence about the use of funds from the            Humanitarian Affairs Department (CHAD). No commitment to
          the partner Government has used DFID finances as                                                                                                                                        development objectives agreed with the partner
                                                                  organisation’s own audited accounts, or by special          provide sudden onset disaster relief should be made without the
          intended, or                                                                                                                                                                            Government. DFID itself purchases goods and
                                                                  audited statements produced by the organisation or by       specific authority of CHAD.
                                                                                                                                                                                                  services, which may include personnel (usually
        • An alternative audit discharge through independent      External Auditors. Our requirements are set out in
                                                                                                                              Funding for refugee support projects can come from CHAD or          consultants), training and research.
          continuous audit or other external audit (see           standard MOU texts.                                         relevant Regional Divisions.
          Processes and Tools).                                                                                                                                                                   Formalising Commitments
                                                                  3. Working with other donors. DFID can provide finance      Bilateral emergency/humanitarian assistance can take the form of:   Partner Government MOU.
   2. International/Multilateral Organisations                    to (or receive funding from) other donors for shared
                                                                  development purposes. Ways of working include joint              • Disaster Relief
                                                                                                                                                                                                  Means of Audit Discharge
   DFID can channel funds to international organisations from                                                                      • Refugee Relief
                                                                  programmes and basket funds.                                                                                                    Achieved through DFID’s accounting and
   multilateral funds and country programme budgets. The                                                                           • Food Aid                                                     reporting system (including         Directors’
   options include:                                               Formalising Commitments
                                                                                                                              Formalising Commitments                                             Statements of Assurance and presentation of the
        • Trust Funds                                             Nordic Plus Joint Financing Arrangement or Lead/Silent
                                                                                                                              Multilateral MOU or Accountable Grant Letter.                       DFID Accounts).
                                                                  MOU.
        • Voluntary Contributions



Essential Guide to Rules & Tools                                                                                                                                                                                                                    B 10




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                                                                                                                                                            MANAGING PORTFOLIO PERFORMANCE: MONITORING, REPORTING AND REVIEW
                                                                         Managing Portfolio
                                                                         Performance:                                                     Processes and     PRISM Guidance

                                                                         Monitoring, Reporting                                                    Tools     ADAMANT Principles

                                                                         and Review                                                                         Project Scoring
                                                                                                                                                            Output to Purpose/Annual Monitoring Review PRISM Forms
                                                                                                                                                            General Sector and Poverty Reduction Budget Support PRISM Forms
                                                                         Background
                                                                         Effective performance measurement and lesson                                       Summary Review Forms
                                                                         learning are key to how DFID monitors and measures                                 Risk Ratings Guidance
                                                                         its performance against its Value for Money (VfM) target.
                                                                         Monitoring reviews are key processes in managing                                   Project Completion Reports (PCRs) Forms
                                                                         the project/programme cycle, comparing actual
                                                                         progress, against targets including measuring
                                                                         the achievement of outputs/outcomes against
                                                                         performance indicators.                                                            PRISM training
                                                                                                                                              Associated
                                                                         Reporting and monitoring processes also provide a
                                                                         means of:                                                      Learning & Skills   TAPED course

                                                                         a) encouraging ownership and participation through
                                                                            working closely with partners and other donors;
                                                                         b) ensuring all funds both DFID and those of partners                              TAPED Handbook
                                                                            and other donors are used effectively and
                                                                                                                                        Other Sources of
                                                                            efficiently, to deliver outputs/outcomes within the             Information     Evaluation Department homepage
                                                                            agreed budget;
Definitions:                                                             c) ensuring continuous learning and quality control
                                                                                                                                                            Quarterly Management Report(QMR)
Quarterly Management Report (QMR) The Quarterly Management                  for DFID, partners and other donors both during                                 Autumn Performance Report (APR)
Report provides key information to the Management Board on DFID's           the implementation of specific projects and in the
performance against a number of indicators including compliance             design and development of new initiatives.                                      Departmental Report(DR)
with PRISM requirements and performance against the Value for
money PSA target broken down by division. Management Board use           DFID records project/programmes monitoring data on                                 Public Service Agreement (PSA)
this information to make decisions about priorities and to provide       its corporate Performance Reporting Information
strategic direction to the work of the Department.                       System for Management (PRISM). The Head of
                                                                         Department/Overseas Office is responsible for
Autumn Performance Report (APR) Government departments must              ensuring that data entered in these reports is relevant,
report publicly to Parliament on progress against their PSA targets      accurate and up to date.
twice a year: in their Departmental Reports in April and in a
                                                                         The information captured through these processes is
supplementary Autumn Performance Report (APR) in November.
                                                                         also a crucial part of the data entered in the Quarterly
Departmental Report (DR) This published report is placed before          Management Report (QMR), the Autumn Performance
Parliament each year outlining our achievements over the last year and   Report (APR) and the Departmental Report (DR) and
accounting for the public money we have spent, as well as setting out    links with the Public Service Agreement (PSA)
                                                                                                                                                 Contact    PGGBlueBookFeedback@dfid.gov.uk
our future spending plans.                                               efficiency targets.


                                                                                                         2005 Version 1          B 11                       Essential Guide to Rules & Tools 2005 Version 1




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   Compliance Tasks                                                                                                   Risks of Non-Compliance

   1. All     projects/programmes    including,    Poverty    5. Heads of Department/Overseas Offices must            • UK taxpayer’s funds not spent as intended
       Reduction Budget Support (PRBS), 2 years or more         ensure the quality and accuracy of the data entered   • Parliament incorrectly informed of DFID’s
       old with an approved commitment of £1M and               on to PRISM                                              performance
       over must be reviewed and scored annually on
                                                              6. Approval to defer or exempt a PCR must be given      • Lesson learning severely curtailed
       PRISM. (A spending block is applied through
                                                                by the Head of Department/Overseas Offices and
       Statistical Report Support Group (SRSG) if this                                                                • Reputational damage to DFID and UK
                                                                must only be granted where there is no documentary
       requirement is not met)                                                                                           Government.
                                                                evidence on which to base an analysis
   2. Relevant DFID PRISM forms must be completed for
                                                              7. The reasons for deferral or exemption must be
       all reviews and launched onto the system to ensure
                                                                recorded on the performance review screen in
       the data is captured. An adapted version of PRISM
                                                                PRISM. The date of deferral must also be recorded
       review forms has been designed to record progress
       of General or Sector Poverty Reduction Budget          8. All approved Performance Review documents
       Support (PRBS)                                           must be emailed to the PRISM support team who
                                                                are responsible for linking them to the PRISM
   3. Risk ratings must be included when projects/
                                                                document repository.
       programmes are scored, as the Value for Money
       (VfM) target in the PSA requires DFID to assess
       the success of projects/ programmes in relation to
       risk levels

   4. Project Completion Reports (PCRs) must be
       completed for all eligible projects/programmes of
       £1M and over:

        a) when actual expenditure reaches the 95%
             threshold or

        b) during the last 3 months of the project or

        c) when the stage of the project first changes from
             operational to completed in PRISM.



Essential Guide to Rules & Tools                                                                                                                                    B 11




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                                   Accountability and Audit                             C


                                   Accounts Group
                                   Making Payments                                C1
                                   Advance Payments                               C2
                                   Imprest Accounts                               C3
                                   Meeting our Financial Audit Requirements for
                                   the Use of Aid Funds                           C4
                                   Receipts                                       C5
                                   Assets                                         C6
                                   Accounts Preparation                           C7
                                   Delegated Authority to Approve Write Offs
                                   and Special Payments                           C8
                                   Promissory Notes                               C9
                                   Contingent Liabilities                         C10
                                   Debtors                                        C11
                                   Value Added Tax                                C12




Essential Guide to Rules & Tools




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                                                                                                                                                 MAKING PAYMENTS
   Compliance Tasks                                                 Making Payments
   1. Heads of Department/Heads of Overseas Offices are
                                                                                                                               Processes and     Government Accounting
      responsible for deciding and recording who has authority to                                                                      Tools     Late Payment of Commercial Debts (Interest) Act 1998
      carry out the initial checks, input and review payments
                                                                    Background
   2. The Inputter and Reviewer must check all requests for                                                                                      The ADAMANT principles
      payment against the ADAMANT principles
                                                                    The payment process consists of:
                                                                    AUTHORISING THE PAYMENT - the process of                                     The Authorisation Process
   3. The input and review of payments must be performed by
      different people
                                                                    verifying that a payment is a valid charge to
                                                                    DFID's funds and that it should be made.                                     Foreign Currency Payments
   4. Original documents must be sent to Accounts Group for         Payments are processed using a computerised
      retention and audit inspection                                accounting system or a manual payment system.                                CODA Manual
   5. Invoices must be paid promptly, i.e. within 30 days of        The manual system uses a standard Payment
                                                                    Authorisation Form (PAF). Authorisation                                      E-learning – ADAMANT principles
      receipt in DFID unless they are to be disputed.
                                                                    comprises two stages:
                                                                    • Inputting - carrying out the required
   Risks of Non-Compliance                                            ADAMANT (Authorities, Documentation,                         Associated    Staff may not authorise payments on the accounting system unless they have attended
                                                                      Accuracy, Maturity, Acceptability, No previous                             the CODA training course.
   • Irregular payments, possible duplicate payments, and fraud
                                                                      payment, Timing) checks on the claim for
                                                                                                                             Learning & Skills
   • Interest charges by suppliers on late payments                   payment and, where appropriate, inputting
   • Failure to meet payment performance requirements                 payment details onto CODA or LOAS (DFID’s
                                                                      accounting systems), or completing the                 Other Sources of    None
   • Accounts Group has the right to refuse to make any payment       standard PAF for manual systems
     if it is not satisfied with any aspect of the payment                                                                       Information
     instruction it receives.                                       • Reviewing - confirming that the ADAMANT
                                                                      checks have been made satisfactorily
                                                                      confirming, where appropriate, the accuracy
                                                                      of the payment details entered onto
                                                                      CODA/LOAS or PAF, and formally
                                                                      authorising the payment by signing the PAF
                                                                      or hard copy of the authorisation screen.
                                                                      Authority to undertake the reviewing stage
                                                                      is confined to B2s and above
                                                                    EFFECTING THE PAYMENT - the process of
                                                                    actually releasing the funds from DFID. The
                                                                    responsibility for this rests with Accounts Group
                                                                    for UK payments and the Accounts Section or
                                                                    Post Accountant were the payment is being paid
                                                                    at post.
                                                                    For overseas offices who need to make
                                                                    payments in the UK, a PAF should be sent to                       Contact    AccountsHelpdesk@dfid.gov.uk
                                                                    Statistical Reporting and Support Group (SRSG).


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                                                                                                                                                  ADVANCE PAYMENTS
   Compliance Tasks                                                 Advance Payments
   1. Staff must not, under any circumstances, make the offer of
                                                                                                                                Processes and     Imprest Guide
      an advance                                                                                                                        Tools     Imprest Account Questionnaire
   2. The recipient when submitting a request must set out the      Background
      purpose(s) for which the advance will be used in writing                                                                                    Advances to the Private Sector
                                                                    Advance Payments, i.e. payment made before
   3. No advance payment is to include any element for fee                                                                                        Advances to Civil Society
                                                                    goods or services are supplied.
      expenses
   4. The advance payment must not to be paid until there is the    As a general rule DFID should not make                                        Advance through Imprest Accounts
      need to use the funds                                         advance payments. Advances increase the
                                                                    transaction costs, place a demand on the                                      Advance Payments
   5. An advance to contractors should be recovered over as short
      a period as is practicable                                    management of cash and may well complicate
                                                                    the accounting process. There is a risk the
   6. Advances must be paid from a Suspense (Debtor) Account
      and monitored regularly                                       advance will not be accounted for, or that the                  Associated    Training for Imprest holders.
                                                                    quality of accounting will not be as good as for
   7. Subsequent advances must not be paid until the previous                                                                 Learning & Skills
      but one advance payment has been accounted for (see civil     a payment in arrears.
      society advance guidance)                                     DFID is not in the business of advancing or
   8. Imprest accounts must not be opened in the name of            lending money, this is the job of the banking             Other Sources of    Government Accounting Chapter 16
      individual officers. The account must have a title linked
      clearly to the project and/or DFID.
                                                                    sector; but the cost of borrowing can be factored             Information
                                                                    into proposals and may be met by DFID.
                                                                    Government Accounting tells us not to pay in
                                                                    advance of need - the need for an advance
   Risks of Non-Compliance                                          should be proved and not presumed.
   • Payments in advance of need tie up DFID and Exchequer
     funds for which DFID pays a surcharge (current capital         Given the nature of our business DFID has
     charges are 3.5% on all suspense balances)                     accepted that, in a limited range of
   • Excessive amounts held in suspense accounts increase costs     circumstances, there may be a case for
     and possibly hide fraud                                        considering an advance payment. This includes
   • Accounts Group has the right to refuse to make any             advances to civil society, advances through
     payment if it is not satisfied that the procedures have been   imprest accounts, small advances through
     complied with                                                  contracts usually limited to mobilization costs
   • Advance may not be properly accounted for.                     and staff advances for travel and subsistence. An
                                                                    advance payment might also be considered
                                                                    where the purpose is developmental. Where we
                                                                    enter into arrangements with a private sector
                                                                    organization a bank guarantee may be required.
                                                                    Before agreeing to any advance full justification,                 Contact    AdvanceHelpdesk@dfid.gov.uk
                                                                    on a case-by-case basis, must be provided.


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                                                                                                                                                        IMPREST ACCOUNTS
   Compliance Tasks                                                       Imprest Accounts
   1. The justification for an imprest account must be clearly
                                                                                                                                      Processes and     Imprest Guide
      established at the outset (in preference to other means of                                                                              Tools     Imprest Account Questionnaire
      financing) by consulting Accounts Group via the Imprest
      Questionnaire                                                                                                                                     Overseas Accounting – Frequently Asked Questions

   2. An imprest account holder must be a DFID appointee                                                                                                Imprest or Post Account Training
      (either UK based or SAIC) approved by the relevant Head of
      Department/Head of Overseas Office. The experience in                                                                                             Imprest Account Spot Check Form
      financial management (including competencies) must be
                                                                          Background
                                                                                                                                                        Imprest Holder Summary Table
      carefully considered for each individual whose duties will          Imprest Accounts are a means of delegating
      include imprest management                                                                                                                        Imprest Bank Control Report
                                                                          expenditure to an account holder using a cash
   3. The bank account for the imprest funds must not be held in                                                                                        Imprest Cash Control Report
      the name of an individual. The account must either be               float provided by DFID. Imprest Accounts
      opened in the name of a DFID office or an individual                typically operate in DFID Overseas Offices or                                 Imprest Suspense Account Report
      project                                                             smaller Project Offices. In our main Overseas                                 Imprest Funding Request Form
   4. Unless agreed otherwise by Accounts Group, an Imprest               Offices the Head of Office accepts full
      holder must be trained by Accounts Group before operating                                                                                         Payment Authorisation Form
      the account. The training will take account of the Imprest          responsibility for the safeguarding of these funds
      Holder’s previous experience in financial management.                                                                                             Accounting Instructions Minute to Head of Office
                                                                          but delegates day to day responsibility for
      New Heads of Overseas Offices must also be briefed on
                                                                          running the imprest account to others. Most
      their financial management responsibilities before taking up
      post, including the accounting instructions that they will be       smaller offices will use the Foreign and
      expected to sign up to                                              Commonwealth Office (FCO) Post Account. For                     Associated    Training for all Imprest holders and briefing for new Heads of Overseas Offices is mandatory.
   5. Heads of Department/ Overseas Offices must ensure that              individual projects or programmes a named                 Learning & Skills
      unannounced spot-checks, using the standard checklist, are
                                                                          programme manager will be the imprest                                         None
      carried out at least 4 times a year for each imprest account.                                                                 Other Sources of
                                                                          account holder.
   Risks of Non-Compliance                                                                                                              Information
   • Payments in advance of need tie up DFID and Exchequer
     funds for which DFID pays a surcharge (current capital
     charges are 3.5% on all suspense balances)
   • Lack of appropriate training increases the risk of fraud
   • Excessive amounts held in suspense accounts increase costs
     and possibly hide fraud
   • Accounts Group has the right to refuse to make any payment
     if it is not satisfied that the procedures have been complied with
   • Advance may not be properly accounted for.                                                                                              Contact    ImprestHelpdesk@dfid.gov.uk



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                                                                                                                                                                    MEETING OUR FINANCIAL AUDIT REQUIREMENTS FOR THE USE OF AID FUNDS
                                                                            Meeting our Financial
                                                                            Audit Requirements for                                                Processes and     Guidance on audit discharge by Annual Audited Statements

                                                                            the Use of Aid Funds                                                          Tools     Guidance on audit discharge by Continuous Audit
                                                                                                                                                                    Guidance on audit discharge by External Audit
                                                                                                                                                                    How to Note – Managing Fiduciary Risk when providing PRBS (September 2004)
                                                                                                                                                                    Guidance on fraud
Background                                                                  •   For non-budget financial aid, where there is more
                                                                                detailed specification of what funds are to be used for,
DFID’s Accounting Officer (the Permanent Secretary) is accountable to           and where money is being reimbursed to the partner                                  Guidance on writes off
Parliament for DFID’s spending. The National Audit Office (NAO), on             Government for local expenditure, we need either:
behalf of Parliament, scrutinises DFID’s systems for ensuring effective
                                                                                                                                                                    Standard MOUs for financial aid grants and accountable grants (bilateral and
                                                                                • Annual Audited Statements (AAS) from the Auditor
management and proper use of the development budget for their audit               General which confirm that the partner                                            multilateral)
of our accounts. NAO has access to all DFID’s books and files.                    Government has used DFID finances as intended or
As a manager of taxpayers’ money, DFID has to be able to provide                • an alternative audit discharge through independent                                Essential Guide to Rules & Tools: Formalising commitments
assurance: (a) that we have paid money to the intended recipient and              continuous audit or other external audit (see
(b) that funds have been used for the purposes agreed. This is a key part         Processes and tools below)                                                        Essential Guide to Rules & Tools: Making payments
of our broader responsibility for ensuring that our spending represents     •   For financial aid expenditure where a Procurement
Value for Money (VfM) and contributes to delivery of the Millennium             Agent is the buyer on behalf of the partner Government,                             Essential Guide to Rules & Tools: Fraud
Development Goals (MDGs).                                                       no additional audit evidence is required. CAFSL use the
Evidence that we have paid money to the intended recipient is                   invoices and supporting vouchers and documentation                                  Essential Guide to Rules & Tools: Write-offs and special payments
normally generated through the standard payments system (e.g for all            associated with the payment to confirm what the money
financial aid, Crown Agents Financial Services Ltd (CAFSL) provides us          has been spent on                                                                   Essential Guide to Rules & Tools: Aid Spending: Which Formal Exchange to Use With
with a satisfactory degree of assurance that payments have been             •   Where DFID itself buys goods and services, no                                       Development Partners
transferred to the intended recipient; and for non-financial aid our own        additional audit evidence is required. We use the
accounting and banking systems provide this assurance).                         invoices and supporting vouchers and documentation
                                                                                associated with the payment to confirm what the money
Evidence that funds have been used for the purposes agreed can                  has been spent on
require further action, and programme managers will often be
                                                                                                                                                      Associated    TAPED course
involved in securing the additional evidence required.                      •   For programme and project grants to international
                                                                                organisations, we need evidence about the use of funds                              “Government Accounting”
The evidence we need to have about the use of funds varies depending            from the organisation’s own audited accounts, or by
                                                                                                                                                Learning & Skills
on the form of aid:                                                             special audited statements. Our requirements are set out
•   For financial aid in the form of Poverty Reduction Budget Support           in standard MOU texts
    (PRBS), the basic accounting discharge is provided by CAFSL,            •   For Accountable Grants to Civil Society Organisations           Other Sources of    None
    which confirms that funds have reached, for example, the                    (CSOs)/Non Government Organisations (NGOs) and
    Consolidated Fund of the partner country concerned. However it              others, we need evidence about the use of funds                     Information
    remains important that we also undertake a Fiduciary Risk                   through the receipt of Annual Audited Accounts, which
    Assessment (FRA) as part of our PRBS appraisal, and that we put in          show funds received from DFID, or through a separate
    place reasonable arrangements to monitor the partner                        audited statement. Our requirements are set out in the
    Government’s financial management. These arrangements would                 standard Accountable Grant letter
    normally be based on the output of the partner Government’s             The tasks described here are closely related to other
    reporting and accounting systems, and the reports of the partner        templates, which are designed to ensure that public money
    Government Auditor General, backed up by additional                     is properly used and accounted for. See especially:
    information or safeguards where necessary. In most cases our
                                                                                •   Formalising commitments
    assessment and monitoring should be part of a common reporting
    and audit framework for all funders, and there will often be an
                                                                                •
                                                                                •
                                                                                    Making Payments
                                                                                    Fraud
                                                                                                                                                         Contact    AccountsHelpdesk@dfid.gov.uk
    agreed financial management reform programme to support and                 •   Write-offs and special payments
    strengthen these local systems

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   Compliance Tasks                                                                                                     Risks of Non-Compliance

   1. For PRBS, spenders must ensure that we have              4. Spenders must also ensure that agreed monitoring      • Diversion of funds
      documentation (usually from CAFSL) demonstrating            and audit arrangements are carried out by them
                                                                                                                        • Qualification of DFID’s annual accounts or
      that funds have reached the partner Government’s            and complied with by partner Governments or
                                                                                                                           other criticism by NAO requiring the
      Central Exchequer (usually the Consolidated Fund).          other partners. They should ensure that audit
                                                                                                                           Permanent Secretary to appear before the
      The Spender must also both undertake a Fiduciary            reports are received and scrutinised, especially if
                                                                                                                           Public Accounts Committee
      Risk Assessment (FRA) as part of the PRBS                   there is a qualification or other relevant comment
      appraisal, and specify the systems, which DFID              made by the auditors and take and record              • Protracted time spent in trying to find out
      will use to monitor the partner Government’s                appropriate action                                       how money was spent
      financial management and spending
                                                                                                                        • Reputational risk
                                                               5. DFID funds (finance) going directly to partner        • Increased risk of fraud.
   2. For non-budget financial aid, spenders must                 Governments must be channelled through CAFSL.
      identify what evidence is needed to establish that          There are very few exceptions to this, which need
      funds have been spent on the locally procured               case-by-case agreement from Programme
      goods and services intended; and ensure that this           Guidance Group (PGG) and Accounts Group (AG).
      evidence is provided. Unless there is good
      evidence that a partner Government is able to
      provide Annual Audited Statements endorsed by
      the partner Government Auditor General, an
      alternative (continuous audit or external audit)
      must be used. Provisions for the method chosen
      should be written into the MOU


   3. For other grants (bilateral or multilateral), spenders
      must agree audit arrangements with recipients as in
      standard MOU texts. Any proposal for other ways
      of providing evidence about the use of funds must
      be agreed with Programme Guidance Group (PGG)




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                                                                                                                                                  RECEIPTS
   Compliance Tasks                                                  Receipts
   1. Spending Departments must inform Resources Management
                                                                                                                                Processes and     Receipts guidance
      Group, as part, of the Resource Allocation Round, of                                                                              Tools
      expected receipts for the following year so that adequate
      provision can be included in the Main Estimate                 Background
   2. Should Spending Departments receive a cheque they are          DFID receives money for a variety of reasons                   Associated    None
      responsible for completing a Bank Giro Credit slip and
      sending it with the cheque to the Bank of England. Cheques     including repayment of principal on loans,               Learning & Skills
      received by overseas offices that cannot be taken into a
      local bank account should be sent to Accounts Group,           sales of surplus stores and equipment, exchange
      Central Section, who will arrange for the cheque to be         rate gains, and agency fees. This money comes
      deposited in DFID’s account at the Bank of England                                                                      Other Sources of    None
                                                                     from a variety of sources and in a number of
   3. Spending Departments with access to CODA, Local CODA,                                                                       Information
      or LOAS must set up Tdebt transactions as soon as              forms, e.g. cash, cheques, credit notes, and
      anticipated income or receipts are identified in order to      receivable orders.
      monitor and ensure income is received and credited to the
      correct codes                                                  If a project or programme is to be able to use
   4. Spending Departments without access to CODA/LOAS must          money from receipts, then there needs to be
      enter known debts in the Claims Register
                                                                     appropriate provision in DFID’s Estimates for
   5. Transactions must be accounted for on a gross basis. Net
      accounting, i.e. offsetting receipts against expenditure and   Appropriations-in-Aid (A in A). These are
      vice versa is not allowed
                                                                     receipts,   which,   with   the   authority   of
   6. All receipts must be credited to one of six possible
      accounting destinations:                                       Parliament, can be used to finance some of the
          Resources A in A                                           gross expenditure voted by Parliament for
          Capital A in A
          Sub-head                                                   international development. As part of the
          Consolidated Fund Extra Receipts (CFER)                    FINSTATS exercises, Spending Departments are
          Suspense or
          Net Sub-Head                                               asked to check that they have appropriate
   7. Any foreign currency receipts, or cheques drawn on foreign     provision for A in A, and to report to Accounts
      banks, must be sent to Accounts Group for action unless an     Group any changes which need to be made. If
      overseas office can deposit the funds in their local bank
      accounts.                                                      adequate provision for A in A is not made
                                                                     through the Estimates process, the receipt has to
   Risks of Non-Compliance
   • Funds surrendered to Her Majesty’s Treasury (HMT) because
                                                                     be surrendered to the Treasury and is therefore
     of failure to include loan repayments in the Estimates          lost to DFID.
   • Funds wrongly surrendered to HMT
   • Funds wrongly credited to the aid programme
   • Inaccurate and poor forecasting against our Estimates that
                                                                                                                                       Contact    AccountsHelpdesk@dfid.gov.uk
     could lead to loss of income or overspending.


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                                                                                                                                                   ASSETS
   Compliance Tasks                                                  Assets
   1. Every DFID department/office’s DFO must maintain an
                                                                                                                                 Processes and     Government Accounting Chapter 21-24
      electronic Asset Register of assets financed from                                                                                  Tools     Asset Guidance
      administrative resources
                                                                     Background
   2. Every DFID department/office’s DFO must maintain an                                                                                          Guidance on Completion of Asset Spreadsheets
      electronic Asset Register of Programme assets when             In order to be able to provide a value for what
      ownership is retained by DFID                                  DFID owns we need to have a permanent                                         Resource Accounting Manual
   3. Every DFID department/office, must make arrangements for       record of items that DFID regards as belonging
      the secure storage of assets and consumables                   to the department. These are our Tangible Fixed
   4. Departments have delegated authority to dispose of             Assets and information about them is recorded                   Associated    DFO’s assets training course
      DFID owned equipment and assets by transfer of ownership                                                                 Learning & Skills
                                                                     in our Fixed Asset Register.
      to the aid recipient, or by sale to a third party subject to
      certain restrictions. Disposals must be noted on               We treat an item as a tangible fixed asset if:
      departmental asset returns.
                                                                     • it has a useful life of more than one year              Other Sources of    None

                                                                     • the purchase price or development cost of
                                                                                                                                   Information
   Risks of Non-Compliance
                                                                       the asset, or its replacement cost (new) if
   • Loss of assets (theft)
                                                                       being recorded on the Asset Register for the
   • Inaccurate data in the balance sheet to the
                                                                       first time, is in excess of £1,000 or equivalent
     Resource Accounts
                                                                       in local currency
   • Incorrect Capital Charge levied
   • Increased risk of Fraud.
                                                                     • it is used in support of general administrative
                                                                       activity i.e. not on a specific project or
                                                                       programme.

                                                                     Examples of tangible fixed assets are; buildings
                                                                     (offices), vehicles, fixture & fittings and IT
                                                                     equipment.

                                                                     Equipment and supplies with a value of less
                                                                     than £1,000 (one thousand pounds) are defined
                                                                     as Consumables.

                                                                     Equipment and supplies purchased from
                                                                     programme funds are defined as programme
                                                                     assets. All programme funded assets will
                                                                     normally be gifted to the recipient and therefore                  Contact    Assetmanagement@dfid.gov.uk
                                                                     fall outside the Asset Register.


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                                                                                                                                                    ACCOUNTS PREPARATION
   Compliance Tasks                                                 Accounts Preparation
   1. Departments must complete and submit the Year End Pack
                                                                                                                                  Processes and     Year End Pack Guidance
      to Accounts Group within prescribed timescales                                                                                      Tools     2003/04 Resource Accounts
                                                                    Background                                                                      Resource Accounting Manual
   2. The Accounts must comply with the Resource Accounting         Until the financial year 2001-02, the UK
      Manual                                                        government accounted for expenditure solely on                                  Government Accounting Chapter 21-24
                                                                    the basis of cash spent and cash received.                                      Asset Guidance
                                                                    Departments’ annual accounts for each financial
   3. The Accounts should be available for audit by NAO by the      year from 1st April to 31st March were called                                   Guidance on Completion of Asset Spreadsheets
      date agreed in the project plan                               appropriation accounts.
                                                                    From 2001-02 resource accounts have replaced
                                                                    appropriation accounts as the means by which
   4. Accounts must be laid in the House of Commons by the          each government department sets out for                           Associated    None, although it is recommended that DFOs attend the Resource Accounting training.
      statutory date.                                               Parliament how it has used the resources allocated
                                                                    (voted) to it by Parliament.                                Learning & Skills
                                                                    Resource accounts are accruals based. Accruals
                                                                    accounting is a method of recording expenditure
                                                                    as it is incurred, not when it is paid out, and             Other Sources of    None
   Risks of Non-Compliance                                          income as it is earned, not when it is received.                Information
   • Failure to adhere to guidance could result in accounts being   Resource accounts record assests and liabilities as
     late and/or qualified.                                         well as expenditure.
                                                                    DFID has a statutory obligation to produce an annual
                                                                    Resource Account in accordance with with Her
                                                                    Majesty’s Treasury (HMT) guidance (Resource
                                                                    Accounting Manual). We must also adhere to
                                                                    accounting standards and Generally Accepted
                                                                    Accounting Practice (GAAP) standards. In this
                                                                    respect our accounts are very similar to those
                                                                    prepared by private sector businesses.
                                                                    The National Audit Office (NAO) audits the
                                                                    resource accounts. DFID’s Accounting Officer (the
                                                                    Permanent Secretary) signs them before they are
                                                                    presented to Parliament each year.
                                                                    Certain information used to populate the accounts
                                                                    is obtained directly from departments through the
                                                                    Year End Pack exercise. The faster close agenda
                                                                    means that DFID, like other departments, has to
                                                                    continually improve the time that it takes to
                                                                    present its accounts to Parliament each year. This
                                                                    requires accurate and timely completion of the                       Contact    ResourceAccounts@dfid.gov.uk
                                                                    Year End Pack by each department as part of the
                                                                    year-end process.

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                                                                                           DELEGATED AUTHORITY TO APPROVE WRITE OFFS & SPECIAL PAYMENTS
Delegated Authority to
Approve Write Offs &                                                     Processes and     Guidance for the Write Off of Losses

Special Payments                                                                 Tools     Guidance for Making Special Payments

Background                                                                                 Government Accounting Chapter 18
Certain Divisions, Departments and Offices have
delegated authority to approve Write Offs (WOs) and
Special Payments (SPs). They are:
Department/Division      Authority               Type     Value
                                                                             Associated    None
Finance & Corporate      Director                All  Unlimited        Learning & Skills
Performance Division     Deputy Director         All  £750,000
                         Head/Deputy
                         Accounts Group          All   £250,000
                         B1 Losses               WO     £10,000        Other Sources of    None
                         Officer                 SP        £500
                         B1 Accounts Group       WO        £500            Information
Human Resources Division Director                All     £5,000
                         Head of Dept.           All     £1,000
Overseas Pensions Dept.  Head of Dept.           WO      £1,000
                         Deputy Head             WO        £500
                         of Department           SP        £250
                         B1                      All       £100
Overseas Offices         Head of Office          WO        £500
                         (suspense items only)
Information Systems      Head of ISD             WO       £500
Department               (suspense items only)

A write off occurs if DFID funds, or goods purchased
with them, are lost, or where proper accounting
documents for expenditure cannot be obtained. Such
items cannot be charged against DFID’s budget as
normal expenditure. They must, however, still appear in
DFID's accounts. This is done by the process of writing
off. Writing off expenditure is the last resort in dealing
with a loss of funds or goods. It must only be done after
all possible action to recover the loss has failed. Other
than in those cases where delegation is given to
Departments, Accounts Group must make the judgment
that the chances of recovery have been exhausted and
that no alternative exists to writing off the loss.
The following are classed as special payments:
Extra-contractual payment
Ex-gratia payment
Compensation payment
Extra-statutory payment.
Other than in those cases where delegation is given to                          Contact    AccountsHelpdesk@dfid.gov.uk
departments, it is for Accounts Group to make the
judgment that a special payment is justified.


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   Compliance Tasks                                                                                                          Risks of Non-Compliance

   Write Offs:                                                      Special Payments:                                        • Unauthorised expenditure of funds
   1. Losses due to fraud, theft or other culpable action must be   6. All requests or claims for special payments must be
                                                                                                                             • Internal audit and NAO criticism
      reported to Internal Audit Department                            referred to Accounts Group for advice as soon as
                                                                       they are received (unless they fall within a
                                                                                                                             • Secretary of State or Permanent Secretary
                                                                       department's delegated authority)
   2. Internal Audit Department will take the necessary steps                                                                   called before the Public Accounts Committee
      to recover such losses, and pursue prosecution wherever
      possible                                                      7. No indication of any kind about the likely outcome    • Negative publicity
                                                                       must be given to persons or organisations making
                                                                       claims on DFID for a special payment                  • Reputational risk
   3. In cases of overpayment the Spending Department/
      Overseas Office must assess the extent to which recovery is                                                            • Excessive amounts held in suspense accounts
      justified and/ or feasible                                    8. Once a decision has been made by the authorising         increase costs through a capital charge by
                                                                       officer in respect of cases handled under delegated
                                                                       authority (by Accounts Group in all other cases)         HMT on balances held in suspense and
   4. A submission must be prepared by the spending                    that a special payment appears justified, a copy of      possibly hide fraud.
      department for approval of write offs                            the authorisation and payment instruction must be
                                                                       sent by the Spending Department to Accounts
                                                                       Group to effect the payment, and to record it in
   5. All submissions for write off action, where a department         DFID’s Annual Accounts
      does not have delegated authority must be endorsed by the
      relevant Head of Department and sent to Accounts Group
      with a request that approval be given for write off.          9. All write offs or special payments approved under
                                                                       delegated authority must be copied to Accounts
                                                                       Group for inclusion in DFID’s annual accounts.




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                                                                                                                                                            PROMISSORY NOTES
   Compliance Tasks                                                          Promissory Notes
   1. The Director of Finance and Corporate Performance Division
                                                                                                                                          Processes and     Government Accounting, Chapter 9
       (FCPD) signs Promissory Notes on advice from Accounts Group                                                                                Tools     Draft text of a promissory note
   2. A payment schedule must be agreed in writing with the
       beneficiary before a promissory note is issued                        Background
   3. Before a promissory note can be issued, the DFID spending
       department must send a letter to the Bank nominated by the            A promissory note is a written undertaking to
       beneficiary appointing them (or referring to their existing                                                                            Associated    None
                                                                             pay money on demand, up to a specified limit,
       appointment) as depository for the promissory note or series of
       notes in question, and summarising the content of the note that       to a named recipient.
                                                                                                                                        Learning & Skills
       DFID will shortly be sending them
   4. The promissory note must contain wording stating that it is non-       The governing bodies of the development banks
       interest bearing and non-negotiable
                                                                             from time to time pass Resolutions requiring               Other Sources of    None
   5. Shortly before a promissory note is due for deposit the spending
       department must send the original promissory note to Accounts         member states to pay, by a certain date, assessed              Information
       Group for onward transmission to the Director of Finance and
       Corporate Performance (FCPD), with a minute indicating:               contributions, perhaps to the capital stock of the
   (a) The Resolution under which the payment is being made                  bank, or to a development fund set up by the
   (b) The replenishment, or fund contribution, etc., to which the           bank (DFID’s legal powers to make these
       payment relates
   (c) The total amount of the UK commitment of which the                    payments are set out in the International
       promissory note forms a part
                                                                             Development Act 2002). Some Resolutions
   (d) The date by which, in accordance with the Resolution, the
       deposit of the promissory note is required                            stipulate payment in full in cash, but most often,
   (e) That any Ministerial and Parliamentary approval required in           they allow member states to pay some or all of
       accordance with the 2002 Act has been given
   (f) That the Bank (of England) has been duly appointed as                 the contribution by way of a promissory note,
       depository, and that they are aware that this note is being           the essential text of which is usually stipulated
       deposited
   (g) That there is aid framework provision for the scheduled expenditure   in the Resolution.
   (h) That the beneficiary has been notified that the note is being
       deposited                                                             The deposit of a promissory note is counted as
   (i) Either that the text of the promissory note has received Foreign      ‘official development assistance’ (oda) at the
       & Commonwealth Office (FCO) legal advisers’ approval, or that
       it follows a format to which FCO legal advisers gave approval         time of deposit, not when it is encashed.
       on an earlier occasion, and that their approval is still valid
   (j) That although the promissory note is non-negotiable, i.e. it          The Director of Finance and Corporate
       cannot be used by other than the recipient, the Director of           Performance Division signs promissory notes
       FCPD may wish to send the signed note to the originating
       department by hand for security reasons.                              issued by DFID. DFID uses them mainly, but not
                                                                             exclusively, as part of the arrangements whereby
   Risks of Non-Compliance                                                   we   pay    certain     sums     to   International
   • Failure to agree a payment schedule with the beneficiary may
     result in a demand for funds in excess of the aid framework and         Development Banks and Funds.                                        Contact    AccountsHelpdesk@dfid.gov.uk
     also payment in advance.


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                                                                                                                                                     CONTINGENT LIABILITIES
   Compliance Tasks                                                   Contingent Liabilities
   1. Programme Guidance Group (PGG) and Accounts Group
                                                                                                                                   Processes and     Government Accounting Chapter 26
      (AG) must be consulted if it is proposed that DFID give a                                                                            Tools
      guarantee, indemnity, or a letter of comfort
   2. A contingent liability must only be accepted when it is
      absolutely necessary for an activity to proceed, or where                                                                        Associated    None
      statutory authority for specific activities already exists
                                                                                                                                 Learning & Skills
   3. Before any contingent liability is accepted, whether in the     Background
      normal course of DFID business or not, Spending
      Departments must make a careful appraisal of the risks,         Contingent liabilities are potential calls on                                  None
      including where appropriate, the legal aspects and consult                                                                 Other Sources of
                                                                      Government funds, i.e. dependent upon
      PGG and AG                                                                                                                     Information
   4. A guarantee or indemnity not covered by statutory authority     particular events happening in the future.
      for more than £100,000 (one hundred thousand pounds)
      must be notified to Parliament by AG, by Departmental
                                                                      They    include        commitments      to    pay
      Minute, and before acceptance of the liability                  subscriptions     to    international   financial
   5. Spending Departments must review all their liabilities,         institutions, guarantees, indemnities and
      reportable or not, at least once a year as part of the annual   letters of comfort whether given in the normal
      Resource Accounts.
                                                                      course of business or otherwise.

                                                                      Contractual commitments, or commitments to
   Risks of Non-Compliance
                                                                      pay grants in future years, do not count as
   • Unexpected call on Public Funds
                                                                      contingent liabilities when made in the
   • Non-compliance with International Development Act 2002
                                                                      normal course of DFID's business.
   • Potential criticism from Internal Audit and National Audit
     Office.                                                          Certain contingent liabilities have to be
                                                                      reported to Parliament, e.g. those for which we
                                                                      do not have statutory authority (i.e. activities
                                                                      not covered by legislation). They are reported
                                                                      by Accounts Group (AG) by way of a
                                                                      Departmental Minute.




                                                                                                                                          Contact    AccountsHelpdesk@dfid.gov.uk



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                                                                                                                                                           DEBTORS
   Compliance Tasks                                                        Debtors
   1. Heads of Department/Overseas Offices must designate an
                                                                                                                                         Processes and     Debtor Processing
      officer in the department/office to be responsible for monitoring                                                                          Tools
      debts (normally the Departmental Finance Officer (DFO) or
      Accountant)                                                          Background
   2. Programme staff must enter a Tdebt transaction into
      CODA/LOAS as soon as the debt is identified                          Each Department/Office should be aware of any                     Associated    None
   3. Tdebts must be monitored on a monthly basis and a report sent        outstanding debts owed to DFID in respect of                Learning & Skills
      to the Head of Department/Overseas Office                            that Department's/Office’s area of responsibility.
   4. The Claims Register must be either a bound book (not loose
      leaf) with printed numbered pages, or a computer based record,       Departments/Offices with access to CODA,
      for which the following additional requirements must be                                                                          Other Sources of    None
                                                                           CODA-LOCAL, or LOAS must record outstanding
      followed:
                                                                           debts by means of inputting a Tdebt transaction
                                                                                                                                           Information
       a) Access to the record is restricted to designated individuals
          responsible for maintaining the register, through either a       to their accounting system.
          password control mechanism and/ or physical security of
          the computer and ancillary equipment (for example,               Departments/Offices without access to CODA,
          diskettes)
                                                                           CODA-LOCAL, or LOAS must maintain a
       b) Each claim entered on the register must be given a unique
          identification number, running sequentially                      Claims Register and ensure that it provides an
       c) The register must record the debtor, the nature of the debt,     up to date record of outstanding debts owed to
          the amount owed and the action being pursued (with               DFID in respect of that Department's/Office’s
          appropriate file references)
       d) A claim, once entered on the register, must not be removed       area of responsibility.
          under any circumstances (to preserve in complete form a
          record for audit purposes). Claims settled are to be marked      With the exception of repayments and interest
          accordingly in the register                                      on aid loans, advances of travel and subsistence,
       (e) Designated officers must circulate details of outstanding       and advances of pay and related allowances,
           debts to the rest of the department/office on a monthly basis
           for review and updating                                         departments/offices must record:
   5. Heads of Department/Overseas Offices are responsible for             Overpayments, pending recovery;
      ensuring that debtors are pursued and that debts are not
      allowed to become ‘aged’, i.e. over 3 months old
                                                                           Other losses, pending recovery (where being
   6. If a debtor fails to pay/repay DFID in a reasonable amount of
      time and without good reason, The Head of                            pursued);
      Department/Overseas Office must consult Internal Audit
      Department (IAD) and Accounts Group (AG) on whether or not           Claims on Technical Co-operation Officers
      to take legal action to recover the debt                             (TCOs) at end of assignment;
   Risks of Non-Compliance                                                 Payments for services rendered by DFID or
   • Claims on parties outside DFID get overlooked
                                                                           goods supplied, pending payment (such as
   • There is no action to recover debt
                                                                           publications); and
   • Potential criticism from internal audit, National Audit Office                                                                             Contact    AccountsHelpdesk@dfid.gov.uk
   • Loss of funds to DFID/Her Majesty’s Treasury (HMT).                   Charges to other Government Departments.


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                                                                                                                                                            VALUE ADDED TAX
   Compliance Tasks                                                      Value Added Tax
   1. DFID staff must never give VAT advice to a supplier. The
                                                                                                                                          Processes and     VAT Guidance
      supplier, not DFID, is responsible for determining the VAT                                                                                  Tools
      liability. If a supplier asks for VAT advice, refer the supplier
      to their Local VAT Office                                          Background                                                                         None
                                                                                                                                              Associated
   2. All contracts for services must clearly state in Section 1 and     DFID is required to have a Value Added Tax
      in the terms of reference to whom the supplier is to supply        (VAT) Liaison Officer (VLO) who is responsible                 Learning & Skills
      the services e. g. to DFID, or to a named overseas recipient       for its VAT affairs. DFID’s officer is situated in
                                                                         Accounts Group (AG). Any member of staff                       Other Sources of    None
   3. Staff must consult the VLO if VAT is charged when you think        requiring advice on VAT should contact the
      it should not be, or not charged when you think it should be       VLO. Only the VLO may communicate with Her
                                                                                                                                            Information
   4. Invoices on which VAT is charged must not be altered even          Majesty’s Customs and Excise (HMC& E) about
      if the supplier agrees that the invoice is incorrect or that VAT   VAT matters.
      should not have been charged. Ask the supplier to re-              Like all Government Departments, DFID is
      invoice                                                            registered for VAT. DFID has two VAT
   5. If an incorrect VAT charge is paid, it must be recovered from      registration numbers:
      the supplier, not from HMC& E
                                                                         GB 888 8137 56 for use in dealings with UK
   6. If a supplier does not charge VAT but discovers later that         suppliers and customers;
      he/she should have done, and issues an invoice for the tax,
                                                                         GB 888 8137 56 for use in dealings with
      DFID should pay. If the VAT charge is in order check
                                                                         suppliers and customers in other member states
      whether it is reclaimable.
                                                                         of the European Union (EU).
                                                                         In most situations, VAT liability is determined by
   Risks of Non-Compliance                                               who is the immediate recipient of the supply,
                                                                         and never by who is the eventual recipient.
   • Loss of Programme and Administration funds through                  Services supplied to DFID for the eventual
     paying VAT when it should not have been paid                        benefit of one or more overseas aid recipients
   • Fines imposed on DFID by Customs and Excise because too             are services to DFID, not to an overseas
     much VAT reclaimed.                                                 recipient. In most cases where DFID is liable to
                                                                         pay VAT it can be reclaimed by the VLO from
                                                                         HMC&E.
                                                                         Services supplied to an overseas recipient will
                                                                         normally be outside the scope of VAT.
                                                                         Services supplied to DFID will attract VAT at the
                                                                         standard rate.
                                                                         Goods exported directly overseas                  by
                                                                         procurement agents should not attract VAT.
                                                                         Goods delivered to DFID in the UK, even if they
                                                                         are to be eventually exported will attract VAT at the                   Contact    AccountsHelpdesk@dfid.gov.uk
                                                                         standard rate unless they have been ordered by or
                                                                         for an overseas office that has Diplomatic status.

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                                   Procurement                                       D


                                   Procurement Group
                                   Contracts for Services over £100,000         D1
                                   Contracts for Services under £100,000        D2
                                   Procurement of Goods and Equipment           D3
                                   Procurement of Works                         D4
                                   Procurement: Emergency Aid                   D5
                                   Re-Hiring of Ex DFID Staff as Consultants    D6
                                   Managing Corporate Projects and Programmes   D7




Essential Guide to Rules & Tools




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                                                                                                                                                   CONTRACTS FOR SERVICES OVER £100,000
   Compliance Tasks                                                    Contracts for Services
   1. The mandatory requirements to ensure a fair, open and
                                                                       over £100,000                                             Processes and     DFID procurement policy and best practice
      transparent competitive process are:                                                                                               Tools     OJEU adverts and awards
        a) Business must be advertised through the Official
           Journal of the European Union (OJEU)                                                                                                    Aid untying

        b) Advertisements must specify which procedure is to be used                                                                               EC procurement directives timescale calculator
        c) The required output, and criteria for the selection of
           tenderers and award of contract must be advertised and
                                                                       Background                                                                  Procurement Policy and EC Rules
           adhered to                                                  All contracts for services expected to cost more
                                                                                                                                                   Authority To Engage (ATE) form
        d) Minimum time scales must be adhered to                      than £100k must be issued by Procurement
        e) Competition, to achieve best value for money, must not
                                                                       Group (PrG), using contract processes set out in                            Standard Contract
           be distorted by the development of specifications or        Her Majesty’s Government’s (HMG) public
           terms of reference in favour of one product or supplier     procurement regulations (derived from the
        f) Spending departments must not discuss fees with             European Union (EU) Procurement Directives).
           prospective suppliers                                       The purpose of the Directives is to open                      Associated    All PrG contract officers receive detailed job related training as part of the general
                                                                       public procurement markets to international                                 procurement / contracting function training.
        g) Contract award notices must be placed in OJEU                                                                       Learning & Skills
                                                                       competition thereby increasing opportunities for
        h) Unsuccessful applicants or tenderers must be debriefed      all suppliers and service-providers.        This
           if required
                                                                       reinforces HMG policy on value for money                                    Her Majesty’s Stationery Office (HMSO)
   2. PrG must be commissioned to tender, award and manage             through fair, open and transparent competition.         Other Sources of
      contracts with an anticipated value in excess of the EU                                                                      Information     EU Publications
      financial thresholds. Any proposed exceptions to this            The Regulations cover:
      requirement must be agreed with the Head of PrG                                                                                              Remedies Directive
                                                                       • Contracts for services, supplies & works
   3. An Authority To Engage (ATE) form must be completed for all
      procurement of services.                                         • Those services, which must be purchased
                                                                         through procedures, set by the Directives
                                                                         (Part A services), and those, which may be
   Risks of Non-Compliance                                               excluded (Part B Services)
   • Legal challenge to HMG through the High Court, or the             • Financial thresholds (adjusted every two
     European Court of Justice under the Remedies Directive, for         years) above which competition is required:
     breach of EU Directives
                                                                         Current Thresholds: Services and Supplies -
   • Failure to implement appropriate procurement policy                 £99,695, Works - £3,834,411
   • Damage to DFID reputation for fair and open procurement           • Three Contracting Procedures - open,
   • Costs of legal proceedings                                          restricted (the norm for DFID contracts) and
   • Criticism from National Audit Office (NAO), or the                  negotiated.                                                    Contact    ProcurementCompliance@dfid.gov.uk
     Parliamentary Public Accounts Committee (PAC).


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                                                                              CONTRACTS FOR SERVICES UNDER £100,000
Contracts for Services
under £100,000                                              Processes and     Authority to Engage (ATE) Form
                                                                    Tools     Mini Contract

                                                                              Standard Contract

                                                                              Local Contracting

Background                                                                    Separation of Duties
Responsibility for all contracting activity within                            Separation of Design and Implementation
DFID rests with the Head of Procurement Group
                                                                              Account Group’s Manuals and Guides
(PrG). Contracting authority for lower value
contracts can be delegated to other departments                               ADAMANT Rules
across    the   organisation    subject   to   the
appointment of suitably trained staff and PrG
agreement.                                                                    2 day procurement course is mandatory for all staff who issue contracts to local and
                                                                Associated
                                                                              international consultants below the value of £25K.
All DFID procurement must represent value for             Learning & Skills
money (VfM). This is usually best achieved                                    Local Contract Officers (LCO’s) must undertake the following training and have acquired
through      competition.      However       where                            full accreditation from PrG before they can issue contracts:
competition for lower value contracting is likely                             2-day procurement course plus additional training tailored to individual development
to involve disproportionate cost suppliers may                                needs, e.g. Negotiation, European Union (EU), Procurement Law; and
be ‘single sourced’, with contracts awarded                                   One week structured desk training and up to 2 weeks practical experience with PrG.
without competition.


                                                          Other Sources of    PrG Training Strategy

                                                              Information     LCO job specification




                                                                   Contact    ProcurementCompliance@dfid.gov.uk



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   Compliance Tasks                                                                                                  Risks of Non-Compliance

   1. Contracts must only be issued by appropriately trained     8. Government policy requires that value for        • Value for Money (VfM) not obtained
      staff - up to £25k or £100k with limits subject to            money, transparency and probity be achieved in
                                                                                                                     • Legal risk to DFID through breach of
      approved level of training and accreditation                  the expenditure of public funds. Government
                                                                    Accounting (GA) rules requires a separation of      the European Commission (EC) Public
   2. Delegated contracts must be signed by appropriately
                                                                    the roles of all those staff involved in the        Procurement Directives
      trained and authorised staff
                                                                    procurement process, to reduce opportunity for
                                                                                                                     • Reputational risk if standards of fair and open
   3. DFID departments and overseas offices issuing contracts       collusion. As a minimum requirement the
      between £25K - £100K must appoint a Local Contract                                                                procurement are not upheld
                                                                    following responsibilities must be separated:
      Officer (LCO). PrG maintain a register of all Local                                                            • Inaccurate information to Parliament and
                                                                     • Specifying the need
      Contract Officers (LCO’s). Only LCOs may issue
                                                                                                                        the public.
      contracts in the range £25K - £100K                            • Placing the order/signing the contract
                                                                     • Receipt of services
   4. DFID contracting processes and management must be
      adhered to. An Authority To Engage (ATE) form must be          • Payment
      completed for all procurement of services. For contracts   9. A minimum of two staff should be involved in
      not exceeding £25k a simplified form of contract should       the process. Where the separation of duties
      be used. For all other contracts the standard DFID            cannot be achieved due to staffing constraints
      contract must be used                                         the Head of Department/Overseas Office must
   5. Details of contracts awarded by delegated contract            be alerted and the matter referred to PrG to
      officers must be reported monthly by e-mail to PrG,           advise on possible compensatory controls.
      Policy Training & Management Services Section to
      enable DFID to meet requests for information from
      parliament or the public
   6. Spending Departments seeking to waive competition for
      contracts in the region of £25- £100k must obtain
      approval from their Head of Department/Overseas
      Office before proceeding
   7. PrG must be consulted about any proposed contract
      amendments likely to carry the aggregate value of the
      contract beyond the competition threshold of £100K




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                                                                                                                                                      PROCUREMENT OF GOODS AND EQUIPMENT
   Compliance Tasks                                                Procurement of Goods
   1. A completed ‘indent’ or call down contract carrying the
                                                                   and Equipment                                                    Processes and     Procurement Agent Enabling Agreements and use of Indent Forms
      Management Information System (MIS) code for charging                                                                                 Tools     Procurement inSight Page
      purposes and signature of authority must be sent to the
      procurement agent to initiate all procurement activity
                                                                   Background                                                                         Local Procurement
                                                                   DFID has outsourced procurement of goods to a
   2. Single items over £5,000 must be purchased through agents                                                                                       Emergency Procurement Procedures
                                                                   panel of professional Procurement Agents. In certain
   3. Where the collective value of a number of small purchases    countries, termed ‘core-countries’, agents have been
      exceeds £25,000 the procurement must be referred to a        granted exclusive rights to all procurement of goods
      procurement agent or a case made to PrG to buy locally on    and equipment by DFID or by the host government
                                                                                                                                                      None
      Value For Money (VfM) grounds                                using DFID Financial Aid. In return for this the                     Associated
                                                                   agent is required to maintain an office presence in
   4. DFID offices without ‘core country’ status may use any
                                                                   that country and may additionally receive a
                                                                                                                                  Learning & Skills
      agent from the panel up to a total value of £250,000.
                                                                   management fee where the volume of procurement
      Competition between agents is encouraged for contract
                                                                   activity is uncertain. Procurement Agents are
      purchases between £250,000 and £500,000, and                                                                                                    Core Countries List
      mandatory for contract values above £500,000. All
                                                                   required to apply Her Majesty’s Government (HMG)               Other Sources of
                                                                   procurement policies.
      procurement in excess of £250,000 must be referred to PrG                                                                       Information     Charles Kendell Procurement Agents
                                                                   Procurement Agents act on behalf of DFID or the
   5. For purchases below £5000 a minimum of 3 quotes should       client government. Both carry the same contracting                                 Crown Agents Procurement Agents
      be obtained from suppliers. Details of the quotations        responsibilities and risks as if the contracts were let
      obtained and reasons for supplier selection should be                                                                                           International Procurement Agency Procurement Agents
                                                                   directly by themselves.
      recorded on file to demonstrate VFM and to maintain an
      audit trail                                                  Procurement agents may be engaged by using a call
                                                                   down contract or ‘indent’ (essentially a requisition
   6 All IT purchasing needs must be referred to CEPAS             form). Procurement agent performance is both
     (Corporate and Electronic Procurement Advisory Section)       managed and monitored by Procurement Group (PrG).
     before making any direct purchase.
                                                                   Enquires in connection with any aspect of this service
                                                                   should be addressed to the Corporate and Electronic
                                                                   Procurement Advisory Section within PrG.
   Risks of Non-Compliance
                                                                   Information Technology (IT) Equipment Equipment -
   • Damage to DFID reputation for fair and open procurement       DFID aims to ensure that the IT equipment and
   • Challenge to DFID’s procurement policy and procedures         software on its network is compatible and consistent
                                                                   with existing systems. DFID is currently moving
   • Legal challenge to HMG through the High Court, or the         towards GSI (Government Secure Intranet) status
     European Court of Justice under the Remedies Directive, for   making centralised management of the network more
     breach of EU Public Procurement Directives                    important than ever. The PrG Corporate and
   • Financial loss                                                Electronic Procurement Advisory Section (CEPAS)
                                                                   team aims to aggregate DFID’s Corporate
   • Fraud.                                                        Procurement needs, wherever possible, to ensure that
                                                                   value for money is achieved and that quality, safety
                                                                   and environmental issues are considered.
                                                                   CEPAS can be contacted at the ‘PrG-Corporate’
                                                                                                                                           Contact    ProcurementCompliance@dfid.gov.uk
                                                                   e-mail address.


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                                                                                                                                                 PROCUREMENT OF WORKS
   Compliance Tasks                                                 Procurement of Works
   1. The Overseas Estates Support Team (OEST) must be notified
                                                                                                                               Processes and     DFID Procurement Policy and Best Practice
      immediately of any proposed works activity                                                                                       Tools     Her Majesty's Government Public Procurement Regulations, Policy and EC Rules
   2. Professional procurement assistance must be obtained,         Background
      either through PrG or another recognised body as identified                                                                                Local Contracts Officer (LCO) Job Specification
      by OEST                                                       ‘Works’ procurement concerns procurement for
   3. Where procurement is estimated to exceed £3.8 million,
                                                                    the carrying out of civil engineering or building
      procurement must be undertaken in accordance with the         works.
      ‘Works’ Directives of the European Union (EU) Public                                                                         Associated    Mandatory for staff who issue contracts below the value of £25,000
                                                                    DFID does not undertake significant amounts of
      Procurement regulations
                                                                    Works procurement and this is now most likely            Learning & Skills        • 2 day procurement course
   4. PrG must be consulted early in the planning process to        to occur with the refurbishment of an overseas
      consider whether the construction project should be                                                                                        DFID departments, which need to issue contracts between £25,000 - £100,000 are
      subjected to Gateway Review.                                  office or where a new building has been
                                                                                                                                                 required to appoint a Local Contract Officer (LCO). LCO’s must undertake the following
                                                                    commissioned.
                                                                                                                                                 training and have acquired full accreditation from PrG before they can issue contracts.
                                                                    Procurement of all ‘Works’ activity relating to
   Risks of Non-Compliance                                          the DFID estate is overseen by Office Services
                                                                                                                                                 2-day procurement course plus additional training tailored to individual development
   • Damage to DFID reputation for fair and open procurement        (including their Overseas Estates Support Team                               needs, e.g. Negotiation, EU Procurement Law.

   • Challenge to DFID’s procurement policy and procedures          (OEST). Professional assistance is usually                                   One week structured desk training and up to 2 weeks practical experience with PrG.
                                                                    obtained by calling down the services of
   • Legal challenge to HMG through the High Court, or the
     European Court of Justice under the Remedies Directive, for    specialist works contractors from central
     breach of EU Public Procurement Directives                     government frameworks.                                                       OGC guidance on Achieving Excellence on Construction
                                                                                                                             Other Sources of
   • Financial loss                                                 All contracts for services expected to cost more
                                                                                                                                 Information     OGC best practice guide on Common Causes of Project failure
   • Fraud.                                                         than £3.8 million must be issued using contract
                                                                    processes set out in Her Majesty’s Government’s
                                                                    (HMG’s) public procurement regulations. Work
                                                                    below this value will be subject to DFID’s
                                                                    normal procurement rules, which includes
                                                                    appropriate use of competition.
                                                                    Normal contracting authority levels will also
                                                                    apply unless otherwise agreed by Procurement
                                                                    Group (PrG).
                                                                    All major construction and acquisition projects
                                                                    within Government are now potentially subject
                                                                    to the Gateway Review process. The Gateway
                                                                    Coordination unit of PrG can provide further                      Contact    ProcurementCompliance@dfid.gov.uk
                                                                    advice on this requirement.


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                                                                                                                                                            PROCUREMENT: EMERGENCY AID
   Compliance Tasks                                                       Procurement:
   1. Emergency Procurement is not exempted from the impact of
                                                                          Emergency Aid                                                   Processes and     Emergency Procurement Practices
      the European Union (EU) Public Procurement Directives.                                                                                      Tools     Procurement Agent Enabling Agreements and Use of Indent Forms
      Prior advertisement is not required, but it is still necessary to
      publish a contract award                                                                                                                              Local Procurement
   2. When the emergency situation is deemed to have ended
      and assistance moves from the "disaster relief" to the
      "rehabilitation" phase, emergency procedures will no longer
      apply and the procurement of goods and services must be             Background
      undertaken in accordance with the normal procurement                                                                                    Associated    None
                                                                          DFID’s Emergency Aid is normally provided
      procedures. CHAD can advise on the end of the emergency                                                                           Learning & Skills
      phase, which will usually be linked to the conclusion of the        through Conflict and Humanitarian Affairs
      period of a United Nations or other international Appeal
                                                                          Department      (CHAD). This         includes     lead
   3. A formal indent must be completed when using a                                                                                    Other Sources of    Africa Conflict and Humanitarian Unit inSight Page
      procurement agent.
                                                                          responsibility within DFID for responses to rapid
                                                                          onset emergencies. Other DFID Departments                         Information     Details of Global and Africa Conflict Pools
                                                                          may have responsibility for humanitarian                                          Charles Kendall Procurement Agents
   Risks of Non-Compliance                                                assistance to countries affected by continuing                                    Crown Agents Procurement Agents
   • Poor value for money from late or inappropriate procurement          crises within their Divisional responsibilities,
   • Damage to DFID’s reputation for fair and open procurement                                                                                              International Procurement Agency Procurement Agents
                                                                          supported by CHAD as necessary.
   • Legal challenge to HMG through the High Court, or the
     European Court of Justice under the Remedies Directive, for          ‘Emergency’ is defined as a situation where
     breach of EU Public Procurement Directives                           human suffering has occurred or is likely to
   • Financial Loss                                                       occur as a result of a natural or technological
   • National Audit Office criticism.                                     disaster, civil strife or war.

                                                                          Procurement of goods and equipment should
                                                                          normally be channelled through a DFID
                                                                          procurement agent.

                                                                          Any     department      wishing       to   undertake
                                                                          emergency procurement must obtain the prior
                                                                          approval of the Head of Procurement Group
                                                                          (PrG). When contract delegation thresholds will
                                                                          be exceeded PrG must be notified.
                                                                                                                                                 Contact    ProcurementCompliance@dfid.gov.uk



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                                                                                                                                                RE-HIRING OF EX DFID STAFF AS CONSULTANTS
   Compliance Tasks                                                  Re-Hiring of Ex DFID
   1. The initial call-down contract must be
                                                                     Staff as Consultants                                     Processes and     PrG Guidance on Re-hiring Former DFID Staff

        (i) Authorised by an officer senior to the former grade of
                                                                                                                                      Tools
            the individual to be contracted and
        (ii) Issued by PrG who will set fees using an agreed
             standard formula.                                                                                                    Associated    None

                                                                     Background                                             Learning & Skills
   Risks of Non-Compliance
                                                                     DFID may engage ex-DFID staff on a
   • Value for Money (VfM) not achieved                                                                                                         Business Appointments Rules
                                                                     consultancy contract basis (individuals trading        Other Sources of
   • Damage to DFID reputation.
                                                                     on their own or individuals working for a                  Information
                                                                     company). PrG guidelines must be followed to
                                                                     guard against reputational risk.




                                                                                                                                     Contact    ProcurementCompliance@dfid.gov.uk



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                                                                                                                                                   MANAGING CORPORATE PROJECTS AND PROGRAMMES
   Compliance Tasks                                                    Managing Corporate
   1. A Senior Responsible Owner (SRO) must be identified for
                                                                       Projects and                                              Processes and     Senior Responsible Owner (SRO) Responsibilities
      each project. The SRO will ensure an appropriate and
                                                                       Programmes                                                        Tools     PRINCE2 and Information Systems Development Method (ISDM)
      representative governance structure is in place for the
      project                                                                                                                                      Risk Potential Assessment Forms (RPA)
   2. Agreement to proceed with any corporate project or
      programme must be obtained from the DFID corporate                                                                                           The OGC Gateway Process
      projects board – presently the “Catalyst” board
                                                                       Background
   3. An appropriate methodology should be used throughout the
      life of the project – PRINCE2 and/or Information Systems         Corporate projects and programmes are those                                 Senior Responsible Owner (SRO) briefing
      Development Method (ISDM)
                                                                                                                                     Associated
                                                                       normally related to internal organisational and         Learning & Skills
   4. A Risk Potential Assessment (RPA) Form must be completed
      to assess the requirement to subject the project to the Office   system changes, often involving significant IT
      of Government Commerce (OGC) Gateway Review Process              system development or procurement, or to
                                                                                                                               Other Sources of    Gershon Report on Public Procurement
   5. A business case must be produced using the DFID corporate        service related contract renewals (e.g. travel
      project benefits template.
                                                                       contract), property related construction or                 Information     Successful IT: Modernising Government in Action
                                                                       refurbishment work etc. These projects and
   Risks of Non-Compliance                                             programmes are subject to different controls and
   • Time, budget and quality requirements not met                     processes than those covering development
   • Inappropriate use of public funds                                 related activities.
   • Reputational risk                                                 Typically, where corporate change projects and
   • Contracting with the wrong supplier                               programmes involve significant procurement or
   • National Audit Office criticism                                   generation of new assets they will be funded
   • Organisational impact                                             from administration capital costs rather than
                                                                       development programme costs.




                                                                                                                                        Contact    Catalyst@dfid.gov.uk



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                                   Managing People                                       E


                                   Human Resources Division (HRD)
                                   Recruitment                                      E1
                                   Induction                                        E2
                                   Probation                                        E3
                                   Postings                                         E4
                                   Promotions                                       E5
                                   Performance Management for Senior Civil
                                   Service (SCS) Staff                              E6
                                   Performance Management for Staff A1 and Below    E7
                                   Discipline                                       E8
                                   Grievance                                        E9
                                   Staff Appointed in Country (SAIC)
                                   Pay Determination                               E10
                                   Maximising Attendance                           E11
                                   Yourself                                        E12
                                   Annual Leave, Career Breaks, Special Leave,
                                   and Parental Leave                              E13
                                   Maternity, Paternity and Adoption Rights        E14
                                   Flexible Working                                E15
                                   Secondments and Interchange                     E16
                                   Workforce & Development Planning                E17
                                   Equality and Diversity                          E18
                                   Job Grading                                     E19
                                   Pay for Senior Civil Service (SCS) Staff        E20
                                   Pay for Home Civil Servants Below the SCS       E21




Essential Guide to Rules & Tools




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                                                                                                                                                  RECRUITMENT
   Compliance Tasks                                                 Recruitment
   Directors
                                                                                                                                Processes and     DFID Recruitment Handbook

   1. Directors must notify Corporate Human Resources (CHR) of                                                                          Tools     Civil Service Commissioner’s Recruitment Code
      vacancies for UK based staff only                             Background                                                                    SAIC Recruitment Guidance
   2. Human Resources Division (HRD) in consultation with           The Civil Service Order in Council 1995
      Directors will decide whether external recruitment is the     governs recruitment into the Home Civil
      best available option for filling a post.                     Service. The Order in Council sets out the legal
   Heads of Overseas Office                                         basis for our recruitment policies and practice.                Associated    For Board members
   3. Heads of Overseas Office are responsible for ensuring local   It requires the Civil Service Commissioner’s to           Learning & Skills   Equal Opportunities guidance/briefing
      employment legislation requirements are met for Staff         provide a recruitment code on the interpretation
      Appointed In Country (SAIC) recruitment.                      and application of principles for recruitment                                 Interviewing Skills guidance/briefing
                                                                    into the Civil Service. The principles and this
   CHR
   4. CHR are responsible for ensuring that external
                                                                    code are mandatory. They must be followed
      advertisements comply with legislative and government         when any post is opened to competition from                                   For Lead CHR Assessors
      requirements                                                  outside the Civil Service.
                                                                                                                                                  Assessor Training (also for CHR assessors)
   5. The recruitment team must initially sift applications,        Principles
                                                                    1. All recruitment must be on merit and comply                                Lead HR Assessor Training
      according to defined criteria such as nationality
                                                                       with the principle of fair and open competition
   6. CHR are responsible for arranging technical sifts, where
      appropriate.                                                  2. Finding the best available person for the job
                                                                       regardless of race, gender or disability                                   Civil Service Commissioner’s website
                                                                                                                              Other Sources of
                                                                    3. All appointments must be above suspicion                   Information     Cabinet Office website
   Risks of Non-Compliance                                             of patronage
   • DFID does not get the best available people to carry out the   4. Ensure that recruitment procedures reinforce
     job, when it needs to be done                                     the principle of political impartiality
   • DFID is taken to an Employment Tribunal due to an alleged      5. Job opportunities are known about and
     breach of discrimination on race, gender, religion, sexual        publicised
     orientation or disability (Age from October 2006)
                                                                    6. Selection is fair and objective at each stage
   • Vacancies remain unfilled.
                                                                    7. Those appointed have the necessary skills
                                                                       and competencies for the job
                                                                    8. We can demonstrate that we have applied
                                                                       our recruitment principles by taking the
                                                                       above steps.
                                                                    These principles apply to all UK based
                                                                    recruitment but should also apply to any SAIC
                                                                                                                                       Contact    Recruitmentcompliance@dfid.gov.uk

                                                                    recruitment undertaken.

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                                                                                                                                                       INDUCTION
   Compliance Tasks                                                   Induction
   1. Line managers must:
                                                                                                                                     Processes and     Line Manager’s guide to Induction

        a) plan an induction to post programme for all new staff.
                                                                                                                                             Tools     Induction Modules - E-Learning
        b) ensure that new staff complete the e-learning modules      Background
                                                                                                                                                       Induction Training Course
           within ten weeks of arrival plus the corporate induction   There are two parts to induction – induction for
           course for staff in headquarters and as soon as possible   new staff joining DFID, and induction for existing                               Performance Management System
           for staff overseas.                                        staff moving posts. Line managers are responsible
                                                                      for induction to post. Training and Development
                                                                      Unit (TDU) are responsible for corporate induction
                                                                      for new staff.                                                                   Corporate Induction training (e-learning modules and course).
   Risks of Non-Compliance                                                                                                               Associated
                                                                      Induction to post is key to help new staff settle in,
   • Risk of DFID being taken to employment tribunal where an         learn about their specific role and responsibilities         Learning & Skills
     individual is dismissed and has not received induction to        and become effective in their post. It should
     department and/or job, or has not been made aware of their       include detailed discussions about their role, their
     compliance responsibilities                                      specific responsibilities (including their compliance        Other Sources of    Welcome Message from the Secretary of State on inSight greeting new entrants to DFID
   • Staff unaware of their responsibility under legislation          responsibilities), their initial objectives and work
                                                                      priorities, and when and how their progress will be              Information
   • Staff do not quickly become confident and effective in their     reviewed. It should also include the development,
     new role                                                         and later evaluation of a learning plan for the
   • Failing Investors in People (IiP) standards and losing IiP       induction period. This should outline any training
     accreditation.                                                   deemed essential for that person to quickly become
                                                                      effective and compliant in their role.
                                                                      The Line Manager’s guide to Induction provides a
                                                                      detailed checklist of issues line managers must
                                                                      cover during the induction period.
                                                                      The corporate induction training developed by
                                                                      TDU provides an introduction to working in DFID,
                                                                      the support and services staff can expect and an
                                                                      introduction to the key processes such as DFID’s
                                                                      security procedures and the performance
                                                                      management system. This knowledge is acquired
                                                                      through “blended” learning: a range of e-learning
                                                                      modules must be covered before attending a 1-2
                                                                      day course. More information is available on TDU
                                                                      pages on inSight.
                                                                      TDU run induction training courses overseas as
                                                                      required and monthly in Palace Street and
                                                                      Abercombie House to meet demand. Line
                                                                      managers are responsible for ensuring that all new
                                                                      entrants complete the e-learning modules and
                                                                      attend the corporate induction course within ten                      Contact    TDU-ComplianceEnquiries@dfid.gov.uk
                                                                      weeks of joining DFID.


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                                                                                PROBATION
Probation
                                                              Processes and     How to Manage Probation
                                                                      Tools     Probation Guidance
Background
All DFID staff (including Senior Civil Servants)                                Reporting Officer training, including the management of probation, is mandatory for all
                                                                  Associated
have a probationary period on first appointment                                 line managers. Probation guidance forms part of the mandatory Corporate Induction
                                                            Learning & Skills
to the Department. This is 10 months for                                        programme.
permanent staff, 6 months for staff on contracts
of less than four years, half the length of the
                                                            Other Sources of    None
contract for staff on contracts of less than a year.
The same period applies to Staff Appointed In                   Information
Country (SAIC) staff, unless superseded by local
legislation. There are no options to extend these
periods other than in the event of illness.

Probation is key to identifying and tackling areas
of an individual’s performance, attendance and
conduct that are unsatisfactory. It is also
effective as a means for identifying areas of
potential and for personal development. It is the
responsibility of managers to ensure that a
satisfactory level of performance has been
reached or be clear with the individual and
Human Resources Customer Services and
Support    (HRCSS)     where     performance      is
unsatisfactory.

Staff are eligible to apply for promotion before
they have completed their probation but cannot
take up a post (at the new grade) until
permanency has been confirmed.                                       Contact    PMSystemHelpline@dfid.gov.uk



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   Compliance Tasks                                                                                                         Risks of Non-Compliance

   1. For Home Civil Servants, interim probationary                6. The individual’s line manager should use the mid      • Once any staff member has reached 12
      certificates will be sent electronically to the Head of         year review, if available, in the Performance and        months      of     employment      with     the
      Department by HRCSS. For SAIC, interim probationary             Development Plan (PDP) to help the assessment.           organisation, they acquire full employment
      certificates will be sent by the person responsible for         It is the responsibility of the line manger to
                                                                                                                               rights
      Human Resource (HR) issues to the Head of Office                undertake a full assessment of the individual’s
                                                                      performance and to confirm the successful or          • This means that DFID, or any other employer,
   2. For Permanent Staff, line managers must provide an
                                                                      unsuccessful completion of probation                     must fulfil a series of resource intensive steps
      Interim Probation Assessment of Permanent &
      Pensionable (P&P) staff at the 5 month point of their        7. Where an individual has successfully completed           to remove them in the case of indiscipline or
      probation                                                       their probationary period the line manager must          poor performance
                                                                      complete the Final Probation Certificate sent to
   3. For Fixed Term Staff, line managers must provide an                                                                   • Experience has shown that many employees
                                                                      the Head of Department/Head of Overseas Office
      Interim Probation Assessment of fixed term staff on                                                                      who perform poorly later on, performed
                                                                      or HR Manager in country offices by HRCSS and
      probation at the 3 month point of their probation
                                                                      return it to the appropriate HRCSS Team                  poorly during probation but were given the
   4. For all staff, Additional Interim Assessments should be                                                                  benefit of doubt
                                                                   8. If a line manager deems an individual to have
      held if they are deemed necessary.
                                                                      not completed their probationary period               • Other risks are the impact on staff morale,
                                                                      satisfactorily or is unsure as to whether or not to      damage to the organisation’s reputation,
   For unsatisfactory performance                                     sign off on the period of probation, they need to
                                                                                                                               costs involved in appeals and tribunals.
                                                                      contact the appropriate HRCSS team or HR
   5. If unsatisfactory aspects of the individual’s performance/
                                                                      Manager in country offices
      attendance/conduct have been noted by the line
      manager, full details of the unsatisfactory aspects should   9. In all cases, the individual’s Head of
      be recorded in a minute which – following discussion            Department/Head of Overseas Office must be
      and agreement with the individual – should be attached          informed of the outcome of the interim and final
      to the interim probation certificate that the manager will      probation periods.
      be asked to complete and return to HRCSS or the HR
      Manager in country offices. This minute must include
      details of the action plan agreed between the manager
      and the individual and how it is planned to address the
      issues during the remainder of the probation period




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                                                                          POSTINGS
Postings
                                                        Processes and     Postings Procedures – Grades A1 to C2
                                                                Tools     Guidance to UK Departments/Overseas Offices: Identifying, Advertising and Filling
Background                                                                Posts

The posting procedure Home Civil Service                                  Guidance for Scoring Applicants: Postings
(HCS) for UK based staff provides DFID
management with a means of filling jobs from                              Comprehensive Guidance on Postings Procedures
within the organisation, and staff with a means                           Equal Opportunity Policy
of applying for jobs they want and pursuing their
own career objectives.                                                    Diversity Policy Statement
To provide maximum choice and lead times jobs                             DFID Values
are grouped and advertised in clusters. The first
cluster of each year will normally run between                            DFID Competency Framework
January and April and the second between July
                                                                          Corporate Calendar
and November. (Timings of clusters can be
subject to change, though the principles under                            DFID policy on SAIC Mobility and Filling Posts in Overseas Offices
pinning the process remain constant).
                                                                          Web-based Applications
HCS UK based staff applying for posts in the
clusters will generally move within Posting                               Fast Stream Guidance
Windows:
1ST Cluster: July - Sept for UK Posts, and Feb -
April (the following year) for Overseas Posts.
                                                            Associated    Diversity
2nd Cluster: Feb - April for UK posts, and July -
Sept for Overseas Posts                               Learning & Skills   Postings Board Briefing
Staff Appointed In Country (SAIC) are able to
apply for a number of third country posts
overseas in the clusters within their current
grade. Where a post is open to SAIC this will be      Other Sources of    Corporate Calendar
made clear in the job advert. SAIC are not
eligible to apply for UK posts within the posting
                                                          Information
clusters. Each DFID overseas office operates its
own internal posting system for SAIC postings in
country, and these systems will vary from
country, to country dependent on the size of the
offices compliment, and the availability of
internal posting opportunities.
Fast stream posts are subject to a separate post
                                                               Contact    PostingsandPromotionsenquiries@dfid.gov.uk
bidding arrangement and have separate guidance
and posting timetable.
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   Compliance Tasks                                                                                                         Risks of Non-Compliance

   Corporate Human Resources (CHR)                                 Directors                                                • DFID is taken to an employment tribunal due

   Will operate the posting clusters by:                           8.   Directors are asked to provide CHR with                to an alleged breach of discrimination on
                                                                        divisional priorities for all posts advertised         race, gender sexual orientation, disability or
   1.   Providing notification via insight, that the posting
                                                                        within their responsibility by the date specified      religion. (Age from October 2006)
        cluster is being formed
                                                                        by HR within each posting cluster.
   2.   Arranging a sequential series of posting boards by                                                                  • Negative impact on staff morale.
        grade
   3.   Notifing both applicants and Departments/Offices of
                                                                   Staff
        the outcome of their application and to which post         9.   By the specified cluster dates, all HCS UK
        they will be posted                                             based staff who wish to apply for other UK
                                                                        posts in the cluster, must ensure their own post
   4.   Arranging follow up ‘mini clusters’ as necessary in the
                                                                        is advertised in the cluster. Staff should advise
        weeks following the cluster, to give those candidates
                                                                        line management and CHR if they intend to
        who have not secured one of their initial posting
                                                                        apply for posts in the cluster in good time to
        choices, the opportunity to apply for remaining
                                                                        allow adverts to be prepared for their post. UK
        unfilled posts.
                                                                        staff applying for overseas posts only should
                                                                        not advertise their existing post in the same
   Line Managers/Heads of Department/Heads of                           cluster. If they are successful in obtaining an
   Overseas Office                                                      overseas post, their UK based post will be
                                                                        advertised in the next cluster. If they are not
   Are required to:                                                     successful staff will continue in their existing
   5.   Place all adverts of known vacancies into the Job               UK post
        Vacancy System by the dates specified in insight cluster   10. DFID     staff    must  submit   web-base
        timetables                                                     applications for postings by the specified
   6.   Rank the suitability of each applicant by the date             posting cluster dates.
        specified by Human Resource (HR), basing any
        decisions solely on the paper evidence presented, and
        return this to CHR with narrative justification for
        rankings
   7.   Plan ahead to ensure the start date for staff moving to
        their new post falls within the appropriate postings
        windows (Feb to April, or July to Sept).




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                                                                              PROMOTION
Promotions
                                                            Processes and     Comprehensive Guidance on Promotion Procedures

                                                                    Tools     Guidance for Applicants - Promotions
                                                                              Guidance to UK Departments/Overseas Offices - Promotions
                                                                              Guidance for Applicants - Promotions in a Professional / Specialist Group
                                                                              Grievance Procedures
                                                                              Equal Opportunity Policy
Background
                                                                              Diversity Statement
DFID’s promotion procedures aim to provide a
                                                                              DFID Values
fair, transparent and efficient process for
                                                                              DFID Competency Framework
promotion that will:

• meet the present and future staffing needs of
   the Department                                               Associated    All promotion board members receive mandatory training covering:

                                                          Learning & Skills      equal opportunities/diversity
• ensure that quality standards are maintained                                   interviewing skills and techniques
   at all levels throughout the organisation                                     promotion board processes.
• preserve      professionalism    within      the
   organisation
                                                          Other Sources of    Corporate Calendar
• distinguish fairly between candidates on the
                                                              Information
   basis of merit

• provide staff with a clear framework for
   career advancement

• complement DFID's posting procedures.

Location specific boards will be held annually at
each level for DFID headquarters appointed
staff, subject to need.




                                                                   Contact    PostingsandPromotionsenquiries@dfid.gov.uk



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   Compliance Tasks                                                                                                                     Risks of Non-Compliance

   Home Civil Service (HCS)                                                 10. CHR will advise each applicant of the outcome of        • DFID does not promote people with the
   1.   For HCS staff there will be centralised annual promotion                his/her interview
                                                                                                                                           required skills and abilities
        rounds. Staff must apply for promotion by the closing date as
                                                                            11. Under grievance procedures, any appeals against
        advertised on insight, and within the Corporate Calendar                                                                        • Negative impact on DFID’s ability to achieve
        (usually in April). Staff are required to complete a standard           non selection for promotion will be considered by
        application form and copy their most recent AAFs and CV.                line managers, seeking guidance from CHR as                its goals
                                                                                necessary.
   Staff Appointed In Country (SAIC)                                                                                                    • DFID is taken to an employment tribunal due
   2.   For SAIC staff promotion opportunities are determined by            Board Chair
        vacancies within their home country office. Staff will be           12. The Human Resources (HR) Board Chair must                  to an alleged breach of discrimination on
        advised by their home base office when an internal                      ensure the arrangements for the interviews (room           race, gender, sexual orientation, disability or
        promotion opportunity exists, and how to proceed with a                 set-up, equipment, interview times etc) are
        promotion application.                                                                                                             religion. (Age from October 2006).
                                                                                appropriate
   Professional/Specialist staff                                            13. The HR Board Chair must ensure the conduct of the
   3.   Where staff are applying for professional, corporate specialist         board is appropriate and complies fully with all
        or other specialist promotion tickets, in addition to the               relevant guidance on promotion procedures,
        normal compliance tasks, they are required to complete the
                                                                                including Equal Opportunities and Diversity
        appropriate professional group application information. For
        some professional groups, (such as Economists and                   14. The HR Board Chair will provide feedback within 4
        Statisticians) promotion boards need to include external                weeks of it being requested, to staff who have
        board members in order to meet civil service wide standards.            attended promotion interview boards. The Board
   Heads of Department/Heads of Overseas Offices                                Chair will also arrange for line managers to be given
   4.   Must submit postings forecasts to Corporate Human                       feedback on why a member of staff was not called
        Resources (CHR) by early March.                                         for interview, within 4 weeks of such a request.

   Line management Reporting and Countersigning Officers                    Board Members
   5.   Should offer staff appropriate advice about their suitability for   15. Board members must individually assess applicants’
        promotion, and comment on their applications once                       suitability for promotion and provisionally score
        completed                                                               them using a scoring form. Scores must be returned
   6.   In order to assist their staff with career guidance, it is also         to CHR 48hrs before the board meets to finalise
        open to line managers where appropriate, to receive                     shortlists for interview
        information from a promotion Board Chair indicating why a           16. Each board will meet at least 2 weeks before the
        member of staff was not called for promotion interview.
                                                                                interviews are due to start and select those to be
   CHR                                                                          interviewed
   7.   By mid March CHR should predict the number of promotion
        opportunities likely to become available in next 12 months          17. Board members must conduct themselves in a way
                                                                                that complies fully with all relevant guidance on
   8.   By the end of March CHR should invite applications for                  promotion        procedures,      including  Equal
        promotion for all levels                                                Opportunities and Diversity. They must also
   9.   CHR will advise each candidate of the outcome                           maintain the confidentiality of the board, and not
        of the paper assessment at least 2 weeks before the                     reveal any information that they become aware of as
        interview date                                                          a result of their board participation.


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                                                                                                                                                  PERFORMANCE MANAGEMENT FOR SENIOR CIVIL SERVICE (SCS) STAFF
   Compliance Tasks                                                  Performance
   The performance year runs from April to March.
                                                                     Management for Senior                                      Processes and     Guidance to Performance Management and Pay for the SCS

   1. In April, the individual and their line manager must discuss   Civil Service (SCS) staff                                          Tools     SCS Competency Framework
      the job to be done and reach a performance agreement and
      development plan for the year ahead                                                                                                         SCS Pay Strategy
   2. In October, Mid Year Reviews must be completed                                                                                              How to Manage Probation
   3. The following April, End Year Performance Reviews for
      previous year must be completed by the line managers.          Background                                                                   Challenging Performance - Course Outline
                                                                     The SCS is a central resource with a common
   Risks of Non-Compliance                                           framework of terms and conditions and
                                                                                                                                    Associated    SCS to undergo the Reporting Officer (RO) training course before completing any
   • DFID accused of breach of equal opportunities policy, and       arrangements for career management and                                       reports. Periodic refresher RO courses are available from Training & Development Unit
     ultimately taken to Employment Tribunal or court                training across all Government Departments.
                                                                                                                              Learning & Skills
                                                                                                                                                  (TDU) on request
   • Staff training and development needs not assessed/              The Minister for the Civil Service has not
     identified/supported
                                                                     delegated SCS pay to individual Departments.
   • Poor quality performance management and reporting                                                                                            Grievance and Discipline Procedures: Section 8 of the Staff Handbook
     undermines effectiveness of moderating process
                                                                     The total reward package for the SCS is designed         Other Sources of
   • Poor staff morale.
                                                                     centrally to attract, retain, engage and motivate            Information     Corporate Calendar
                                                                     senior leaders, professionals, and specialists of                            Codes of Practice produced by Equal Opportunities Commission
                                                                     the right calibre to deliver business objectives.
                                                                                                                                                  Commission for Racial Equality
                                                                     Each year the independent Senior Salaries
                                                                                                                                                  Disability Rights Commission
                                                                     Review Body (SSRB) recommends the range of
                                                                                                                                                  Chartered Institute for Personnel & Development (CIPD)
                                                                     performance awards for base pay and the
                                                                     minimum bonus payment.

                                                                     Each Government Department has to have a Pay
                                                                     Committee and Pay Strategy in place to show
                                                                     how the Department will manage the process in
                                                                     line with central guidance.




                                                                                                                                       Contact    SCSCorporateCompliance@dfid.gov.uk



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                                                                                                                                                         PERFORMANCE MANAGEMENT (FOR STAFF A1 AND BELOW)
   Compliance Tasks                                                         Performance
   The performance reporting year runs from January to December.
                                                                            Management (for staff                                      Processes and     Staff Handbook : Performance Management Guidance

   January                                                                  A1 and below)                                                      Tools     Performance Development Plan and Annual Assessment Form Guidance
   1. The Jobholder (JH) must complete an Annual Assessment Form
      (AAF) for the year just ended by end January                                                                                                       Challenging Performance - Course Outline
   2. All line managers must include one objective in their PDP each year
      related to their management of performance and development            Background                                                                   Staff Handbook - Section 8: Grievance and Discipline Procedures
   3. The RO must hold a pre-appraisal discussion for previous year’s       Performance appraisal seeks to improve the
      performance by end January.
                                                                            performance of the individual and Department
   February                                                                 by focusing on performance, conduct and                                      RO to undergo the RO training course before completing any reports. Periodic refresher
   4. The PDP for the new year must be agreed by JH and RO by mid                                                                          Associated
                                                                            attendance.                                                                  RO courses are available from Training & Development Unit (TDU) (on request)
      February                                                                                                                       Learning & Skills
   5. The date for Mid Year Review (MYR) for the current year must          Staff must receive a “satisfactory or better”
      be agreed by mid February by JH and RO                                appraisal mark to qualify for increases under
   6. The RO must complete the AAF on the JH’s performance in the           DFID’s pay system.                                                           Special Achievement Awards Guidance
      previous year by end February.                                                                                                 Other Sources of
                                                                            The role of the Reporting Officer (RO) is to
   March
                                                                            manage performance in a fair and consistent
                                                                                                                                         Information     Corporate Calendar
   7. The CO must complete the AAF for the previous year by end March
   8. A job Appraisal Review (optional), for the previous year must         manner in accordance with DFID’s Equal                                       Equal Opportunities Commission: Codes of Practice
      be completed by the RO or CO, and the AAF signed off by the JH        Opportunities Policy, conduct reviews of
      by end March.                                                         progress with the Job Holder (JH) as necessary,                              Commission for Racial Equality
   End July                                                                 including formally at mid-year and at the end of                             Disability Rights Commission
   9. MYRs must be completed within two weeks of the agreed date.           the year, and encourage staff to take ownership
   Where new entrants start part way through year                           of their performance and development.                                        Chartered Institute for Personnel and Development (CIPD) Website
   10. Interim objectives must be agreed within 4 weeks and a full
       PDP agreed by the JH+RO within 12 weeks.                             The role of the countersigning officer (CO) is to
   Break reports if staff leave part way through year                       review the Performance and Development Plan
   11. A break report (AAF) must be completed and signed off (within        (PDP) in their area at the start of the year, to
       3 months) for any period of 3 months or more for JHs leaving         support and guide the RO during the year,
       part way through the year                                            maintain consistency of standards amongst
   12. Where individual performance is unsatisfactory, the RO must          reports that they countersign at the year end,
       consider implementing a Performance Improvement Action Plan.
                                                                            and conduct Job Appraisal Reviews (JARs) with
   Risks of Non-Compliance                                                  the JH. COs must monitor and intervene if they
                                                                            suspect any discrimination on grounds of
   •   DFID accused of breach of equal opportunities policy, and
       ultimately taken to Employment Tribunal or court                     gender, working pattern, ethnic origin, sexual
   •   Staff training and development needs not assessed/                   orientation, disability, religion or age.
       identified/supported
                                                                            Directors/Heads of Department/Heads of
   •   Poor quality performance management and reporting
       undermines effectiveness of promotions and postings systems
                                                                            Overseas Offices must ensure systems are in
   •   Poor staff morale
                                                                            place across their department/division/office for
   •   Cost to DFID in terms of time and money responding to
                                                                            effective performance management, monitor
       appeals about assessments, in terms of grievance and discipline      and report compliance and also monitor and                        Contact    PMSystemHelpline@dfid.gov.uk
       cases and ultimately possible employment Tribunals.                  intervene if they suspect any discrimination.


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                                                                                                                                                    DISCIPLINE
   Compliance Tasks                                                   Discipline
   The Standard Disciplinary Procedure is made up of 3 stages:
                                                                                                                                  Processes and     Staff Handbook: Guidance for Line Managers on Discipline and Dismissal

   1. Stage A – The Line Manager (at least B2 grade) writes to the
                                                                                                                                          Tools
      employee stating allegations and invites them to a
      disciplinary meeting, copied to the Discipline Officer. In                                                                      Associated    No mandatory training is required but Line Managers must be familiar with the
      cases of gross misconduct, action must always be at Head of                                                                                   disciplinary procedures. It is recommended that officers tasked with investigating
      Department/Head of Overseas Office level or higher                                                                        Learning & Skills
                                                                                                                                                    disciplinary issues should be trained in the necessary skills to undertake a fair and
   2. Stage B – The Disciplinary Meeting to be undertaken within      Background                                                                    reasonable investigation.
      21 working days of the invitation to attend. The Line
      Manager will communicate outcomes in writing setting out        The Employment Act 2002 (Dispute Resolution)
      outcomes and sanctions, and advises employee on the
      appeals process                                                 Regulations 2004. Regulations implementing
                                                                      the new statutory disciplinary procedures were            Other Sources of    Staff Handbook: Disciplinary Policy
   3. Stage C – Appeal - If the employee wishes to appeal this will
      be heard at the next level of management – to be made           issued in March 2004 ahead of implementation                  Information     Employment Act 2002 Dispute Resolution
      within 14 working days following receipt of the decision
                                                                      in October 2004, together with a new Code of                                  ACAS’s Code of Practice
      under Stage B
                                                                      Practice from Arbitrary Conciliation Advisory
   4. Where an allegation of fraud or corruption is being made                                                                                      The Civil Service Code
      this must be reported immediately to the Head of Internal       Service (ACAS).
      Audit Department or the Fraud Response Manager who will
      manage the necessary investigation.                             Organisations      must     have     disciplinary
                                                                      procedures in place by October 2004, both a 3-
                                                                      step procedure for use during employment, and
   Risks of Non-Compliance
                                                                      a modified 2-step procedure for when the
   • Failure to follow standard 3-step disciplinary process where
     it applied to suspension without pay or reduced pay, or          employee is no longer employed.
     dismissals involving capability, conduct, redundancy or
     some other substantial reason will make dismissal                These procedures cover matters of both
     automatically unfair procedurally. Minimum award of 4            dismissal and other disciplinary proceedings in
     weeks pay but this is not a set figure.
                                                                      respect of both unacceptable behaviour at work
                                                                      (usually called misconduct), and poor or
                                                                      unacceptable performance at work (capability).

                                                                      If an associated grievance is raised, the Line
                                                                      Manager may wish to put the disciplinary
                                                                      process on hold and investigate the grievance
                                                                      and then, if necessary, return to the disciplinary
                                                                      process later.
                                                                                                                                         Contact    DisciplineOfficer@dfid.gov.uk



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                                                                                                                                                   GRIEVANCE
   Compliance Tasks                                                   Grievance
   1. Stage A - The person with a grievance writes formally to
                                                                                                                                 Processes and     Staff Handbook: Guidance for Line Managers on handling Grievances
      their Line Manager setting out their complaint, copied to the                                                                      Tools
      Grievance Officer
                                                                                                                                                   No mandatory training is required but Line Managers must be familiar with the
   2. Stage B – The Line Manager considers the written grievance                                                                     Associated
      and carries out any investigation or consultation as may be                                                                                  grievance procedures. It is recommended that officers tasked with investigating
      required. Before reaching a decision the employee must be                                                                Learning & Skills   grievance issues should be trained in the necessary skills to undertake a fair and
      invited to a meeting to discuss the matter. Stage B should be                                                                                reasonable investigation.
      completed within 21 working days. The Line Manager then         Background
      takes a decision and communicates the outcomes in writing
      to the complainant                                              The Employment Act 2002 (Dispute Resolution)
                                                                      Regulations 2004.    Regulations implementing                                Staff Handbook: Grievance
   3. Stage C – AppeaI - If the complainant wishes to appeal this                                                              Other Sources of
      is heard at the next level of line management and must be       the new statutory disciplinary procedures were
      made within 14 working days following receipt of the result                                                                  Information     Employment Act 2002 Dispute Resolution
      of the meeting at Stage B
                                                                      issued in March 2004 ahead of implementation
                                                                      in October 2004, together with a new Code of                                 ACAS’s Code of Practice
   4. Where a grievance relates to suspected fraud or corruption
      this must be raised immediately with the Head of Internal       Practice from Arbitrary Conciliation and                                     The Civil Service Code
      Audit Department or the Fraud Response Manager who will         Advisory Service (ACAS).
      manage any subsequent investigation.
                                                                      Organisations must have a grievance procedure
                                                                      in place by October 2004. A 3-step procedure
   Risks of Non-Compliance
                                                                      for use during employment, and a modified 2-
   • Failure to follow standard 3-step grievance process can
     invalidate the procedure requiring that the grievance is dealt   step procedure for when the employee is no
     with at a higher level.                                          longer employed.

                                                                      A grievance is defined as “A complaint brought
                                                                      by an employee about their work, or about actions
                                                                      (by their employers, their employers’ clients or
                                                                      their fellow employees) which affect them.”

                                                                      Serious issues raised could lead to the grievance
                                                                      procedure being put on hold while disciplinary
                                                                      investigations are undertaken.



                                                                                                                                        Contact    GrievanceOfficer@dfid.gov.uk



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                                                                                                                                                          STAFF APPOINTED IN COUNTRY (SAIC) PAY DETERMINATION
   Compliance Tasks                                                    Staff Appointed In
   Heads of Overseas Offices
                                                                       Country (SAIC) Pay                                               Processes and     Guidance on the Principles of Pay Determination.

   1. An external benchmarking exercise to establish rates of pay      Determination                                                            Tools
      and terms and conditions must be conducted by either
      external consultants or qualified DFID staff. Benchmarking
      exercises must conform to corporate guidance                                                                                          Associated    Staff or external consultants undertaking pay reviews must be able to show
                                                                                                                                                          demonstrable experience of their ability to conduct such reviews.
   2. Affordability must be factored into any pay deal                                                                                Learning & Skills
   3. Treasury guidance insists that we consult with FCO locally       Background
      when undertaking such reviews                                    Her Majesty’s Treasury (HMT) Delegation states
                                                                                                                                      Other Sources of    Comprehensive Guidance on methodology is available from HRD, in the form of a
   4. DFID offices must collect tax at source or, where this is not    that DFID's Staff Appointed In Country (SAIC)                                      software package (with audio instruction).
      practical, encourage staff to meet their own tax liability and
                                                                       must be paid according to the local market.                        Information
      offer them tax advisory support in doing so
                                                                       Overseas offices, therefore, need to undertake
   5. Auditable records of all data used to produce pay proposals
                                                                       fundamental pay reviews to ensure that they are
      must be maintained on file and copied to SAIC section,
      HRD.                                                             paying comparable wages to staff working for
                                                                       other local employers doing similar work.
   Regional Directors
                                                                       Fundamental pay reviews should be undertaken
   6. Regional Directors approval must be sought for all pay
                                                                       about every 5 years or when a Head of Overseas
      awards.
                                                                       Office provides evidence to Human Resources
   HRD                                                                 Division (HRD) that the office is facing a
   7. HRD are responsible for producing and maintaining                recurring recruitment and retention problem.
      corporate guidance.                                              Wage inflation in-country should be monitored
                                                                       on an annual basis.

   Risks of Non-Compliance                                             We should not lead the market but our salary
                                                                       scales need to attract the right staff with the right
   • Loss of skilled local staff if we do not keep pace with the
     local market salary trends                                        skills. Pay is therefore determined by comparison
                                                                       with competing organisations in the local market
   • Failure to recruit and retain the right staff
                                                                       taking into account affordability issues.
   • Penalties imposed by Treasury for failure to follow delegated
     pay guidelines.                                                   The range and depth of benchmarking/salary
                                                                       comparison exercises will vary, depending on
                                                                       whether it is a fundamental or interim/annual
                                                                       review. For annual reviews, overseas offices may
                                                                       take a lighter touch in surveying e.g. simply
                                                                       contacting comparators for details of their pay                         Contact    SAICPayCorporateCompliance@dfid.gov.uk
                                                                       plans. All information must be kept on file.

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                                                                                 MAXIMISING ATTENDANCE
Maximising Attendance
                                                               Processes and     Maximising Attendance Guidance
                                                                       Tools     Inland Revenue Guidance on Statutory Sick Pay
Background
DFID has recently introduced a new absence
                                                                   Associated    All staff at Band B and above are required to attend a mandatory half day training
management       policy   entitled     “Maximising                               course which supports the new guidance, and clarifies the responsibilities managers
                                                             Learning & Skills
Attendance”. The policy and guidance is aimed                                    have to ensure compliance of the policy.
at encouraging good attendance and to enable                                     A Resource Pack explaining the background to the policy and summarising the training
an environment where people are treated                                          is being drafted and will be made available to all Overseas Offices. The Head of Office
responsibly and fairly and are fit to work.                                      will be responsible for ensuring that staff receive this training.

The policy, and the subsequent processes
involved, is specifically for Home Civil Service                                 DFID Policies on:
                                                             Other Sources of
(HCS) staff. Overseas Offices have been asked
                                                                 Information     Conduct and Discipline
to adapt this policy, in line with best practice, to
                                                                                 Health and Safety
reflect the local context in relation to attendance
management for Staff Appointed in Country                                        Performance Management
(SAIC).                                                                          Disability Discrimination Act

The    policy    highlights    staff    roles   and                              Cabinet Office Website
responsibilities, the support provided by Human                                  Welfare and Counselling Services: Employee Assistance Package
Resources Division (HRD), introduces a formal
process when staff return to work after a period
of sick absence, and introduces attendance
review meetings for managers to undertake
when staff reach a trigger point (10 days or 5
absences in a 12 month period).

Staff will be required to report absences on
“Yourself“   through the Absence Management
Section (AMS).       This will constitute self-
certification of the absence as sick leave.                           Contact    MaxAttendance@dfid.gov.uk



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   Compliance Tasks                                                                                                     Risks of Non-Compliance

   Staff                                                               managers are required to have an Attendance      • Potential claims against the Department, and
                                                                       Review Meeting with the member of staff.            financial losses due to Employment Tribunal
   1.   All staff are now required to report any sick absence by
                                                                       Earlier meetings should be held if managers         pay-outs
        10am on the first day of absence to their line manager,
                                                                       believe that a regular pattern of absence has
        and make contact again on 4th and 7th day of absence.                                                           • Ability of DFID to meet its targets, and for
                                                                       emerged. The meeting can be both informal
        Should the absence be longer than 7 days an
                                                                       and formal – managers will decide when it will      teams to achieve objectives if cover is not
        agreement to keep in touch with your manager should
                                                                       be necessary to formally record the discussion      available
        be discussed
                                                                       and action points on file
   2.   Staff should forward medical certificates to HRD via                                                            • High absenteeism and retention of staff;
                                                                   10. Managers must confirm that an Attendance
        line managers (sealed in an envelope if required)                                                                  morale reduced
                                                                       Review meeting has taken place on Yourself.
        throughout continuous absences of more than 7 days –
                                                                                                                        • Investors in People accreditation is not
        including weekends
                                                                                                                           retained.
   3.   On return to work staff are required to complete the       Heads of Department/Heads of Overseas
        AMS section on Yourself.                                   Offices
                                                                   11. Heads of Department should monitor sick
                                                                       absence within their department and ensure
   Managers
                                                                       staff are made aware of the importance of good
   4.   Managers are required to monitor absences and to help          attendance.
        staff make an effective and supportive return to work
   5.   Managers should retain contact with staff on longer
                                                                   Human Resources Customer Services &
        term absences only through agreement reached with
                                                                   Support (HRCSS)
        the staff member – staff are not required to provide
        managers with telephone numbers                            12. HRCSS are responsible for providing support
                                                                       and guidance to enable the policy to work
   6.   Staff are not required to divulge the nature of their
                                                                       effectively in DFID.
        illness to managers
   7.   When staff return to work managers are required to
        undertake a Welcome Back discussion
   8.   Managers are required to confirm that the Welcome
        Back discussion took place through the Absence
        Management section on Yourself
   9.   If staff members have over 10 days absence, or 5
        separate periods of absence, over a 12 month period,

Essential Guide to Rules & Tools                                                                                                                                         E 11




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                                                                                                                                                         YOURSELF
   Compliance Tasks                                                      Yourself
   All Staff must:
                                                                                                                                       Processes and     Yourself

   1. Maintain the integrity of the information held on the HR
                                                                                                                                               Tools     Yourself Launch
      database it is essential that all DFID staff regularly                                                                                             Yourself Webcast
      review/update their own personal details using Yourself
                                                                                                                                                         Yourself and DFID Connect
   2. Ensure that their performance management reporting line
      details on Yourself are accurate since this affects a wide
      range of DFID corporate systems                                    Background
   3. Fully comply with the department’s prescribed Information                                                                            Associated    There is an interactive demo available within the Yourself log-in page.
      Systems (IS) security protocols, particularly in relation to not   Yourself is DFID’s self-service platform which
      leaving their computer terminals without appropriate screen        allows DFID salaried staff, based in both                   Learning & Skills
      saver protection.
                                                                         overseas offices and the UK, to enter and update
                                                                         their personal/work details held on the Human               Other Sources of    Essential Guide to Rules and Tools: Information Technology Systems in DFID
   Risks of Non-Compliance                                               Resources (HR) database. Any changes made on                    Information     Maximising Attendance Guidance
   • Personal information on the HR Database will be inaccurate          Yourself, updates the HR Database in real time.
                                                                         The HR database supports a significant number                                   Performance Development Plan (PDP) and Annual Assessment Form (AAF) Guidance
   • Related DFID systems relying on data held on the HR
     database (particularly DFID Connect) will be compromised            of other DFID Information System (IS) processes,
   • HR Staff will have to undertake nugatory administrative             such as DFID Connect, Absence Management
     effort to correct/update personal data
                                                                         System, and the Annual Assessment Form
   • Staff will not be able to complete key performance
     documentation such as AAF/PDP                                       (AAF)/Performance and Development Plan
                                                                         (PDP) process.
   • Staff will not be able to use DFID’s automated sick absence
     recording systems, and/or sick absence details could be sent
                                                                         Yourself also provides DFID staff with a number
     to wrong Reporting Officers.
                                                                         of value adding processes such as on-line
                                                                         payslips, online CVs/application forms, and
                                                                         automated    absence    recording.      Individual
                                                                         Yourself screens include personal information
                                                                         which staff should protect.




                                                                                                                                              Contact    Team7HelpDesk@dfid.gov.uk.



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                                                                                                                                             ANNUAL LEAVE, CAREER BREAKS, SPECIAL LEAVE AND PARENTAL LEAVE
                                                                Annual Leave, Career
                                                                Breaks, Special Leave                                      Processes and     Staff Handbook: Section 4.3: Leave

                                                                and Parental Leave                                                 Tools     Staff Handbook: Section 4.4: Parental Leave
                                                                                                                                             SAIC Minimum Employment Standards
                                                                                                                                             Staff Handbook: Section 5: Re-imbursement of Childcare Costs

Background                                                      Career Breaks cont...
                                                                DFID staff who have passed their probationary                  Associated    None
Annual Leave
Annual leave allows staff time off for rest and relaxation,
                                                                period and have a good record of performance,            Learning & Skills
                                                                attendance and conduct may apply for Career
to fulfil their social and family obligations and pursue                                                                 Other Sources of    Finding a Fit: Guide to Flexible Working
                                                                Breaks.
leisure activities. It is very important that staff use their                                                                Information     Maximising Attendance Guidance
full entitlement. DFID aims to maximise attendance              Special Leave
and provide greater work-life balance by offering greater       There is no entitlement to special leave. Staff are
flexibility within the annual leave arrangements, with          expected to use annual leave or the flexible
leave now calculated in hours (entitlement details are in       working options. But depending on the
the staff handbook).                                            circumstances, DFID may decide to offer

Staff Appointed In Country (SAIC) annual leave                  Special Leave With Pay (SLWP) or Special Leave

entitlement varies according to local law, but it should        Without Pay (SLWOP).

not be less than the UK statutory minimum of 20 days            Parental Leave
for full time staff (excluding public & privilege holidays).    This is a form of unpaid special leave, provided
Sick Leave                                                      for under UK law, which enables parents to look

Sick leave arrangements are covered under the separate          after their children or to make arrangements for

Maximising Attendance template                                  the child’s welfare.

Career Breaks                                                   The same principles relating to Career Breaks,
                                                                Special Leave and Parental Leave apply to Staff
A career break is an agreed period of absence from work
                                                                Appointed In Country (SAIC), however this is at
without pay for up to five years. It is intended to help
                                                                the discretion of Heads of Offices and the
staff with domestic responsibilities such as the care of
                                                                entitlement to Parental Leave is not underpinned
young children, elderly relatives or to accompany a
                                                                by legislation.
                                                                                                                                  Contact    ECPUCorporateCompliance@dfid.gov.uk
partner on a posting if they work for HMG.


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   Compliance Tasks                                                                                                                                                                           Risks of Non-Compliance

   Annual Leave                                                   Special Leave with Pay(SLWP)                                   10. SLWOP will not reckon for annual leave allowances        DFID needs to be responsive in order to meet
                                                                                                                                     or for pension purposes in the UK                        the needs of our staff, in relation to annual leave
   1. Job-holders are responsible for calculating leave           4. The award of SLWP will not normally exceed one
                                                                                                                                                                                              or in special circumstances. If we fail to do so,
       entitlement and managers are responsible for                  week. The amount of paid leave granted in each case         11. The final decision will rest with HRD (Heads of
                                                                                                                                                                                              we risk:
       authorising and monitoring use                                will be decided according to the circumstances.                 Overseas Offices for SAIC), in consultation with
                                                                     Special Leave with Pay is reckonable for pension                managers and Heads of Departments.                       • Losing quality staff with skills that are vital to
   2. Managers must ensure sufficient staffing levels at all
                                                                     purposes in the UK                                                                                                          the organisation
       times to meet business needs i.e. job-holders cannot
       claim the right to take leave at any particular time of    5. The final decision will rest with HRD (Heads of                                                                          • Increased sick absence rates
                                                                                                                                 Parental Leave
       the year                                                      Overseas Offices for SAIC), in consultation with                                                                         • Reduced staff morale
                                                                                                                                 12. Parents – natural or adoptive parents –can qualify for
                                                                     Managers and Heads of Departments.
   3. The best way to meet both individual and business                                                                              parental leave if they have had a baby or adopted a      • Increased stress levels
       needs is to plan leave well in advance and ensure it is                                                                       child on or after 15 December 1994. Staff may be
                                                                                                                                                                                              In the case of Parental Leave, we risk legal action
       agreed with managers
                                                                  Special Leave without Pay (SLWOP)                                  eligible to take up to 13 weeks unpaid leave until the
                                                                                                                                                                                              should we not comply with the supporting
   4. Both managers and their staff must ensure all leave is                                                                         child’s 5th birthday (or until March 2005 in the case
                                                                  6. Staff have a statutory right to a reasonable amount of                                                                   legislation.
       taken, with limits to the level of carry-over allowed.                                                                        of children born or adopted between 15 December
                                                                     time off work to deal with certain unexpected or
                                                                                                                                     and 14 December 1999) or, if the child has a
                                                                     sudden emergencies. It applies from day one of
                                                                                                                                     disability up to the 18th birthday
                                                                     starting work in DFID
   Career Breaks
                                                                                                                                 13. The criteria for awarding Parental Leave is explained
                                                                  7. Short Term SLWOP is usually for a period up to
   1. Applications must be made to Human Resources                                                                                   in the Staff Handbook. Each parent is entitled to take
                                                                     3 months
       Customer Services & Support (HRCSS) (Heads of                                                                                 13 weeks parental leave for each child.
       Overseas Offices for SAIC) through Managers and            8. Staff make a case to HRCSS through their manager
       Heads of Departments/Overseas Offices                         (Heads of Overseas Offices for SAIC)

   2. DFID will include staff in the Keep in Touch scheme         9. Long Term SLWOP may be granted for periods of up
       and keep them up to date about Postings and                   to 2 years. Although all efforts will be made to
       Promotion Rounds                                              allocate staff a post on their return, the timing of this
                                                                     cannot be guaranteed
   3. Staff have the right to return from a career break at the
       same grade, but not in the same job, as they left.




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                                                                                                                                        MATERNITY, PATERNITY AND ADOPTION RIGHTS
                                                       Maternity, Paternity
                                                       and Adoption Rights                                            Processes and     Staff Handbook: Section 4.4: Maternity, Paternity, Adoption, Parental Leave and
                                                                                                                                        Entitlements
                                                                                                                              Tools
                                                       Background                                                                       DTI Maternity, Paternity and Adoption rights' summaries

                                                       DFID provides, as a minimum, the UK statutory                                    The Inland Revenue
                                                       maternity and adoption leave and pay package for
                                                       UK based staff working in the UK and overseas and                                ACAS Family Friendly Policies
                                                       non-UK nationals recruited in the UK. We provide
                                                                                                                                        Maternity Alliance
                                                       a significantly enhanced contractual package for
                                                       pregnant employees and adoptive parents who                                      DTI Tailored Interactive Guidance on Employment Rights (TIGER)
                                                       meet certain conditions, based on length of service
                                                       and a commitment to return to work for at least one                              SAIC minimum employment standards
                                                       month after their period of leave.
                                                       Overseas offices are expected to apply the
                                                       principles set out in the Staff Handbook to Staff                                None
                                                       Appointed In Country (SAIC), and to observe any                    Associated
                                                       additional local labour laws. SAIC’s maternity               Learning & Skills
                                                       leave provisions should accord with local domestic
                                                       employment legislation, custom and practice, or if
                                                       more favourable, the UK standards. SAIC will
                                                                                                                    Other Sources of    Legislation:
                                                       receive the more favourable package – picking the
                                                       best bits from each package is not permitted.                    Information     Employment Rights Act 1996
Risks of Non-Compliance                                As maternity and adoption rights are particularly                                Employment Relations Act 1999
                                                       complicated, staff should consult the Staff Handbook
DFID needs to be responsive in order to meet           for full details. In précis, however, maternity rights                           Employment Act 2002

the needs of our employees in relation to              fall into the following main headings:                                           Maternity and Parental Leave etc Regulations 1999
                                                       1. Health and Safety at Work                                                     Maternity and Parental Leave (Amendment) Regulations 2002
maternity rights. If we fail to do so, we risk:
                                                       2. Time off for antenatal care
                                                                                                                                        Working Time Regulations 1998
• Losing quality staff with skills that are vital to   3. Maternity leave
                                                       4. Maternity pay or benefit and                                                  Equal Pay Act 1970
   the organisation
                                                       5. Protection against unfair treatment or dismissal,                             Sex Discrimination Act 1975
• Increased sick absence rates                             and the right to return to work.
                                                                                                                                        Social Security Act 1989
• Reduced staff morale                                 DFID’s paternity provision exceeds the statutory
                                                                                                                                        A guide to maternity benefits (NI 17A)
                                                       limits in that all eligible fathers are entitled to two
• Increased stress levels                              weeks leave on full pay. Full details are in the                                 Working fathers: Rights to paternity pay and leave
                                                       Staff Handbook.
• Discrimination claims.                               Adoption rights broadly reflect maternity and
                                                       paternity rights.                                                     Contact    ECPUCorporateCompliance@dfid.gov.uk
In additional to a moral responsibility to support
staff, DFID has a legal responsibility to follow
Government Legislation.
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   Compliance Tasks
   1.   The compliance tasks below reflect UK entitlements. The           qualifying but not reckonable service for pension                 other reason why it is not reasonably practicable for the           • Continue to work for DFID until the date of
        compliance requirements for SAIC will vary from country           purposes. It does not count for assessing seniority or pay        employer to take her back in her original job in which                placement.
        to country, depending on local law and whether UK                 progression.                                                      case she is entitled to be offered a suitable alternative
        standards are more favourable.                                                                                                                                                                     26. To take advantage of adoption leave:
                                                                                                                                            vacancy.
                                                                     10. All pregnant employees must take at least two weeks                                                                                   • An employee must tell DFID of their
   Maternity Rights                                                      compulsory maternity leave from the date of giving birth.     Paternity Rights                                                            intention to take adoption leave within 7
   Health and Safety                                                                                                                   19. Employees who meet the following qualifying conditions                  days of being told that they have been
                                                                     Maternity Pay
   2. DFID must assess the risks to the health and safety of                                                                               will be entitled to 10 days paternity leave on full pay. They           matched with a child for adoption, unless
                                                                     11. To take advantage of any maternity pay for which they may
       employees who are pregnant, have recently given birth or                                                                            must:                                                                   this is not reasonably practicable
                                                                         be eligible, a pregnant employee must give proper
       are breastfeeding. The Risk Assessment Officer must advise                                                                          • Have worked continuously for DFID for 26 weeks                    • They must also say when they expect the
                                                                         notification and certification to HRCSS (as at Maternity
       any action to ensure they are not exposed to those risks,                                                                               ending with the 15th week before the baby is due                    child to be placed with them and when
       including the offer of suitable alternative employment.           Leave above).
                                                                                                                                           • Be the biological father or the mother’s husband or                   they want the leave to start
   Antenatal Care                                                    12. A pregnant employee with less than 41 weeks service                                                                                   • Provide documentary evidence (usually a
                                                                                                                                               partner, and
   3. A pregnant employee must be given a reasonable amount              before the EWC is not entitled to payment from DFID                                                                                       matching certificate) from the adoption
                                                                         while on maternity leave. HRCSS must explain why she              • Have or expect to have responsibility for the baby’s
       of paid time off to keep antenatal appointments, relaxation                                                                                                                                                 agency
                                                                         does not qualify and provide her with form SMP1 as soon               upbringing.
       classes etc.                                                                                                                                                                                            • All eligible adopters are entitled to 26
                                                                         as possible.                                                  20. To take advantage of paid paternity leave the employee
   Maternity Leave                                                                                                                                                                                                 weeks Ordinary Adoption Leave followed
                                                                     13. A pregnant employee with more than 41 but less than 63            must tell HRCSS, in writing, no later than the end of the               immediately by 26 weeks Additional
   4. To take advantage of maternity leave, a pregnant
                                                                         weeks continuous service by the EWC may qualify for               15th week before the expected date of childbirth of when                Adoption Leave.
       employee must tell HRCSS, no later than the end of the
                                                                         Statutory Maternity Pay from DFID for up to 26 weeks              they wish to take the leave. This can be changed provided
       15th week before her baby is due or as soon as reasonably                                                                                                                                           27. Adoption Leave can start no earlier than 14
                                                                         while on OML. (Full qualifying conditions are set out in          the employee gives 28 days notice.
       practicable:                                                                                                                                                                                            days before, and no later than, the
       • That she is pregnant                                            the Staff Handbook).                                          21. With the agreement of line managers, Paternity Leave can            placement date.
       • The expected week of childbirth (EWC) and,                  14. A pregnant employee with more than 63 weeks                       be taken in whole weeks or single days.
                                                                                                                                                                                                           Adoption Pay
       • The date she intends to start her maternity leave.              continuous service may qualify for full pay for 26 weeks      22. Any paid benefits will be counted as continuous
                                                                         while on OML. (Full qualifying conditions are set out in                                                                          28. Most employees who are eligible for adoption
                                                                                                                                           employment and will therefore count towards seniority,
   5.   An employee can change her intended leaving dates as             the Staff Handbook).                                                                                                                  leave will be will be entitled to at least
                                                                                                                                           pension rights, pay progression etc.
        long as she gives 28 days notice.                                                                                                                                                                      Statutory Adoption Pay during their period of
                                                                     Protection Against Unfair Dismissal and the Right to              Adoption Rights                                                         Ordinary Adoption Leave.
   6.   DFID must respond to the employee within 28 days telling     Return to Work
        her the date on which she is due to return to work.                                                                            23. Adoption leave and pay is available to individuals who          29. If an employee does not qualify for Statutory
                                                                     15. DFID cannot dismiss an employee during her pregnancy,             adopt and to one member of a couple where a couple                  Adoption Pay, HRCSS must explain why
   7.   The employee must provide a maternity certificate                 ordinary or additional maternity leave, or select her for        adopt jointly. The couple may choose which partner takes            and provide them with form SAP1 as soon
        (normally MAT B1) no earlier than 20 weeks before                 redundancy in preference to other comparable                     adoption leave. Paternity Leave and Pay may be available            as possible.
        the EWC.                                                          employees, solely or mainly because she is pregnant or           to the other member of the couple.
                                                                          given birth.                                                                                                                     30. Employees who have worked continuously for
   8.   All pregnant employees are entitled to 26 weeks Ordinary                                                                       24. Adoption Leave and Pay rights largely mirror those for              52 weeks ending with the week in which they
        Maternity Leave (OML) provided that the notification         16. DFID must follow Government Legislation and notify                Maternity and Paternity Leave and Pay as described above.           are notified of being matched with a child will
        requirements are met. OML must start no earlier than the         employees of significant dates.                                   Additional or specific conditions are described below.              be eligible for full pay during Ordinary
        11th week before the EWC. It may be paid or unpaid (see                                                                                                                                                Adoption Leave.
        Maternity Pay below) and counts for assessing seniority,     17. An employee returning to work after OML has the right to      Adoption Leave
        pension rights, pay progression.                                 return to the same job with the same terms and conditions     25. To qualify for adoption leave an employee must:                 31. Additional Adoption Leave is unpaid.
                                                                         as if she had not been absent (unless a redundancy                • Be newly matched with a child under 18 years old for
   9.   All pregnant employees who have 26 weeks continuous              situation has arisen).
        service by the beginning of the 14th week before the EWC                                                                              adoption by an adoption agency
        have the right to Additional Maternity Leave (AML) of up     18. An employee returning to work after AML is entitled to            • Have worked continuously for DFID for 26 weeks
        to 26 weeks. This is unpaid leave, which must begin              have the same job back on the same terms and conditions,             leading to the week in which they are told they have
        immediately after the period of OML. It counts as                unless a redundancy situation has arisen or there is some            been matched with a child


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                                                                                                                                                           FLEXIBLE WORKING
   Compliance Tasks                                                    Flexible Working
   1. Line Managers should ensure staff who are working on a
                                                                                                                                         Processes and     Finding a Fit: Guide to Flexible Working
      FWH scheme record their hours on a flexi sheet, which they                                                                                 Tools     The Employment Act 2002: Policy Guidance
      must sign off on a monthly basis
                                                                       Background                                                                          Diversity inSight page
   2. Line managers should give due consideration to all flexible
      working requests from staff and seek to negotiate a suitable     DFID offers a wide range of flexible working
      compromise should the initial request not be viable. Line        patterns in order to support the individual needs
      managers are responsible for ensuring work is delivered,         of our staff, allowing them to balance the
                                                                       demands of work and their commitments outside                         Associated    None
      while trying to meet the needs of individuals wherever
                                                                       the office. Flexible working also helps DFID
      possible. New arrangements can be tested on trial for a
                                                                       deliver its agenda more effectively.
                                                                                                                                       Learning & Skills
      period of up to 6 months
   3. Heads of Overseas Offices should consider flexible working       DFID offers most staff, including Staff Appointed
      requests from SAIC and UK-Based staff on a case-by-case          In Country (SAIC), two ways in which they may                                       Staff Handbook: Section 4.2 and Section 4.4
      basis. All requests should be given due consideration, taking    work their contracted hours:                                    Other Sources of
      into account the structural and logistical constraints that      Standard Hours: Staff are likely to start and finish                Information
      apply in overseas offices                                        at set times, with limited time and duration for
   4. If a request for flexible working cannot be met and no           lunch breaks etc. Flexibility is allowed with your
      alternative can be agreed, line managers must clearly            manager’s agreement, however staff may not build
      outline the business reasons for this in writing to the          up additional hours and convert them into leave.
      individual, Head of Department/Overseas Office and               Flexible working hours scheme (FWH): This
      Human Resources Customer Services & Support (HRCCSS)             offers flexibility on the hours worked by staff and
   5. Managers must follow DFID’s policy on discouraging long          allows them to work additional hours and convert
      hours working on a regular, long-term basis. Line-managers       them into leave, up to 3 days every 4-week period.
      must ensure the health and safety of their staff and ensure no   Other types of flexible working that DFID offers
      member of staff exceeds the times specified in the Working       include:
      Time Regulations 1998                                                 • Reduced Hours working
   6. Generally, ad-hoc arrangements to work flexibly only require          • Job Sharing
      the agreement of your line-manager, whereas more formal               • Compressed Hours
      arrangements should be copied to your personnel officer.              • Remote Working
                                                                            • Term-time working.
                                                                       The Employment Law 2002 rules that all staff with
   Risks of Non-Compliance                                             a child under the age of 5 or a disabled child
   Evidence has proved that staff are attracted to DFID because of,    under the age of 18 have the right to apply for
   amongst other things, its comprehensive work/life balance           flexible working and DFID has a duty to give each
   policies. If DFID fails to take account of our staffs’ need or      requests its full consideration. This right applies to
   desire to work flexibly, we may risk:                               all permanent or fixed term staff in the UK, as
   • Not being able to retain quality staff that possess skills that   long as they meet the necessary criteria outlined
      are vital to the organisation                                    in the act.
   • Increased sick absence rates                                      SAIC are entitled to apply for any form of flexible
   • Reduced staff morale                                              working, however it is at the discretion of the
                                                                       Head of Overseas Office to decide whether it is
                                                                                                                                                Contact    ECPUCorporateCompliance@dfid.gov.uk
   • Increased Stress Levels.
                                                                       possible to grant this.


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                                                                                                                                                 SECONDMENTS AND INTERCHANGE
   Compliance Tasks                                               Secondments and
   Staff
                                                                  Interchange                                                  Processes and     Secondments Guidelines

   1. Staff members or Departments requesting a secondment
                                                                                                                                       Tools
      must first complete either an inward or outward
      business case.
                                                                                                                                   Associated    None
   Heads of Department
                                                                                                                             Learning & Skills
   2. Heads of Department, Profession and Directors must take     Background
      an overview of both staffing and business needs before
      supporting a secondment request                             In line with the rest of Whitehall, DFID’s policy                              The Cabinet Office: Guidance for Secondment opportunities
                                                                                                                             Other Sources of
   3. All business cases must be agreed by the Head of            is   to   encourage    inward    and    outward
      Department/Overseas Office. Final approval rests with the                                                                  Information
                                                                  secondments where there is a benefit both to the
      Head of HRCSS. All business cases must be copied to the
      Secondments Team.                                           business and to the development needs of staff.
                                                                  A business case is required before a secondment
   Human Resources Customer Services & Support (HRCSS)
                                                                  can be approved. Requests for special leave in
   4. All inward secondees must have security clearance,
      organised by HRCSS, before starting their secondment        order to take up employment opportunities in
   5. HRCSS are responsible for agreeing Letters of Agreement     other organisations will be judged by the same
      and temporary contract variations for inward secondees.     standards. Proposals for individual extensions
                                                                  restrict our ability to approve new opportunities

   Risks of Non-Compliance                                        and will not normally be entertained.        This
                                                                  compliance template applies to UK based staff.
   • Secondees unable to take up position
                                                                  Secondment of Staff Appointed In Country
   • Failure in duty of care to staff and others
                                                                  (SAIC) staff should be arranged by the
   • Detrimental impact on staff resourcing and planning.
                                                                  employing DFID country office, although this
                                                                  template and associated guidelines may
                                                                  be followed.




                                                                                                                                      Contact    Secondments@dfid.gov.uk



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                                                                                WORKFORCE AND DEVELOPMENT PLANNING
Workforce and
Development Planning                                          Processes and     Performance Management System and Performance Development Planning
                                                                      Tools     Training and Development Unit’s Website
Background                                                                      Staff Development Plans
To maximise its impact DFID needs to place the
right staff with the right skills in the right jobs at
the right time. This requires good planning,                      Associated    As identified by line managers to ensure jobholders comply with corporate policy and
                                                                                are able to work safely and effectively e.g. induction, reporting officer.
forecasting, job design, specification and                  Learning & Skills
grading, good selection processes, and good
arrangements for identifying and developing
talent. The quality of the partnership between              Other Sources of    Corporate Human Resources inSight Page
Human Resources Division (HRD) and the rest                     Information
of the business is critical, with all parties being
clear about their respective responsibilities.

At an individual level, all staff are responsible
for their continual learning and professional
development, while line managers must ensure
that an enabling learning and development
environment is created.

They are responsible for supporting individuals
through the Performance and Development Plan
(PDP) process. This includes helping individuals
analyse the learning and training implications of
their future work, as well as evaluating the
impact of any previous learning activity on their
performance.

Individuals will ensure information about their
learning and development is collated at the
department/business unit level, to inform the
Staff Development Plan (SDP).

Training and Development Unit (TDU) is                               Contact    TDU-ComplianceEnquiries@dfid.gov.uk
available to support this process.


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   Compliance Tasks                                                                                                             Risks of Non-Compliance

   Divisions, Departments and Overseas Offices                         support of their work objectives, their development      • DFID will fail to make optimum use of the
                                                                       in their job and any longer term-career related             resources and people at its disposal
   1. All Heads should comply with Human Resources Division’s
                                                                       learning goals
      (HRD) requests for staffing forecasts
                                                                                                                                • Individuals will not receive the support and
                                                                    8. All staff with line management responsibilities
   2. All Heads should ensure that every job within their                                                                          development they need
                                                                       should include one management related PDP
      respective commands is properly specified and designed
                                                                       objective
      and appropriately graded                                                                                                  • Poor individual motivation and performance
                                                                    9. All staff and line managers should comply properly
   3. Each Division, Department/Overseas Office must produce                                                                    • A lack of adequate or appropriate staff
                                                                       with their performance management obligations.
      a Staff Development Plan (SDP). This should highlight                                                                        development activity can lead to failure in
      planned staff development activity, and should take
                                                                                                                                   meeting objectives at Individual, Departmental/
      account of:                                                   HRD
                                                                                                                                   Business Unit and Divisional levels
        a) an evaluation of the impact of the previous year’s SDP   10. HRD should maintain soundly based projections of
                                                                        staffing and skills requirements and plan and           • DFID is unable to produce the required
        b) the learning and development objectives identified in
           individual PDPs and                                          implement recruitment, promotions and exits                evidence on staff development planning and
                                                                        accordingly                                                evaluating learning for Investors in People.
        c) a projection of the competences needed in the
           department/business unit as it works to support the      11. HRD should ensure that appropriate arrangements            This would lead to loss of accreditation
           implementation of the Directors Delivery Plan (DDP).         for the selection of individuals for posts, promotion
                                                                                                                                • Risk of attracting criticism from Internal Audit
                                                                        and any special development arrangements are in
   4. A copy of the SDP must be sent to TDU. They will                                                                             Department (IAD) and/or National Audit
                                                                        place and regularly reviewed
      undertake an analysis of staff development plans across
                                                                    12. HRD should maintain and operate appropriate
                                                                                                                                   Office (NAO)
      DFID to identify trends and patterns. This, in turn, will
      inform the planning of learning and development activity          systems for identifying and developing talent at all    • Lack of information about individual training
      and strategy across DFID.                                         levels and from all areas of the organisation.
                                                                                                                                   needs in the departmental Staff Developemnt
                                                                                                                                   Plans (SDPs) will restrict TDU’s ability to
   Jobholders and Line Managers                                                                                                    identify corporate training needs/themes.
   5. All staff should ensure that their individual entries on
      Yourself are kept fully up to date
   6. The jobholder and line manager should develop a detailed
      Performance and Development Plan (PDP). This outlines
      the jobholders work objectives for the coming year
   7. A PDP should include at least one learning objective that
      highlights the professional and personal development
      activity that an individual will undertake in


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                                                                                                                                                             EQUALITY & DIVERSITY
   Compliance Tasks                                                    Equality & Diversity
   1. All staff and line-managers have a responsibility to ensure
                                                                                                                                           Processes and     DFID Diversity Vision and Strategic Priorities paper
      that discrimination, victimisation and bullying or                                                                                           Tools     Equal Opportunities Commission: Civil Service Policy and Agreement
      harassment does not occur in the field of employment, but                                                                                              Equal Opportunities Commission: Gender Policy and Statement
      also in the delivery of our services
                                                                       Background
                                                                                                                                                             SAIC Minimum Employment Standards
   2. Under the Race Relations Act (1976) and Amendment Act            DFID is an equal opportunities employer that values
      2000 (RRAA00), staff have a duty to ‘promote good race           diversity. Diversity means respecting, valuing and                                    Disability Discrimination Act (1995)
      relations’ and under the Disability Discrimination Act (DDA),                                                                                          Disability Discrimination Act - Further Regulations
                                                                       harnessing differences so that all individuals can
      staff have a duty to ‘actively promote disability issues’.
                                                                       make their full contributions.                                                        Disability in DFID booklet
                                                                       Valuing diversity involves recognising that some                                      DFID’s Race Equality Scheme
   Risks of Non-Compliance                                             individuals and groups face less favourable treatment                                 DFID’s Policy on Sexual Orientation
   The risks for non-compliance with the various diversity             due to their gender, race/ethnic origin, disability,                                  Race Equality Policy Impact Assessment Kit
   legislation and policies are vast, both to the organisation
                                                                       religion, age, sexual orientation or other factors, such
   and the individual. Not only does the organisation face                                                                                                   Starting Pay Policy
   significant tribunal costs should it be prosecuted for              as social class or education. Valuing Diversity is key
   discrimination, it also risks:                                      to the effective delivery of our business objectives and
        • Being less effective in the delivery of our business if we   is one of DFID’s core values.
                                                                                                                                               Associated    None
          are not fully utilising the skills at hand
                                                                       There is a large body of equality legislation which is            Learning & Skills
        • Increasing numbers of grievance and disciplinary cases
                                                                       documented in the compliance tasks section. The
        • Increased stress levels of staff                                                                                                                   Cabinet Office Guidance on Age
                                                                       majority of our diversity policies are underpinned by             Other Sources of
        • Losing quality staff that possess skills that are vital to   United Kingdom (UK) and European legislation. The
          the organisation
                                                                                                                                             Information     Commission for Racial Equality
                                                                       spirit of these acts should be applied in full to Staff
                                                                                                                                                             Disability Rights Commission
        • Increased sick absence rates                                 Appointed In Country (SAIC), unless they contradict
                                                                                                                                                             Equal Opportunities Commission
        • Reduced staff morale                                         local law.
                                                                                                                                                             Cabinet Office Guidance on Diversity
        • Severed reputation as a diversity-friendly employer.         Equality and Diversity legislative acts, as well as
                                                                                                                                                             External Body on Sexual Orientation
                                                                       DFID’s internal policies include:
                                                                       a) Civil Service Equal Opportunities Policy                                           * By 2006, the CRE, DRC and EOC will have merged into one Human Rights and
                                                                       b) Equal Pay Act 1970 (EPA)                                                           Equality Commission.
                                                                       c) Sex Discrimination Act (1975) (SDA)
                                                                       d) Disability Discrimination Act (1995) (DDA) and
                                                                            its subsequent regulations
                                                                       e) Race Relations Act (1976) and Amendment Act
                                                                            2000 (RRAA00)
                                                                       f)   DFID’s Sexual Orientation Policy                                      Contact    DiversityCorporateCompliance@dfid.gov.uk
                                                                       g) DFID’s policy on Religion or Belief.


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                                                                                                                                                         JOB GRADING
   Compliance Tasks                                                       Job Grading
   Divisions and Departments
                                                                                                                                       Processes and     DFID Job Grading Guidance

   1. Directors have overall responsibility to determine divisional
                                                                                                                                               Tools
      arrangements for identifying the right grade for a post, or a
      group of posts
   2. In the case of new posts or where the proposal is to downgrade
      existing posts, departments will be free to decide at which level                                                                    Associated    None
      these decisions should be taken
   3. In the case of upgrading an existing post, while line managers      Background                                                 Learning & Skills
      and post holders will have the opportunity to contribute to the
      grading process, the following authority from within the            We have grades to show the level and weight of
      Division must be provided:                                          every job in the organisation (no matter what the
                                                                                                                                     Other Sources of    DFID Competency Framework
           Upgrades from:                 Will be authorised by:
                                                                          particular function or geographical location)
           C2 to C1                       A3/A2                                                                                          Information     DFID Policy on Performance Management
           C1 to B2                       A2                              instead of using lengthy descriptions.
           B2 to B1                       Head of Department                                                                                             Cabinet Office JEGS Guidance
           B1 to A3                       Head of Department              They ensure that we meet our legal obligations
           A3 to A2                       Head of Department
           A2 to A1                       Director                        regarding equal pay for work of equal value and
   4. Human Resources Department (HRD) must be advised of all             that there is a clear link between pay and job
      decisions on re-grading of posts. Heads of Departments/Heads        weight.
      of Overseas Offices are responsible for ensuring this takes place
   5. Directors are also required to confirm, in their annual             The grading system allows for clearly defined
      statements on their Personal Responsibility Plans (PRP), that all
      posts in their commands conform to the standards set out in this    levels of responsibility among individual posts
      Guidance.                                                           and so contributes to better team understanding
   HRD                                                                    and working.
   6. HRD must review all decisions on regrading in line with the
      Guidance                                                            Grading in DFID is based on the Cabinet Office
   7. HRD will introduce a rolling programme to evaluate a selection      Job Evaluation and Grading Support (JEGS)
      of posts in a variety of grades
   8. Where an evaluation indicates that the decision to grade or         methodology.
      upgrade a post is inconsistent with central guidance (ie the
      JEGS scores it into the lower grade) the Director responsible       Job Grading guidelines have been developed to
      will be required to account for the decision to the Director        enable departments to take their own decisions
      General (DG) Corporate Performance and Knowledge Sharing
      and where necessary to take corrective action.                      on grading of jobs rather than resorting to a

   Risks of Non-Compliance                                                formal JEGS exercise.

   • Ability of DFID to meet its targets, and for teams to operate
     effectively
   • Potential claims against the Department and financial losses
                                                                                                                                              Contact    JobGrading@dfid.gov.uk
     due to incorrect grading.


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                                                                                                                                                       PAY FOR SENIOR CIVIL SERVICE (SCS) STAFF
   Compliance Tasks                                                       Pay for Senior Civil
   The pay year runs from April to March.
                                                                          Service (SCS) staff                                        Processes and     DFID SCS Pay Strategy

   Each April        Jobholder agrees with manager priority business
                                                                                                                                             Tools     Guide to Performance Management and Reward 2004
                     objectives or targets that will ensure eligibility
                     for consideration for a bonus
   End April         Following end of year performance reviews for                                                                       Associated    HR Staff who administer pay and allowances on the PS Enterprise payroll and database
                     previous    year,   the    manager     makes                                                                                      must undertake mandatory training on the system before they are permitted to process
                     recommendations on pay and bonus for the             Background                                               Learning & Skills
                                                                                                                                                       pay, allowances or receive the system guidance manuals.
                     jobholder
   May               Director Generals hold moderating meetings for       The Senior Civil Service (SCS) is a central
                     SCS staff re tranche and bonus category              resource with a common framework of terms
                                                                                                                                   Other Sources of    Staff Handbook: Section 8: DFID Grievance and Discipline Procedures
   End May           DFID SCS Pay Committee consider pay and bonus        and conditions and arrangements for career
                     recommendations for all SCS on relative basis
                                                                          management and training across Government
                                                                                                                                       Information     Code of Practice produced by Equal Opportunities Commission
   Each October SSRB asks Director of Human Resources (HR)
                                                                          Departments. The Minister for the Civil Service                              Code of Practice produced by the Commission for Racial Equality
                and 3 SCS members (identified by DFID Pay
                Committee) members to say how the pay system              has not delegated SCS pay to individual
                operated in DFID.                                                                                                                      Code of Practice Produced by the Disability Rights Commission
                                                                          Departments but departments have discretion
                                                                          within certain parameters. The total reward                                  Cabinet Office SCS pay Guidance
   Risks of Non-Compliance                                                package for the SCS is designed centrally to
                                                                                                                                                       Chartered Institute for Personnel & Development (CIPD)
   • DFID accused of breach of equal opportunities policy, risk           attract, retain, engage and motivate senior
     or equal pay claim and ultimately taken to Employment                leaders, professionals, and specialists of the
     Tribunal or court
                                                                          right calibre to deliver business objectives.
   • Poor staff morale, impacts on recruitment and retention.
                                                                          Each year the independent Senior Salaries
                                                                          Review Body (SSRB) recommends the range of
                                                                          performance awards for base pay and the
                                                                          minimum bonus payment.

                                                                          Each department has to have a Pay Committee
                                                                          and Pay Strategy in place to show how the
                                                                          department will manage the process in line with
                                                                          Cabinet Office Guidance.


                                                                                                                                            Contact    SCSCorporateCompliance@dfid.gov.uk



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                                                                                                                                                       PAY FOR SENIOR CIVIL SERVICE (SCS) STAFF
   Compliance Tasks                                                       Pay for Senior Civil
   The pay year runs from April to March.
                                                                          Service (SCS) staff                                        Processes and     DFID SCS Pay Strategy

   Each April        Jobholder agrees with manager priority business
                                                                                                                                             Tools     Guide to Performance Management and Reward 2004
                     objectives or targets that will ensure eligibility
                     for consideration for a bonus
   End April         Following end of year performance reviews for                                                                       Associated    HR Staff who administer pay and allowances on the PS Enterprise payroll and database
                     previous    year,   the    manager     makes                                                                                      must undertake mandatory training on the system before they are permitted to process
                     recommendations on pay and bonus for the             Background                                               Learning & Skills
                                                                                                                                                       pay, allowances or receive the system guidance manuals.
                     jobholder
   May               Director Generals hold moderating meetings for       The Senior Civil Service (SCS) is a central
                     SCS staff re tranche and bonus category              resource with a common framework of terms
                                                                                                                                   Other Sources of    Staff Handbook: Section 8: DFID Grievance and Discipline Procedures
   End May           DFID SCS Pay Committee consider pay and bonus        and conditions and arrangements for career
                     recommendations for all SCS on relative basis
                                                                          management and training across Government
                                                                                                                                       Information     Code of Practice produced by Equal Opportunities Commission
   Each October SSRB asks Director of Human Resources (HR)
                                                                          Departments. The Minister for the Civil Service                              Code of Practice produced by the Commission for Racial Equality
                and 3 SCS members (identified by DFID Pay
                Committee) members to say how the pay system              has not delegated SCS pay to individual
                operated in DFID.                                                                                                                      Code of Practice Produced by the Disability Rights Commission
                                                                          Departments but departments have discretion
                                                                          within certain parameters. The total reward                                  Cabinet Office SCS pay Guidance
   Risks of Non-Compliance                                                package for the SCS is designed centrally to
                                                                                                                                                       Chartered Institute for Personnel & Development (CIPD)
   • DFID accused of breach of equal opportunities policy, risk           attract, retain, engage and motivate senior
     or equal pay claim and ultimately taken to Employment                leaders, professionals, and specialists of the
     Tribunal or court
                                                                          right calibre to deliver business objectives.
   • Poor staff morale, impacts on recruitment and retention.
                                                                          Each year the independent Senior Salaries
                                                                          Review Body (SSRB) recommends the range of
                                                                          performance awards for base pay and the
                                                                          minimum bonus payment.

                                                                          Each department has to have a Pay Committee
                                                                          and Pay Strategy in place to show how the
                                                                          department will manage the process in line with
                                                                          Cabinet Office Guidance.


                                                                                                                                            Contact    SCSCorporateCompliance@dfid.gov.uk



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                                                                                                                                                    PAY FOR HOME CIVIL SERVANTS BELOW THE SENIOR CIVIL SERVICE (SCS)
   Compliance Tasks                                                   Pay for Home Civil
   1. DFID must comply with Treasury pay guidance and Cabinet
                                                                      Servants Below the                                           Processes and    DFID SCS Pay Strategy
      Office (CO) requirements, operating within Government
                                                                      Senior Civil Service                                                 Tools    Guide to Performance Management and Reward 2004
      pay policy parameters and affordability constraints
   2. DFID designs and negotiates pay and conditions of services      (SCS)                                                                         Staff Handbook - Section 8: Grievance and Discipline
      changes with the Trade Unions, at a single table                                                                                              Treasury Website
   3. DFID management seeks Treasury and Cabinet Office                                                                                             Cabinet Office Website
      approval of proposed pay remit prior to final negotiations      Background
      with the Trade Unions                                                                                                                         Equal Opportunities Commission: Guidance on Equal Pay
   4. Assuming agreement with Trade Unions, union members             Responsibility for determining pay for UK Home
      are balloted members on the DFID proposals                      Civil Servants below the Senior Civil Service
   5. Pay negotiations include DFID’s Special Achievement             (SCS)   is   delegated   by    the Treasury    to               Mandatory     HR staff who administer pay and allowances on the PS Enterprise payroll and database
      Awards scheme (SAA) (non consolidated performance                                                                                             must undertake mandatory training on the system before they are permitted to process
      bonuses). Directors oversee operation of scheme for UK
                                                                      departments. Notwithstanding delegation, each                     Training
                                                                                                                                                    pay, allowances or receive the system guidance manuals.
      based and Staff Appointed In Country (SAIC) staff, and submit   year – recently on a multi year basis – DFID
      annual reports to Human Resources Department (HRD)
                                                                      negotiates the agreed financial envelope with
   6. HRD organises annual equality proofing of all nominees for      the Treasury and Cabinet Office.        DFID also
      SAA award, including unsuccessful nominees, and                                                                            Other Sources of   Equal Opportunities Commission: Codes of Practice
      publishes results on intranet.                                  negotiates, through collective bargaining, with
                                                                      the departmental trade unions (Public and
                                                                                                                                     Information    Commission for Racial Equality

                                                                      Commercial Services Union (PCS) and First                                     Disability Rights Commission
   Risks of Non-Compliance
                                                                      Division Association (FDA)) on the basis of
   • Loss of skilled staff if DFID pay does not keep pace with                                                                                      The Cabinet Office: Guidance
     local market salary trends, and low morale within workforce      resources agreed by the Centre.
     generally                                                                                                                                      Chartered Institute for Personnel and Development (CIPD) Website
   • Failure to recruit the right staff
                                                                                                                                                    Income Data Services - Advice on Pay and Allowances across the UK
   • Penalties imposed by Treasury for failure to follow delegated
     pay guidelines
   • Reputational risks if any of the above arise.




                                                                                                                                         Contact    PayCorporateCompliance@dfid.gov.uk



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                                   Conduct and Propriety                  F


                                   Human Resources Division (HRD)
                                   Standards of Propriety            F1
                                   Internal Audit Department (IAD)
                                   Fraud                             F2




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                                                                                                                                                        STANDARDS OF PROPRIETY
   Compliance Tasks                                                       Standards of Propriety
   DFID staff must not
                                                                                                                                      Processes and     Section 8 of the Staff Handbook

   1. misuse information which they acquire in the course of their                                                                            Tools
      duties (Prevention of Corruption Act 1916 Company
      Securities (Insider Dealing) Act 1985 Financial Services Act
      1986, Official Secrets Act 1911 and Official Secrets Act 1989)                                                                      Associated    The Induction Course includes a module on the standards of propriety expected from
   2. frustrate the policies, decisions or actions of the Government                                                                                    civil servants.
      (Cabinet Office guidelines)
                                                                                                                                    Learning & Skills
                                                                          Background
   3. make unauthorised disclosures (Official Secrets Act 1911 and
      Official Secrets Act 1989)                                          The Cabinet Office has issued instructions to all                             Staff Handbook Sections 8.2, 8.3, 8.4 and 8.5
                                                                                                                                    Other Sources of
   4. take part in any political or public activity which                 departments and agencies on the Standards of
      compromises or might seem to compromise their impartiality                                                                        Information     Section 4.3 of the Civil Service Management Code
      (Cabinet Office guidelines)                                         Propriety that apply Civil Service wide.
                                                                                                                                                        Paragraph 9 of the Civil Service Management Code
   5. misuse their official position to further their or others private   Departments and agencies must reflect these in
      interests (Prevention of Corruption Act 1916 Company Securities     their Staff Handbook.                                                         Prevention of Corruption Act 1916
      (Insider Dealing) Act 1985 Financial Services Act 1986)
                                                                          All DFID staff are expected to comply with the                                Company Securities (Insider Dealing) Act 1985
   6. behave in a way that brings or could appear to bring
      DFID/HMG into disrepute – misbehaviour also includes any            Standards of Propriety set out in Section 8 of the                            Financial Services Act 1986
      abuse by DFID staff of overseas accommodation. (DFID
      contract/letter of appointment)                                     Staff Handbook.                                                               Official Secrets Act 1911
   7. take on roles in organisations funded or part funded by DFID                                                                                      Official Secrets Act 1989
      unless an exemption has been agreed by the Director Finance
      and Corporate Performance Division (FCPD)                                                                                                         Conflict of Interest Guidance
   8. behave in a way which could give rise to suspicion of any real
                                                                                                                                                        Essential Guide to Rules & Tools: Fraud Template
      or perceived conflict of interest between their official duty
      and private interests
   9. give the impression that they have or may have been
      influenced by a gift or consideration to show favour or
      disfavour to a person or organisation. Specifically staff should
      not normally accept gifts or hospitality
   10. abuse or ignore DFID’s procedures relating to the provision of
       official entertainment and retreats.


   Risks of Non-Compliance
   • Damage to the reputation of the organisation and to the staff
     member involved
   • Impact on staff morale and cost of any legal action taken                                                                               Contact    ECPUCorporateCompliance@dfid.gov.uk
     against the organisation.


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                                                                                                                                                                   Fraud
   Compliance Tasks                                                   Fraud
   1. If anyone suspects fraud or corruption they must
                                                                                                                                                 Processes and     Anti-Fraud and Corruption Policy and Strategy

      immediately report their concerns to the Head of Internal                                                                                          Tools     DFID’s Anti-Fraud and Corruption Policy
      Audit (HIA). (+44 (0) 20 70230193) or by email                  Background
      fraud@dfid.gov.uk Neither they, nor their line manager          Fraud is the use of deception to obtain an advantage, avoiding                               Fraud and Corruption Response Plan for Managers
      should investigate allegations without advice from the          an obligation or causing loss to another party. Corruption is the             Mandatory
                                                                      abuse of public office for private gain. Also related to fraud is
      HIA as this is likely to undermine any future action            Conflicts Of Interest. A conflict of interest arises when an                    Training     Guidance for Managers
                                                                      individual maybe or is influenced by personal considerations
   2. All investigations of fraud and/or corruption will be           in the course of doing his or her job. This introduces the risk                              Guidance for Staff
      directed by the Head of Internal Audit                          that decisions are made for the wrong reasons - financial or
                                                                      other personal rewards may adversely influence objectivity,
   3. Heads of Department/Overseas Offices must provide               integrity or professional commitment and can lead to fraud.                                  Defining Conflicts of Interest
      details of all suspected or actual frauds to Internal Audit     DFID is committed to ensuring that its resources, voted by the
      Department for inclusion in the Annual Fraud Return to
                                                                      UK Parliament on behalf of the UK Taxpayer, will be used only                                Conflicts of Interest Policy
                                                                      for the purposes intended.
      Treasury                                                        The Department’s policy on fraud and corruption is one of                                    Examples of Conflicts of Interest
                                                                      zero tolerance.
   4. Directors, Head of Department/Head of Overseas Office
                                                                      Fraud and corruption against DFID funds, either by DFID staff,                               Example of Conflict of Interest and Hospitality Register
      must maintain a Conflict of Interest register for each          partner organisations (e.g. contractors) or in partner
      office/operational unit                                         Governments will not be tolerated because it:
                                                                           • Diverts vital resources from the poor
   5. All staff must notify potential Conflict Of Interest and this
                                                                           • Breaches our public service ethics and core values                                    Covered in DFID’s Induction Course
      must be recorded in the register.                                                                                                              Associated
                                                                           • Damages our reputation for sound financial
                                                                                management; and
   Risks of Non-Compliance                                                 • Challenges our ”fitness for purpose” and our
                                                                                                                                               Learning & Skills
                                                                                credibility in the eyes of our UK stakeholders and
   • Supervisory staff may face disciplinary action if their                    International partners.
     negligence results in a fraud being committed                    Those found to have been involved in fraudulent and corrupt              Other Sources of    Staff Handbook
                                                                      activity or to have been negligent in the exercise of supervisory
   • Staff committing a fraud, or accepting inducements,              duties will be subject to disciplinary and, where appropriate,               Information     Cabinet Office guidance
     face dismissal and prosecution                                   criminal proceedings.
                                                                      Action will also be taken to recover any funds that have been
   • Civil recovery action will be actively pursued for any           lost. Similarly, funding may be recovered, and future funding
     losses incurred plus resulting costs of action.                  withheld from partner Governments where arrangements for
                                                                      preventing or detecting fraud and corruption fail to improve.
                                                                      Conflicts of Interest
                                                                      Risks to DFID from conflicts of interest can arise from personal
                                                                      interests within DFID; between DFID staff and suppliers;
                                                                      between DFID staff and other organisations, including
                                                                      Governments and NGOs; and within contracted organisations.
                                                                      Conflicts of interest could adversely affect DFID’s reputation,
                                                                      its effectiveness in reducing poverty and value for money.
                                                                      Perceived conflicts of interest could be as damaging to DFID’s
                                                                      reputation as actual occurrences, even when the right
                                                                      decisions are being made. Staff also need to safeguard
                                                                      themselves as well as DFID against any risk of conflict of
                                                                      interest. It is particularly important that DFID actively manages                 Contact    Fraud@dfid.gov.uk
                                                                      any conflicts of interest because of DFID’s promotion of anti-
                                                                      corruption initiatives in other Governments.


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                                   Accommodation and Workplace                             G


                                   Office Services and Security Department (OSSD)
                                   Overseas Estate Support Team
                                   Establishing New or Refurbishing Overseas Office
                                   Accommodation                                      G1
                                   Leasing Office Premises and Domestic
                                   Housing Overseas                                   G2
                                   Overseas Housing Management                        G3
                                   Health and Safety                                  G4
                                   Business Continuity Planning                       G5
                                   Vehicles                                           G6
                                   Environmental Management                           G7




Essential Guide to Rules & Tools




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                                                                                                                                                    MANAGEMENT OF OVERSEAS OFFICE ACCOMMODATION
   Compliance Tasks                                                     Establishing New or
   1. Any department planning capital investment on overseas
                                                                        Refurbishing Overseas                                     Processes and     Guidance on the Establishment and Management of DFID Overseas Offices
      premises must consult with Resource Management Group
                                                                        Office Accommodation                                              Tools     Sustainable Development Green Guide for Managers on the Government Estate
      (RMG) Overseas Estates Support Team (OEST) and Security
      Department at the outset to assess the feasibility of potential                                                                               Administrative Arrangement Standard Format
      options. Co-location with FCO must always be considered
                                                                                                                                                    Cabinet Office Manual of Protective Security
   2. Professional advice should be sought on the detailed
      planning of all capital investment projects
                                                                        Background
   3. The Head of Department/Overseas Office must submit to
      the appropriate delegated authority level for approval to         The financial cost of establishing a new
                                                                                                                                      Associated    None
      proceed. Resource Management Group (RMG) must be
                                                                        relocated or expanded overseas office must be
                                                                                                                                Learning & Skills
      kept advised. The submission must cover - Business Need,
      Security, Costs (set-up and recurrent), Location/ access Risk     met within the standard DFID rules on financial
      Analysis (statement of constraints), Project Management,
      Size, Staffing, ICT, Timing, Health & Safety, and Domestic
                                                                        approval and delegated authority, and should            Other Sources of    Essential Guide to Rules and Tools: Procurement of Goods and Equipment
      accommodation                                                     therefore be linked to the country or regional              Information     Essential Guide to Rules and Tools: Making Payments
   4. A security risk assessment must be carried out on any             programme planning cycle. This should include
                                                                                                                                                    Essential Guide to Rules and Tools: Security
      potential sites and buildings must incorporate physical           full approval of budget, planning, timetable and
      measures as recommended in The Cabinet Office Manual of                                                                                       Office of Government Commerce (OGC): Buying Solutions
      Protective Security                                               project management arrangements.
   5. The guidance in the Sustainable Development Green Guide
      for Managers on the Government Estate must be taken into
      account when considering designs for new or refurbished
      offices
   6. DFID offices will normally be accredited to the FCO
      diplomatic mission. FCO London and Post must be
      consulted. Where this accreditation is not possible a
      separate administrative arrangement setting out the terms
      under which DFID offices and staff will operate must be
      agreed with the host Government.

   Risks of Non-Compliance
   • Negative impact on delivery of development programme(s)
     through delays in establishing a devolved office
   • Potential Health and Safety risks to staff and visitors
   • Vulnerability of DFID staff and buildings to terrorism
   • Failure to meet required building standards
   • Poor Value for Money if inappropriate design.                                                                                       Contact    OverseasEstatesEnquiries@dfid.gov.uk



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   Compliance Tasks                                                     Leasing Office                                                                 Leasing Office Premises & Domestic Housing Overseas



   1. Heads of Overseas Offices must ensure that there is clear
                                                                        Premises & Domestic                                          Processes and     The OEST web site has a typical lease template, which includes a standard diplomatic
                                                                                                                                                       break clause that will enable the lease to be terminated if necessary, such as the event
      and appropriate definition and segregation of responsibility
                                                                        Housing Overseas                                                     Tools
      for negotiation and authorisation of all leases. Records of                                                                                      of the break down of diplomatic relations. Offices should take account of prevailing
      negotiations and approval must be recorded on file. Local                                                                                        market rates and consult local property agents
      arrangements should be handled by Local Contract Officers
      (LCOs). Any lease with the Foreign & Commonwealth                                                                                                Establish and maintain links with the FCO, other donor / diplomatic organisations to
      Office (FCO) must be subject to the FCO Service Level                                                                                            minimise risk of increased costs. FCO Service Level Agreement (SLA)
      Agreement (SLA)                                                   Background
   2. Legal title to the premises must be established before a lease                                                                                   Essential Guide to Rules and Tools: Procurement
      is signed. A local property legal adviser must be used to         DFID’s expanding overseas estate and property
      establish that the person leasing is the legal owner of the       portfolio represents a significant commitment of                               Essential Guide to Rules and Tools: Finance and Accounts
      property
                                                                        public funds. It is important that DFID’s interests                            Essential Guide to Rules and Tools: Records Management
   3. All leases should be in English wherever possible. If, due to
      local legislation, the lease is required to be in a different
                                                                        are safeguarded by properly drafted and legally
                                                                                                                                                       Overseas Estates Support Team (OEST) Housing Issues
      language, a translation into English should be obtained from      sound lease agreements. Responsibility for this
      a legal translator, and be signed at the same time. (Note,
                                                                        lies with the Head of Overseas Office.
      that in the case of dispute the non-English version is likely
      to take precedence)                                                                                                                              • Customer Relations
                                                                                                                                         Associated
   4. Leases will be subject to local law and must be cleared by a
      local property legal adviser, and registered if required under                                                               Learning & Skills   • Negotiation Skills
      local law. New draft leases must be submitted to Overseas
      Estates Support Team (OEST) for comment and approved by
      Finance Division
                                                                                                                                   Other Sources of    None
   5. Office and Estate Management staff in overseas offices must
      be conversant with lease requirements for all property under                                                                     Information
      their control
   6. Signed original leases must be kept securely and copied to OEST
   7. Leases must be recorded on “Return 5” of the Resource
      Account Year End Pack.



   Risks of Non-Compliance
   • Misappropriation of public funds
   • Collusion and fraud
   • No legal status in event of a dispute.

                                                                                                                                            Contact    OverseasEstatesEnquiries@dfid.gov.uk



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                                                                                 OVERSEAS HOUSING MANAGEMENT
Overseas Housing
Management                                                     Processes and     Guidance on Housing Selection and Assessment
                                                                       Tools     Guidance on Timber for Sustainable Resources

                                                                                 Procurement Group

                                                                                 Overseas Estates Support Team (OEST)

Background                                                                       Office Services and Security Department
Housing related issues can be stressful both for
occupants and management staff, largely due to
                                                                   Associated    Estates Management staff should receive the following training:
problems associated with security, maintenance
and health & safety.
                                                             Learning & Skills   • H&S Roles and Responsibilities, including Risk Assessment
                                                                                 • Customer Relations
The Staff Handbook contains broad parameters
regarding the provision of accommodation for                                     • Negotiation Skills

assignments of more than 4 months, but DFID                                      • Local contracting skills for LCO
overseas offices have discretion regarding the
interpretation and implementation of the
                                                             Other Sources of    Essential Guide to Rules & Tools: Security
guidance to determine needs, based on Value for
Money (VfM), availability, suitability security                  Information     Essential Guide to Rules & Tools: Health and Safety
and Health & Safety (H&S).                                                       Essential Guide to Rules & Tools: Procurement

DFID overseas office management must take                                        Essential Guide to Rules & Tools: Environmental Estate Management
into account certain criteria, such as security                                  Section 7.3 of the Staff Handbook
and suitability of premises when selecting
                                                                                 Health and Safety Executive
accommodation,         with   the   objective      of
establishing     a     portfolio      of       rented
accommodation to meet anticipated needs over
the long term - at least 6-10 year period.



                                                                      Contact    OverseasEstatesEnquiries@dfid.gov.uk



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   Compliance Tasks                                                                                                        Risks of Non-Compliance

   1. Overseas offices must manage the estate so that                 • Health & Safety (H&S) – all accommodation          • Unsafe accommodation
      wherever possible new arrivals move into accommodation            fixtures and fittings must comply with UK
                                                                                                                           • Wasted investment of funds
      used by a predecessor, rather than select new property            H&S standards (or local standards if higher).
                                                                        In particular, electrical and gas fittings, fire   • Discontentment / Stress
   2. Costs must be in line with the local market rates, and
                                                                        safety, pest control and security. A range of
      any upgrade costs to be paid by DFID (other than in                                                                  • Potential Health and Safety implications
                                                                        guidance is available on the OSSD/OEST
      exceptional circumstances) must be offset against rental
                                                                        web sites                                             for staff
      payments; there are no prescribed limits for upgrading
      property but DFID overseas offices must consider the         5. Maintenance – an adequate maintenance                • Vulnerability of staff and buildings to
      availability of suitable alternative accommodation and          programme must be established to ensure H&S             terrorism and theft
      value for money                                                 standards and protect investment. A clear set of
                                                                      service standards, based on quality and              • Failure in duty of care to staff and others
   3. The Office/Estates Manager in each overseas office must
                                                                      availability of contractors should be established.   • Detrimental impact on environment.
      provide OEST, annually, with comprehensive
                                                                      General guidance available from OEST
      information on all property owned or leased by the
      office, including a copy of the lease, rental period, rent   6. Procurement – DFID standards must apply, in
      costs, and refurbishment/ upgrade costs                         particular to furnishing materials (timber from
                                                                      sustainable sources, fire retardancy) refrigerants
   4. DFID’s policy is to follow UK Health and Safety (H&S)
                                                                      (air conditioning units), appropriate local
      standards in overseas offices wherever possible. This
                                                                      servicing/ maintenance arrangements.
      means that, for example, the following should be carried
      out:
       • Surveys – all properties must be subject to
         satisfactory structural and electrical surveys,
         undertaken by suitably qualified professionals, to
         minimum acceptable standards
       • Security - property including grounds must be
         secure, with a range of perimeter and building
         security measures appropriate to the country in
         question. Offices must take advice from the Foreign
         & Commonwealth Office (FCO), and DFID Security
         Section and follow their guidance. Property should
         be reasonably close to the office having
         consideration to emergency, maintenance and
         security issues


Essential Guide to Rules & Tools                                                                                                                                           G3




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                                                                                 OVERSEAS HOUSING MANAGEMENT
Overseas Housing
Management                                                     Processes and     Guidance on Housing Selection and Assessment
                                                                       Tools     Guidance on Timber for Sustainable Resources

                                                                                 Procurement Group

                                                                                 Overseas Estates Support Team (OEST)

Background                                                                       Office Services and Security Department
Housing related issues can be stressful both for
occupants and management staff, largely due to
                                                                   Associated    Estates Management staff should receive the following training:
problems associated with security, maintenance
and health & safety.
                                                             Learning & Skills   • H&S Roles and Responsibilities, including Risk Assessment
                                                                                 • Customer Relations
The Staff Handbook contains broad parameters
regarding the provision of accommodation for                                     • Negotiation Skills

assignments of more than 4 months, but DFID                                      • Local contracting skills for LCO
overseas offices have discretion regarding the
interpretation and implementation of the
                                                             Other Sources of    Essential Guide to Rules & Tools: Security
guidance to determine needs, based on Value for
Money (VfM), availability, suitability security                  Information     Essential Guide to Rules & Tools: Health and Safety
and Health & Safety (H&S).                                                       Essential Guide to Rules & Tools: Procurement

DFID overseas office management must take                                        Essential Guide to Rules & Tools: Environmental Estate Management
into account certain criteria, such as security                                  Section 7.3 of the Staff Handbook
and suitability of premises when selecting
                                                                                 Health and Safety Executive
accommodation,         with   the   objective      of
establishing     a     portfolio      of       rented
accommodation to meet anticipated needs over
the long term - at least 6-10 year period.



                                                                      Contact    OverseasEstatesEnquiries@dfid.gov.uk



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   Compliance Tasks                                                                                                        Risks of Non-Compliance

   1. Overseas offices must manage the estate so that                 • Health & Safety (H&S) – all accommodation          • Unsafe accommodation
      wherever possible new arrivals move into accommodation            fixtures and fittings must comply with UK
                                                                                                                           • Wasted investment of funds
      used by a predecessor, rather than select new property            H&S standards (or local standards if higher).
                                                                        In particular, electrical and gas fittings, fire   • Discontentment / Stress
   2. Costs must be in line with the local market rates, and
                                                                        safety, pest control and security. A range of
      any upgrade costs to be paid by DFID (other than in                                                                  • Potential Health and Safety implications
                                                                        guidance is available on the OSSD/OEST
      exceptional circumstances) must be offset against rental
                                                                        web sites                                             for staff
      payments; there are no prescribed limits for upgrading
      property but DFID overseas offices must consider the         5. Maintenance – an adequate maintenance                • Vulnerability of staff and buildings to
      availability of suitable alternative accommodation and          programme must be established to ensure H&S             terrorism and theft
      value for money                                                 standards and protect investment. A clear set of
                                                                      service standards, based on quality and              • Failure in duty of care to staff and others
   3. The Office/Estates Manager in each overseas office must
                                                                      availability of contractors should be established.   • Detrimental impact on environment.
      provide OEST, annually, with comprehensive
                                                                      General guidance available from OEST
      information on all property owned or leased by the
      office, including a copy of the lease, rental period, rent   6. Procurement – DFID standards must apply, in
      costs, and refurbishment/ upgrade costs                         particular to furnishing materials (timber from
                                                                      sustainable sources, fire retardancy) refrigerants
   4. DFID’s policy is to follow UK Health and Safety (H&S)
                                                                      (air conditioning units), appropriate local
      standards in overseas offices wherever possible. This
                                                                      servicing/ maintenance arrangements.
      means that, for example, the following should be carried
      out:
       • Surveys – all properties must be subject to
         satisfactory structural and electrical surveys,
         undertaken by suitably qualified professionals, to
         minimum acceptable standards
       • Security - property including grounds must be
         secure, with a range of perimeter and building
         security measures appropriate to the country in
         question. Offices must take advice from the Foreign
         & Commonwealth Office (FCO), and DFID Security
         Section and follow their guidance. Property should
         be reasonably close to the office having
         consideration to emergency, maintenance and
         security issues


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                                                                          HEALTH & SAFETY
Health & Safety
                                                        Processes and     H&S Inspection, Risk Assessment
                                                                Tools     Human Resources Division inSight page
Background                                                                Welfare Counselling Services
The Health & Safety at Work act 1974 requires
                                                                          Overseas Estates Support Team (OEST) inSight page
all employers “to ensure so far as is reasonably
practicable, the health, safety and welfare of all                        DFID external Website
its’ employees.                                                           Health and Safety Executive
All employees must take reasonable care of their
                                                                          DFID’s Health and Safety Policy Statement
own health and safety as well as that of other
persons who may be affected by their activities.
They should also co-operate with the employer to            Associated    All staff must be instructed on general H&S awareness, responsibilities and procedures on
enable them to comply with legal requirements.                            first joining the department as part of the UK and overseas offices induction processes.
                                                      Learning & Skills
The Permanent Secretary is responsible for                                The following staff must receive more detailed training from qualified trainers, to better
providing a safe and healthy workplace and                                understand the legislation:
working environment for all staff, and must take                          • Permanent Secretary/Heads of Departments/Overseas Offices
all practicable steps to meet that responsibility.                        • Health & Safety Officer
                                                                          • Accommodation and Overseas Estates Support Team (OEST) staff
Corporate Human Resources (CHR) is responsible                            • Office Managers
through the Health & Safety (H&S) Officer, for                            • Risk Assessment Team (Specialised H&S Courses)
producing and maintaining the DFID H&S Policy                             • Porters, Messengers, overseas drivers (Manual Handling)
Statement which reflects commitment to:                                   • First – Aiders
                                                                          • Fire Wardens
• achieving (and maintaining) high standards                              • Electrical Safety training
  of H&S throughout all its offices                                       • Some drivers in certain posts may require specialist training – e.g Defensive Driving
                                                                             Techniques, but this is not mandatory across DFID.
• managing and ensuring the H&S of staff,
  visitors, clients, contractors etc.

It is the responsibility of Office Services &         Other Sources of    None
Security Department (OSSD) and Heads of                   Information
Overseas Offices to ensure these policies are
implemented.
                                                               Contact    OverseasEstatesEnquiries@dfid.gov.uk



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   Compliance Tasks                                                                                                          Risks of Non-Compliance

   1. Office Services & Security Department (OSSD) and             6. H&S Teams in OSSD and Heads of Overseas                • Injury or Death
      Heads of Overseas Offices must ensure that Planned              offices must ensure the following Risk
      Maintenance is programmed for all machinery and                 Assessments are undertaken:                            • Breach of H&S Legislation and/or local law
      equipment, including fire detection and prevention
      equipment (annually by specialist companies)                    • H&S Inspections (Twice a year, or following          • Damage or loss of property
                                                                        any changes)
   2. Health & Safety Teams in the UK and H&S                                                                                • Financial loss due to ill health Loss of
      representatives in overseas offices are responsible for         • Fire & Bomb Precautions (Ongoing)                       working days/Potential compensation claim
      hazard identification and assessment, and for taking            • New & Expectant Mothers (when required)
      appropriate steps to remove and reduce risks to prevent                                                                • Damage to DFID’s reputation.
      accidents and ill health. All assessments must be:              • Young persons/Work experience (As required)
       a. Recorded
                                                                      • Manual Handling (where required)
       b. Reviewed
                                                                      • Control of Substances Hazardous to Health
       c. Communicated to staff
                                                                        (As required)
   3. Safety representatives – First-Aiders and Fire Wardens
                                                                      • Accident Prevention (Ongoing)
      must be appointed to assist in the event of accidents or
      emergency situations                                            • General Workplace Assessments (As required)
   4. Managers and Supervisors – must familiarise themselves       7. Workstation/Display Screen Equipment (All staff
      with the DFID H&S Policy and ensure persons under               should be assessed within 2 weeks of joining and
      their charge comply with safety at all times                    thereafter every two years unless a specific request
                                                                      is made).
   5. Individual members of staff must:

       • Take care of their own Health & Safety and other
         persons who may be affected by their acts

       • When required, make use of Safety Equipment and
         Special Protective Clothing

       • Report all Health and Safety hazards and accidents to
         the H&S Team, or the H&S representative overseas

       • Not remove, damage, interfere or misuse anything
         provided in the interests of health, safety and welfare




Essential Guide to Rules & Tools                                                                                                                                            G4




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                                                                                                                                               Business Continuity Planning (BCP)
    Compliance Tasks                                                Business Continuity
    1. Heads of Overseas Offices must appoint an Incident Control
                                                                    Planning                                                 Processes and     Overseas Estates Support Team (OEST) Insight Page
       Officer (ICO) who should be responsible for producing a                                                                        tools    Overseas Systems Support Insight Page
       BCP using the templates on the OSSD/ISD Web Site
                                                                    Background
    2. Heads of Overseas Office must approve BCPs and ensure                                                                                   Business Continuity Plan (BCP) Template
       they are registered electronically with OEST                 A Business Continuity Plan (BCP) is a plan for
                                                                    the fast, efficient resumption of essential
    3. BCPs must be reviewed at least annually.
                                                                    business operations by directing the recovery
                                                                    actions of specified recovery teams.
                                                                                                                                 Associated    The Incident Control Officer and Recovery Team Leaders should arrange appropriate
                                                                                                                                               training by testing the BCPs with their team members.
    Risks of Non-Compliance                                                                                                Learning & Skills
                                                                    All DFID offices are required to maintain a BCP
    • Delay in recovery of key operations                           to ensure the prompt and efficient recovery of
                                                                    business operations following any incident at                              DFID Security Manual
    • Loss of information including financial and HR details                                                               Other Sources of
                                                                    the premises which disrupts or prevents normal
    • Damage to reputation
                                                                    business activity – e.g. fire, flood, or any other         Information     OEST BCP Guidance
    • Failure to meet financial obligations / payment deadlines     event requiring evacuation or preventing
    • Potential Health and Safety implications for staff.           occupation of the premises.
                                                                    Heads of Overseas Offices must ensure that
                                                                    BCPs are consistent with, and take account of,
                                                                    local emergency evacuation plans, and
                                                                    corresponding local FCO plans.
                                                                    Heads of Departments in UK buildings covered
                                                                    by an overarching BCP must maintain an
                                                                    appropriate lower level plan specific to the
                                                                    operation of their own department, including all
                                                                    essential services. It should include, as relevant:
                                                                    • Departmental contact lists, specifying those
                                                                      which have remote working facilities
                                                                    • Details of manual backup systems
                                                                    • Responsibilities for co-ordination and liaison
                                                                      throughout the department
                                                                    • External contacts to be notified.
                                                                    BCPs must be updated by the Incident Control
                                                                    Officer as soon as any details change. Copies of                Contact    OverseasEstatesEnquiries@dfid.gov.uk
                                                                    revised plans should be sent to OEST.


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                                                                                                                                                     VEHICLES
   Compliance Tasks                                                     Vehicles
   1. Arrangements must be in place to ensure secure
                                                                                                                                   Processes and     Vehicles Guidance
      storage/parking of vehicles when not in use                                                                                          Tools     Essential Guide to Rules & Tools: Health and Safety
   2. A vehicle maintenance programme must be in place and
      regular servicing of the vehicle recorded in the logbook
   3. Conditions for use of DFID vehicles are:
                                                                                                                                       Associated    Some drivers in certain countries may require specialist training – e.g. Defensive Driving
      a) Only drivers authorised by the Head of Overseas Office
                                                                                                                                                     Techniques, but this is not mandatory across DFID.
          (or nominee) may drive the vehicle
                                                                        Background                                               Learning & Skills
      b) The driver must have a valid driving license
      c) A local handbook setting out guidance must be set up           It is the responsibility of the Heads of Overseas
          and a copy given to all vehicle users                                                                                  Other Sources of    None
                                                                        Offices to ensure that adequate systems are in
      d) A vehicle logbook must be maintained and kept in the
          vehicle for regular inspection                                place to ensure the proper control and                       Information
      e) The vehicle must be insured to the minimum extent              management of the use of DFID vehicles.
          required for compliance with local laws
      f) First Aid Kits must be placed in every vehicle
   4. Insurance cover for personal injury for drivers of DFID           The private use of official vehicles is permitted
      vehicles not employed by DFID (e.g. consultants) is the
      responsibility of the employer (or the individual where the       only in exceptional circumstances. It is a
      consultant is self-employed). No liability is accepted by
      DFID for non-DFID staff passengers using DFID vehicles.           concession, which, Heads of Overseas offices
      They are responsible for their own accident cover, failing        have discretion to approve, subject to strict
      this, they travel at their own risk
                                                                        conditions for hire.
   5. Private hire of DFID vehicles, provided it is authorised in
      advance, may be granted when:
      a) no alternative form of transport is available or suitable
      b) it would not interfere with the official use of the vehicle
      c) the applicable hire charge is levied – see detailed guidance
      d) charges are received as Appropriations-in Aid
   6. The Officer hiring the vehicle is responsible for the cost of
      adequate insurance, all fuel and hiring charges for the
      duration of the hire period. All fuel put into the vehicle must
      be recorded in the vehicle logbook which must be passed to
      the Transport Manager at the end of the hire period.

   Risks of Non-Compliance
   •   DFID Vehicles not adequately maintained
   •   DFID vehicles being used inappropriately without approval
   •   DFID vehicles being driven by uninsured staff                                                                                      Contact    OverseasEstatesEnquiries@dfid.gov.uk
   •   Staff not adequately insured in the event of an accident.


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                                                                                                                                                ENVIRONMENTAL MANAGEMENT
   Compliance Tasks                                           Environmental
   1. All staff must ensure that they give due regard to
                                                              Management                                                      Processes and     The Framework for Sustainable Development on the Government’s Estate

      environmental issues in their day-to-day activities                                                                             Tools     Green Issues inSight page
      within DFID.                                            Background
                                                                                                                                                Awareness campaigns – posters, leaflets etc. Notices on Insight. Travel questionnaires.
                                                              The Government has directed that Departments
                                                              should set an example in environmental management                                 E-learning for new staff
                                                              by reducing waste, conserving resources and
   Risks of Non-Compliance                                    encouraging others to do the same. DFID is
                                                                                                                                                Office Services inSight page

   • Failure to achieve the Government targets                committed to improving our environmental
                                                              performance by implementing a Government wide
   • Risk of infringement of waste legislation resulting in   initiative entitled “The Framework for Sustainable                                Environmental (green housekeeping) issues are included in the mandatory Induction/
                                                              Development on the Government’s Estate”                             Associated
     fixed penalty fines                                      published in July 2002. The Framework sets out                                    e-learning material.
                                                              performance targets for Government departments in
                                                                                                                            Learning & Skills
   • Detrimental Impact on the Environment                    key areas. The entire framework can be found on the
                                                              Government sustainable development website.
   • Loss of reputation for DFID.                                                                                                               Office Services and Security Department (OSSD) leads on Environmental Management.
                                                              There are various means by which all staff can                Other Sources of
                                                              individually make a positive contribution to DFID’s                               For further guidance please contact the Environmental Management officer in OSSD.
                                                              internal environmental performance. These include:
                                                                                                                                Information
                                                              • Energy: staff should ensure they switch off IT                                  Further information on environmental issues can be found on the following websites:
                                                                and other equipment at night
                                                                                                                                                Environment Agency
                                                              • Waste Management: Be familiar with and
                                                                follow local practices for sorting and recycling                                DEFRA – Department for Environment Food and Rural Affairs
                                                                of waste, including paper, plastics,
                                                                consumables, etc
                                                              • Paper: Use less paper and create less waste by
                                                                reading short e-mails on screen, and copying
                                                                and printing double-sided wherever possible
                                                              • Water: Don’t leave taps running and only use
                                                                what you need.
                                                              Procurement: Ensure that environmental aspects are
                                                              fully taken into account in all procurement. For staff
                                                              who are involved with DFID procurement please
                                                              first read Procurement Group Guidance. There are
                                                              specific government standards which must be
                                                              applied in respect of procurement of a number of
                                                              areas where the goods, or means of manufacture of
                                                              those goods, have an environmental impact, such as
                                                              all wood products (including furniture and paper),
                                                              electrical items, and equipment using refrigerants.
                                                              Guidance on local procurement can also be found
                                                              there. There is also guidance on the green website of                  Contact    OverseasEstatesEnquiries@dfid.gov.uk
                                                              the Government “quick win” initiative when
                                                              procuring products.


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                                   Security                   H


                                   Security Department
                                   Security              H1




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                                                                           SECURITY
Security
                                                         Processes and     DFID Security Manual
                                                                 Tools
Background
All UK based staff are bound by the provisions of                          Security component of the standard Induction Course for new entrants;
the Official Secrets Act governing the disclosure
                                                             Associated
of information and must ensure that security           Learning & Skills   Overseas security training course (currently run by FCO) for all staff being posted
policies are fully implemented.                                            overseas or staff who are frequent travellers. For high-risk postings eg. Iraq and
DFID, in common with other Government                                      Afghanistan special pre-postings security briefings are organised by the relevant
Departments, is responsible for assessing its own                          Sections/Departments.
security risks and setting appropriate policies
and procedures to mitigate these in the context
of its business objectives and in line with central                        Essential Guide to Rules and Tools: Information Technology Compliance
government rules and guidance.
                                                       Other Sources of
The Departmental Security Officer (DSO) and
                                                           Information     Essential Guide to Rules and Tools: Records Management
Security Section of Office Services and Security                           Essential Guide to Rules and Tools: Overseas Estates
Department (OSSD) has overall responsibility for
advising Top Management on corporate security                              Essential Guide to Rules and Tools: Health and Safety
issues and overseeing the implementation of                                DFID Security Section, OSSD
agreed policies and procedures.
DFID security procedures are informed by the                               Cabinet Office Security Department
rules and guidance contained in the Cabinet                                Data Protection Act 1998
Office Manual of Protective Security (MOPS).
DFID’s Security Manual on Insight summarises                               Freedom of Information Act 2000
key security rules, processes and responsibilities.
                                                                           Official Secrets Act 1911 (as revised in 1989)
Unless otherwise specified all security
compliance matters apply equally to all DFID                               Departmental Security Co-ordinators Responsibilities and Duties booklet (available from
offices, whether in the UK or overseas, and are                            Security Section)
equally as relevant to UK based and Staff
Appointed In Country (SAIC) staff, as well as
temporary, casual or consultancy staff working
in our offices.
Failure to comply with security policies and
procedures may be recorded as a security
breach and consequent disciplinary action                       Contact    SecuritySection@dfid.gov.uk
taken. Line Managers are responsible for
monitoring and implementing corporate security
procedures in their areas of operation.

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   Compliance Tasks                                                                                                        Risks of Non-Compliance

   1. Staff must wear passes visibly at all times in the office.   8. All breaches of security procedure, thefts and       • Vulnerability of DFID buildings and staff to
      The loss of a pass should be reported to Security Section,      losses must be reported to Line Management              terrorism, espionage and theft
      OSSD                                                            and Security Section immediately on detection
                                                                                                                           • Inappropriate disclosure of information
   2. Classified Information must be protectively marked,          9. Personnel vetting clearances linked to various
      handled, stored and (when necessary) destroyed                  levels of access to classified information are in    • Loss of Information or breach of confidence
      following government-wide regulations. Instruction is           place. All staff (including SAIC, secondees,
      given in the DFID Security Manual. Access to Restricted         temporary or agency staff and consultants)           • Loss of equipment
      and more highly classified material is strictly on a need-      working in DFID offices or likely to access
                                                                                                                           • Prosecution and official criticism
      to-know basis                                                   classified information in the course of their work
                                                                      must be security cleared to the appropriate level    • Damage to reputation and impact on DFID
   3. Equipment and physical assets must be recorded in the
                                                                      before starting work. Currently the security            credibility within Whitehall and overseas
      DFID asset register, safely stored and protected both in
                                                                      clearance entry points for staff working in DFID
      and out of the office (eg. laptops when travelling) to
                                                                      are: UK based staff must be cleared to at least      • Failure in duty of care to staff and others
      safeguard from theft and/or misuse. Advice on storage
                                                                      CTC level; SAIC staff must have a minimum
      and handling is given in the DFID Security Manual                                                                    • Actual harm to personal privacy, commercial
                                                                      Basic Check. Departments must consult with
   4. DFID buildings in the UK and overseas must have                 Security Section, when deciding on the level of         confidentiality, international relations, candour
      physical security measures in place commensurate with           clearance required. The level of security               of internal discussions, willingness of
      the perceived threat, based on the Manual of Protective         clearance must be specified for a post rather
                                                                                                                              partners to share information etc.
      Security (MOPS) guidance (held by Security Section) and         than an individual and should be appropriate to
      DFID Security Section advice. On overseas security              actual requirements for the job. Security Section
      issues we work closely with the FCO to ensure similar           oversees and manages clearance procedures in
      standards are applied                                           line with MOPS guidance. Further advice is
   5. All staff posted overseas (and frequent travellers) must        contained in the DFID Security Manual
      attend an appropriate overseas security awareness            10.Every department and overseas office must have
      briefing before posting                                         a Departmental Security Co-ordinator (DSC).
   6. Staff posted to or travelling to particularly dangerous         They and their deputies are responsible for
      locations (eg. currently Iraq, Afghanistan) must attend         coordinating security within their departments/
      specific security protection courses before posting.            offices and providing a first line response on
      Training will be specified and organised by the relevant        some security issues eg. re-setting combination
      Section/Department after consultation with Security             locks. Security Section provide overall advice
      Section                                                         and co-ordination of DSCs.

   7. All staff posted overseas must also receive local in-
      country security briefing at Post not later than one week
      after arrival



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                                   Information Systems                           I


                                   Information Systems Department (ISD)
                                   Information Technology Systems in DIFD   I1




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                                                                                                                                                      INFORMATION TECHNOLOGY SYSTEMS IN DFID
   Compliance Tasks                                                     Information
   1. DFID’s Network and DFID Laptops are classified as
                                                                        Technology Systems in                                       Processes and     ITC Security Policy and Best Practice
      RESTRICTED. Users’ files must not contain information
                                                                        DFID                                                                Tools     IT Key Guidance – General Guidance on use of IT systems in DFID
      requiring a higher protective marking
   2. Passwords used to access the network must not be disclosed to                                                                                   Laptop Security
      anyone else. Disclosing or sharing a password will constitute a
      security breach                                                                                                                                 Best Practice on the Use of e-mail and Electronic Diaries
   3. Users must not install or use software that has not been
      authorised and approved by ISD. Details of the supported
                                                                        Background                                                                    Help Desk Facilities
      software can be found in the ISD Service Level                    DFID’s IT network links the main HQ offices in                                The Help Desk will provide full user support from 07:00 –19:00 (UK Time) during normal
      Agreement (SLA)                                                   the UK to over 70 other DFID offices around the                               working days.
   4. Staff must verify that that the recipients have the necessary     world. It allows for the transfer of data between
      access rights before sending them a RESTRICTED document           these offices and access to centrally held
      by e-mail                                                         systems.
                                                                                                                                        Associated    Users will not be given a remote working system without prior training
   5. All equipment loaned from ISD must be signed for by the user      The use of home working facilities and remote
   6. Users must ensure that all IT equipment is safely stored and      laptops throughout DFID helps to support the              Learning & Skills
      protected both in and out of the office to safeguard it from      DFID’s “Finding a Fit” and “Work Life Balance”
      theft/misuse. Users must lock their computers when they are       initiatives.
                                                                                                                                  Other Sources of    GSi (Government Secure Internet)
      unattended using password-protected screen-savers.                DFID has a limited number of terminals that
      Laptops containing RESTRICTED material must be handled
                                                                        allow access to FIRECREST-D and these have                    Information
      according to the rules for RESTRICTED documents
                                                                        been deployed at most sites. This has led to
   7. Before staff leave DFID employment, they must return all IT       increased security requirements. FIRECREST- D
      equipment that was given to them. Users must receive training     is the DFID version of the FCO CONFIDENTIAL
      before they can be issued with a remote working laptop            FIRECREST system.
   8. All new users MUST be SC cleared (Security Clearance) by          DFID’s disposal policy is to donate Personal
      the Security Section before being given access to
                                                                        Computers (PCs) to charities and aid projects
      FIRECREST-D machines
                                                                        and we insist that the Hard Disk is securely
   9. The FIRECREST-D system is classified as CONFIDENTIAL.             wiped and that this is verified. This ensures that
      Users’ files must not contain information requiring a higher      all DFID data is removed, including licensed
      protective marking.                                               software, which we cannot transfer to a new
                                                                        owner.

   Risks of Non-Compliance                                              Staff will have to comply, when disposing of IT
                                                                        Equipment, with the Waste of Electrical and
   • Potential Security Breaches                                        Electronic Equipment (WEEE) guidelines that
   • DFID IT Infrastructure put at risk                                 will become law during 2005. The recipient of
   • Damage to DFID’s reputation                                        any equipment from DFID will also have to
                                                                        confirm it will be disposed of in accordance
   • Introduction of Viruses to DFID Network                            with the WEEE regulations.
   • Integrity of DFID network put at risk
                                                                        Misuse of IT systems will result in disciplinary
                                                                                                                                           Contact    Help Desk, ISSD@dfid.gov.uk
   • Potential for unnecessary downtime.                                procedures against staff.

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                                   Managing Information and                                J
                                   Communications

                                   Information and Civil Society Department (ICSD) Open
                                   Government Unit
                                   Freedom of Information                             J1
                                   Data Protection Act (1998)                         J2
                                   Records Management                                 J3
                                   Press Office
                                   Media Relations                                    J4
                                   Publicity Issues                                   J5
                                   Business Transformation Unit
                                   Using Electronic Channels to Communicate
                                   With DFID Staff (InSight)                          J6
                                   Communicating Using DFID's Website (External)      J7




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                                                                                                                                                  FREEDOM OF INFORMATION
   Compliance Tasks                                                   Freedom of
   1. All requests for information must be met within 20
                                                                      Information                                               Processes and     Open Government Unit (OGU) Guidance
      working days                                                                                                                      Tools
   2. All information requests, replies and resulting releases must
      be sent to Open Government Unit to be approved and logged                                                                                   Half-day FOI course. (Mandatory for all Quest Information Managers and recommended
                                                                                                                                    Associated
   3. All information requested, regardless of age or format, must                                                                                communication staff).
      be released unless an exemption applies in a particular case                                                            Learning & Skills
                                                                                                                                                  Basic FOI awareness component in Corporate Induction and e-learning induction.
   4. Any refusal to release information must be explained in the     Background                                                                  All staff to have read the basic FOI briefing on inSight.
      reply letter, together with the rights and process of appeal.                                                                               Basic FOI awareness presentation/briefing for all records staff as part of registry training.
      Open Government Unit will advise                                The Freedom of Information Act 2000 (FOIA)

   5. All reasons for non-release of information must be agreed by    and the Environmental Information Regulations
      Open Government Unit                                            2004 (EIR) give wide-ranging rights of access to
   6. Any new decision by a Section or Department to regularly        government information to the public from               Other Sources of    British Embassy or High Commission Security Officers responsible for Post Business
      disseminate or publish a category of information must be                                                                                    Continuity Plans (BCPs)
                                                                      1 January 2005. There are exemptions to these               Information
      notified to Open Government Unit for possible inclusion in
      the Publication Scheme                                          rights, but most of the information held by                                 Essential Guide to Rules & Tools: Data Protection
   7. Any charge for release of information must be agreed with       DFID will be disclosable on request to anyone
      Open Government Unit who will administer the charging                                                                                       Essential Guide to Rules & Tools: Records Management
                                                                      worldwide.
      process
                                                                      Any request for information from a person or                                Government Secure Internet Website
   8. Any complaint about the handling of a request must be
      forwarded to the Open Government Unit to be processed.          organisation outside DFID, which is not publicly                            Office for The Information Commissioner: Acts and Regulations
                                                                      available or would not be supplied to the
                                                                                                                                                  Department for Constitutional Affairs (DCA) Website
   Risks of Non-Compliance                                            requester in the course of normal business, may

   • Loss of information or Breach of confidence                      be an FOI or EIR request.

   • Prosecution and Official criticism
   • Damage to DFID’s reputation for openness and transparency
   • Failure in duty of care to staff or others
   • Actual harm to personal privacy, commercial confidentiality,
     international relations, candour of internal discussion,
     willingness of partners to share information, etc
   • Detrimental impact on resources from protracted searches,
     correspondence or complaint cases.


                                                                                                                                       Contact    foi@dfid.gov.uk



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                                                                                                                                                     DATA PROTECTION ACT 1998
   Compliance Tasks                                                   Data Protection
   1. Personal information must not be retained or shared without
                                                                      Act 1998                                                     Processes and     Open Government Unit Insight Page
      a clear business need and in line with procedures agreed                                                                             Tools     Data Protection Acts & Regulations
      with Open Government Unit (OGU)
   2. All requests for personal information must be met within 40
      calendar days
                                                                                                                                       Associated    Basic DP awareness as part of OGU training for all registry and records staff.
   3. All information requests and relevant information must be
                                                                                                                                 Learning & Skills   OGU DP training for DP Liaison Officers and Quest Information Managers.
      passed to OGU immediately                                       Background
   4. All requests for personal data under DPA will be subject to
      a £10 charge                                                    The Data Protection Act 1998 (DPA) implements
                                                                      the European Directive 46/96/EC and requires               Other Sources of    Essential Guide to Rules & Tools: Freedom of Information Act
   5. All relevant information requested must be released unless
      an exemption applies which favours non-disclosure               member states to protect an individual’s right to              Information     Essential Guide to Rules & Tools: Records Management
   6. Any refusal to release information must be explained in the     privacy with respect to the processing of
      reply letter, together with the rights and process of appeal.                                                                                  Office for The Information Commissioner
                                                                      personal data.
      OGU will draft appropriate responses in each case and will
      reply on DFID’s behalf
                                                                      The Act applies to paper records as well as those                              The Department for Constitutional Affairs (DCA) Website
   7. All reasons for non-release must be agreed with OGU.            held on computer and covers “personal data” -
                                                                      that is data about identifiable living individuals.
   Risks of Non-Compliance                                            It places restrictions on recording and using
   • Loss of information or breach of confidence                      personal information and gives rights to
   • Prosecution and Official criticism                               individuals about whom data is held.

   • Damage to DFID’s reputation for openness and fairness            Any written request from an individual seeking
   • Failure in duty of care to staff or others                       access to information held about them may be a
   • Actual harm to personal privacy, commercial confidentiality,     Data Protection Subject Access Request.
     international relations, candour of internal discussion,
     willingness of partners to share information, etc
   • Detrimental impact on resources from protracted searches,
     correspondence or complaint cases
   • Negative impact on DFID’s relations with staff and
     stakeholders.




                                                                                                                                          Contact    foi@dfid.gov.uk



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                                                                                                                                                 RECORDS MANAGEMENT
   Compliance Tasks                                                   Records Management
   1. All departments and overseas offices must designate an
                                                                                                                               Processes and     Open Government Unit Procedures
      Information Manager                                                                                                              Tools     Quest
   2. All documents (including e-mails) which record a significant
      action or decision or provide significant evidence of DFID’s
      business must be captured in the corporate record, either by
      saving to Quest or by placing a paper version on the relevant                                                                              Training in records procedures for Departmental Information Support Officers and
      registered file. Such actions or decisions could include                                                                     Associated
      policy or procedural decisions, spending or programme           Background                                             Learning & Skills   Information Managers provided by staff in Open Government Unit.
      commitments, or agreements between departments
                                                                      All documents and records created or received
   3. All departments/overseas offices must review the paper files
                                                                      in DFID (and other public bodies) could form                               Essential Guide to Rules & Tools: Data Protection
      they have raised for disposal action. This review is                                                                   Other Sources of
      undertaken at the end of a three-year file period by the        part of our Public Records. Under the Public
      Information Manager or a suitable officer of at least B2        Records Acts of 1958 and 1967, each
                                                                                                                                 Information     Essential Guide to Rules & Tools: Freedom of Information
      grade. They must use the file disposal schedule for their
      department or office for this purpose. Files noted for Second   Government Department is required to appoint                               The National Archives
      Review must be retained for 25 years before review by           a Departmental Records Officer (DRO) who is
      Open Government Unit
                                                                      responsible for all records management within a
   4. Disposal of records on Quest will be carried out by Open        department and is answerable to The National
      Government Unit with the support of departmental
      Information Managers, based on agreed disposal schedules        Archives (TNA, formerly the Public Record
   5. The Head of Department or Head of Overseas Office is            Office). TNA holds UK Government records,
      responsible for making sure the file review is undertaken.      which are selected for permanent preservation.

                                                                      DFID also has a clear business need to keep
   Risks of Non-Compliance                                            records in a logical and meaningful way.
   • Breach of the Public Records Acts                                Efficient record keeping enables DFID to meet
   • Failure to meet the terms of the Annual Framework                its legal requirements, be transparent as an
     Agreement between DFID and TNA                                   organisation and work effectively towards the
   • Failure to locate files                                          Millennium Development Goals.
   • Failure to find information held in files                        During 2005, DFID will move from a
   • Loss of evidence of decision-making or audit trail               predominantly paper-based record keeping
   • Loss of critical information                                     system to Electronic Document and Records
   • Failure to meet Freedom of Information and Data Protection       Management system called QUEST. Paper and
     requirements                                                     other physical records will be retained only
   • Damage to DFID’s reputation.                                     where necessary. Guidance will be available on                  Contact    RecordsManagement@dfid.gov.uk
                                                                      the appropriate use of physical records.


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                                                                                                                                                    MEDIA RELATIONS
   Compliance Tasks                                                    MEDIA RELATIONS
   1. Any DFID staff member in the UK contacted by a journalist
                                                                                                                                  Processes and     Guidance on Media Relations
      must pass their details and enquiry to the Press Office, based                                                                      Tools
      in London Headquarters
                                                                       Background
   2. Staff working overseas must not agree to provide briefing
      material/information to, or agree to an interview with, a        DFID needs to handle the media effectively to                  Associated    None but training is recommended for Heads of Overseas Offices on media relations and
      journalist without prior agreement of the Head of Office         promote our policies and to protect our                                      interview techniques.
                                                                                                                                Learning & Skills
   3. No DFID staff member in the UK should agree to                   reputation. In the UK, Ministers handle most of
      provide briefing material/information to – or agree to an        our media work under advice from Press Office.
      interview with – a journalist without prior reference to the     DFID staff should only speak to journalists if                               Press office inSight Page
      Press Office                                                                                                              Other Sources of
                                                                       asked to do so by Press Office. They are
   4. Heads of Overseas Offices are authorised to undertake local      authorised to give both ‘off the record’                     Information
      media briefings or interviews at their own discretion; any
                                                                       background briefings and ‘on the record’
      briefing or interviews with UK or international journalists
      must first be cleared with the UK Press Office.                  interviews as requested. The Press Office will
                                                                       seek approval of the Permanent Secretary (PS)
                                                                       and/or Ministers as appropriate, particularly
   Risks of Non-Compliance                                             where an interview will cover high profile
   • Damage to the Department’s reputation                             and/or sensitive issues.

   • Inconsistent/contradictory information/messages                   The situation is less clearly defined in overseas
   • Officials exposed to personal vilification in the media           offices where it is not practical to involve
                                                                       Ministers. But we still need to ensure accurate,
   • Breach of the Official Secrets Act.
                                                                       better informed and more widespread reporting
                                                                       of DFID’s work and general development issues;
                                                                       and offer protection to both officials and press
                                                                       officers in their relationships with journalists.
                                                                       Staff overseas should – unless completely
                                                                       impractical – liaise with the Press Office before
                                                                       agreeing to provide information to UK or
                                                                       international journalists on behalf of DFID.
                                                                       They should inform the Press Office as soon as
                                                                       possible afterwards of any impromptu
                                                                       encounters which may lead to coverage of
                                                                       DFID’s work. The Head of Overseas Office
                                                                       should agree work with the local media.
                                                                       Full guidance on dealing with the media for all                   Contact    PressOffice@dfid.gov.uk

                                                                       DFID staff can be accessed on Insight.

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                                                                                                                                                     PUBLICITY ISSUES
   Compliance Tasks                                                 Publicity Issues
   1. Publicity and Marketing team must approve any proposal to
                                                                                                                                   Processes and     Corporate Strategy Group Insight Page
      produce a publication and associated timetable for                                                                                   Tools     Essential Guide to Rules & Tools: Press
      production prior to submission to ministers
                                                                    Background                                                                       DFID's External Website Guidance
   2. All DFID publications and DFID publicity and marketing
      materials must be approved by Information Division            The Publicity & Marketing Team has                                               Policy Division Communications
   3. No team should engage the services of graphic designers or    responsibility to deliver elements of DFID’s
      printers independently or without prior agreement from        external communications strategy.
      Information Division
                                                                    This includes production of DFID publications                      Associated    None
   4. Policy Division teams should first contact Policy Division    as well as marketing and publicity support
      Communications team, which produce publications within
                                                                    materials for events aimed at a UK audience.
                                                                                                                                 Learning & Skills
      a series of agreed formats or will liaise with Publicity &
      Marketing as appropriate
                                                                    In the first instance the team offers advice and                                 Media Relations
   5. Any team commissioning writers and editors must ensure
                                                                                                                                 Other Sources of
                                                                    support to commissioning teams. This will help:
      that copyright terms are agreed to ensure that DFID has the
                                                                    • Clarify the key purpose of the publication /                   Information     Web team leads on approval of content for the external website
      right to use or re-use material in the future
                                                                        publicity materials
   6. Electronic versions of DFID publications that are to be                                                                                        Information & Communication for Development (ICD) team lead on communications
                                                                    • Identify the intended audience
      posted on the web-site must meet the criteria agreed in                                                                                        targeted at an audience overseas
      collaboration with Publicity and Marketing and the Web        • Agree an appropriate format (which may be
      team. [Planned guidelines due to be issued by end 2005]           electronic only) and
   7. Use of DFID’s logo by a third party must be approved by       • Outline a production schedule
      Information division
                                                                    Once a proposal has been approved we then
   8. DFID employees should only use the official DFID              support and oversee production of external
      Business card.
                                                                    publications intended for DFID stakeholders
                                                                    and a UK audience.
   Risks of Non-Compliance                                          When a publication is intended for a broad UK
   • Loss of credibility or broader damage to DFID’s reputation.    audience it is often useful to employ an
     Lack of strategic focus to DFID’s External Communications      ‘external’ writer or editor. In some cases this
     output. Potential for mixed or conflicting messages to be      service can be delivered in-house. For ‘Quick
     delivered to known stakeholders or the broader UK public
                                                                    Guides’ it may be advisable to have text
   • Weakening of DFID’s brand and presence                         approved by the ‘Plain English Campaign’.
   • Breach of DFID/Her Majesty’s Government (HMG) policies         Advice will be given by the team on a project-
     and guidelines such as those relating to use of ‘green’ and    by-project basis.
     sustainable stock and print production methods.
                                                                    The Publicity & Marketing Team also manage the
                                                                    contract for storage and distribution of publications                 Contact    Publicity@dfid.gov.uk
                                                                    and the provision of DFID Business Cards.


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                                                                                                                                                 USING ELECTRONIC CHANNELS TO COMMUNICATE WITH DFID STAFF (INSIGHT)
   Compliance Tasks                                               Using Electronic
   1. All Information Managers and Information Support Officers
                                                                  Channels to                                                  Processes and     Information Manager (IM) and Divisional Information Support Officer (DISO) Guidance

      must have training on the QUEST content management          Communicate with                                                     Tools     Using Spotlight
      workflow before being permitted to publish to inSight
   2. Requests for new sections on inSight must be made to the    DFID Staff (inSight)
      Head of E-Communications.                                                                                                    Associated    All Information Managers and Departmental Information Support Officers must receive
                                                                                                                                                 training on the QUEST content management workflow before publishing to inSight.
                                                                  Background                                                 Learning & Skills
   Risks of Non-Compliance                                        The DFID intranet (inSight) is the core electronic
   • Material not meeting standards will not be published –       communications channel available to virtually              Other Sources of    Essential Guide to Rules & Tools: Communicating Using DFID's Website (External)
     resulting in unnecessary delays                              all staff, both in the UK and Overseas. It has
                                                                                                                                 Information     Information Manager Terms of Reference
   • Poor visibility of your messages and objectives
                                                                  existed since June 2001 and is the vehicle
                                                                  though which staff can share current
   • Possible violation of your department’s Service Level                                                                                       Quest Insight Page
                                                                  information within teams and across DFID.
     Agreement communication-related objectives.
                                                                  The inSight team, situated in the Information
                                                                  and Civil Society Department (ICSD), manages
                                                                  the information architecture and corporate
                                                                  content on inSight.
                                                                  Information Managers and Departmental
                                                                  Information Support Officers are responsible for
                                                                  managing the content and structure of sections of
                                                                  inSight through QUEST’s content management
                                                                  workflow. They must cooperate with the inSight
                                                                  Team to ensure that their site adheres to core
                                                                  standards and remains up-to-date.
                                                                  The inSight team is responsible for overseeing
                                                                  all sections of inSight, supporting Information
                                                                  Managers and Departmental Support Officers
                                                                  in ensuring that published material adheres to
                                                                  core standards.
                                                                  Spotlight is the internal news component on the
                                                                  homepage of inSight. The inSight team manages
                                                                  this. They check and approve all material intended
                                                                  for Spotlight. Responsibility for overall editorial
                                                                  control of material lies with the head of                           Contact    Insight@dfid.gov.uk
                                                                  Information and Civil Society Department (ICSD).


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                                                                                                                                               COMMUNICATING USING DFID’S WEBSITE (EXTERNAL)
   Compliance Tasks                                                 Communicating using
   1. If DFID staff want to communicate via the web, they must
                                                                    DFID’s Website                                           Processes and     DFID's External Website Guidance

      do so via the www.dfid.gov.uk address. They must not set up   (external)                                                       Tools     Cabinet Office eGovernment Unit Web Guidelines
      their own external website
                                                                                                                                               World Wide Web Consortium (w3c) Content Accessibility Guidelines
   2. Requests to have data placed on DFID’s website must be
      channelled through the DFID Website Team (website-
      team@dfid.gov.uk)
                                                                                                                                 Associated    None
   3. In cases where material will be produced on our behalf but    Background
      as part of a wider project with another organisation, the                                                            Learning & Skills
                                                                    The main source on the internet where those
      contract must include a statement that ensures that the
      Website Team is given access to the material and can link     outside of   DFID can find information about
      to it.                                                        DFID and its activities is at www.dfid.gov.uk          Other Sources of    Disability Rights Commission: Access and Inclusion For Disabled people

                                                                    Use of this address is monitored by the                    Information     Office of the Information Commissioner
   Risks of Non-Compliance                                          eGovernment Unit in the Cabinet Office.
   • Poorly formatted material       risks   prosecution   under    www.dfid.gov.uk adheres to Cabinet Office
     accessibility legislation                                      guidance standards and legislation.
   • If requests are not made through Website Team, material will
                                                                    DFID aims to make increasing use of the
     not be published, resulting in the missing of key publicity
     deadlines, loss of understanding amongst audiences and         website as a publicity and awareness-raising
     loss of credibility among DFID’s external audience             tool. The Freedom of Information Act refers to
   • Multiple, unregulated websites risk confusion of DFID’s        DFID’s obligations on making documents and
     message and identity among external audiences Also             publications available to the public. This is
     confusion over lines of responsibility and corporate
     ownership of material on these websites.                       increasing the amount of material being
                                                                    published on www.dfid.gov.uk.

                                                                    All material published on DFID’s website must
                                                                    meet Cabinet Office eGovernment Unit web
                                                                    guidelines. The website is managed by a central
                                                                    Website Team (AH504) which is part of the
                                                                    Information and Civil Society Department.



                                                                                                                                    Contact    Website-Team@dfid.gov.uk



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                                   Parliamentary, Ministerial and                           K
                                   Top Management Group

                                   Parliamentary Unit
                                   Oral Parliamentary Questions: Houses of Commons,
                                   Lords and Prime Minister's Question Time            K1
                                   Written Parliamentary Questions: Houses of
                                   Commons and Lords                                   K2
                                   Written Ministerial Statements: Commons and Lords   K3




Essential Guide to Rules & Tools




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                                                                       ORAL PARLIAMENTARY QUESTIONS (PQS): HOUSE OF COMMONS,
Oral Parliamentary                                                                                         LORDS AND PRIME MINISTER’S QUESTION TIME


Questions (PQs):                                     Processes and     Top Management Group inSight Page

House of Commons,                                            Tools
Lords and Prime                                          Associated    Working with Ministers
Minister’s Question                                Learning & Skills
Time
                                                   Other Sources of    Parliament Website

                                                       Information
Background
In the House of Commons, Oral questions on
International Development occur once every
four weeks (on a Wednesday) when Parliament
is in session. DFID is only given three working
days notice of the questions to be answered
therefore deadlines are tight and must be
respected.

In the House of Lords oral questions can be
raised at any time. These are known as “starred
questions”.

Prime Minister’s (PM) Questions are held every
Wednesday when Parliament is in session. For
the PM’s Oral Questions two types of briefing
may be requested, Find a Fact or Full Briefing.
No10 will advise on what is required. Check
with Parliamentary Unit.


                                                            Contact    Parliamentary, Questions@dfid.gov.uk



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   Compliance Tasks                                                                                                           Risks of Non-Compliance

   For the House of Commons                                           11. Officials will have a 10-15 minute briefing         • Potential to mislead Parliament
                                                                          session with Ministers on Tuesday morning. (for
   1.   Full briefing is required on the first nine questions. This                                                           • Damage      to    Ministers’   and    DFID’s
                                                                          question 1-9 on the list).
        should comprise five sections: the answer, bullet                                                                        relationship with Parliament and the public
        points, summary boxes, supplementary question (with           For the House of Lords
        index) and background. The remaining six questions                                                                    • Disproportionate costs
        (plus any which, in the event, are not reached at orals)      12. “Starred” or oral questions are tabled on an ad
                                                                          hoc basis (and sometimes with only a day’s          • Duplication of effort
        will be treated for written reply
                                                                          notice)
   2.   Initial answer must be no longer than 100 words                                                                       • Delays in not meeting deadlines meaning
                                                                      13. Please follow the template and deadlines given         Ministers are unprepared for their
   3.   The initial answer must be double-spaced, Arial pt 14             by Parliamentary Unit
                                                                                                                                 Parliamentary sessions.
   4.   Answers must be clear, concise, contain no jargon with        14. Officials will need to orally brief our Lords
        acronyms spelt out the first time they are used                   Spokesperson on the day of the question.
   5.   Ministers use summary boxes as a vital part of the
        briefing pack. You must think carefully about the             For Prime Minster’s Questions
        information that you put into these – it should be key        Find a Fact – short punchy bullet points
        points and messages that our Ministers may need to
                                                                      15. Provide 5 or 6 bullet points with key facts and
        use, in brief language and clearly set out
                                                                          figures
   6.   Supplementary questions must be drafted as above and
                                                                      16. The typeface must be CG Times 13.5.
        cover all the issues that could be raised around the
        original question                                             Full Briefing – can be up to two pages long
   7.   The background section must put the question into             17. The Head of Department (Group Leader in
        context and contain any relevant information                      Policy Division) must clear the briefing as with
        (including Foreign and Commonwealth Office briefing               all other Parliamentary briefing
        for country-specific questions, Home Office briefing
                                                                      18. Deadlines must be respected
        for anything to do with Migration etc)
                                                                      19. Briefing should be submitted to Parliamentary
   8.   Answers and briefings should be cleared by Heads of
                                                                          Unit by E-Mail to lead person
        Department/Group Leaders
                                                                      20. An official must be available at all times on the
   9.   Submit all PQs electronically to the lead person in
                                                                          morning of the day in case the Prime Minister’s
        Parliamentary Unit by 15:00 on the Monday before the
                                                                          Office raises any last minute points.
        Oral Question session
   10. Additional background must reach Parliamentary Unit
       by 15:00 the day before the session (Tuesday)



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                                                                                    WRITTEN PARLIAMENTARY QUESTIONS (PQS): HOUSES OF COMMONS AND LORDS
Written Parliamentary
Questions (PQs):                                                  Processes and     Top Management Group inSight Page

Houses of Commons                                                         Tools
and Lords                                                             Associated    Working with Ministers course

Background                                                      Learning & Skills
Parliamentary Questions (PQs) are asked for a variety
of reasons and form a part of the scrutiny function of
Parliament. In the House of Commons a Member of
                                                                Other Sources of    Parliament Website
Parliament (MP) may have constituents’ concerns that
they wish to raise, want more information on a topic
or may have been asked by a lobby or pressure group
                                                                    Information
to ask questions.
In the House of Commons, an MP will ask a question
of the relevant Secretary of State. “Named Day
Questions” are when the MP has asked for a response
on a specific day. A Named Day Question must be
answered on the day stipulated (on occasion, a
holding reply may be sent but this must be justified to
Ministers). For all other questions we have five
working days to respond to the MP, therefore
deadlines can be tight.
In the House of Lords questions are usually asked
because the Peer has an interest and normally a certain
level of knowledge in the topic. The questions are asked
to Her Majesty’s Government, the House of Lords
decides which Department should answer the question.
On occasion, a PQ is asked that is very similar to a
question that has been asked previously by another MP.
We are able to respond to the question by referring
back to the previous answer given. This is known as a
“referral answer”. If the same MP asks two or more
questions all of which can be answered in a single
reply, it may be possible to group the PQs. In case of
doubt, Parliamentary Unit should be consulted.
Sometimes it is impossible to provide an answer to a
written Parliamentary Question without detailed
research and analysis. If a question is liable to cost
more than £650 in official time, then a
disproportionate cost answer can be given.
Where the same question is asked simultaneously of
several Government Departments, Cabinet Office will
provide guidance on the response, which all                              Contact    Parliamentary, Questions@dfid.gov.uk
departments must use. This type of response is known
as a “Round Robin”. If you have any queries please
check with Parliamentary Unit.
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   Compliance Tasks                                                                                                          Risks of Non-Compliance

   1.   DFID must provide responses to Commons and Lords                14. If the response to the new question is exactly   • Damage to Ministers’ and DFID’s reputation
        PQs within a week. Named Day Questions may have a                   the same to an answer given previously. Check       with Parliament
        tighter deadline                                                    with Parliamentary Unit
                                                                                                                             • Disproportionate costs incurred
   2.   Let Parliamentary Unit know as soon as possible if you          15. Include the previous PQ when submitting to
        believe DFID has been asked a question that is for                  Parliamentary Unit.                              • Duplication of effort
        another Government Department
                                                                        For disproportionate cost answers                    • Potential to mislead Parliament
   3.   If the question is for another department within DFID
        ensure you get agreement from the other department to           16. Follow the standard format for the answer        • Delays leading to not meeting deadlines as
        take the question on. Forward the template to them and          17. Inform Parliamentary Unit before submitting         set by Parliament.
        inform Parliamentary Unit                                           your Disproportionate Cost Answer
   4.   For the Commons answers must be in Arial, Point 12.             18. Prepare a background note to Ministers
        For the House of Lords, answers must be in Courier                  explaining why it has not been possible to
        New, Point 12                                                       provide a full response.
   5.   All acronyms must be spelt out the first time they
        are used                                                        For Round Robin answers
   6.   PQ drafts must be clear, concise and jargon free                19. Once guidance has been received from the
                                                                            Cabinet Office, draft answer accordingly on
   7.   Answers must be as helpful as possible to the MP/Peer               the template you have been given by
   8.   Very simple tables can be given with the answer, these              Parliamentary Unit.
        should be formatted in Word
   9.   If you wish to issue a complicated table (Excel) please
        send this as a separate attachment with a title page. The
        PQ should include the wording: “I have today placed
        in the Libraries of the House a table named XXX”
   10. Answers from the same MP, on the same topic and with
       the same deadline can be grouped together
   11. PQs must be cleared through Heads of Department,
        Group Heads (in Policy Division)
   12. Submit all PQs electronically to “PQ Group” on Groupwise
   13. Attach all relevant notes, background information, tables etc.
   For Referral Answers


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                                                                                                                                                   WRITTEN MINISTERIAL STATEMENTS: COMMONS AND LORDS
   Compliance Tasks                                                     Written Ministerial
   1. Alert Parliamentary Unit to the possibility of a statement
                                                                        Statements: Commons                                      Processes and     Top Management Group inSight Page
      being made, in good time and copy them into submissions
                                                                        and Lords                                                        Tools
      where this is an option, by emailing the lead person on
      statements
                                                                                                                                     Associated    None
   2. Use the template provided for written statements
   3. They should be from a paragraph to three pages in length
                                                                                                                               Learning & Skills
   4. They should be clear, concise and not contain jargon. All         Background
                                                                                                                               Other Sources of    Parliament Website
      acronyms must be spelt out the first time they are used
                                                                        This is a useful way of informing Parliament
   5. Notify Parliamentary Unit of the date on which the                                                                           Information
      statement is to be made. You should give 24 hours notice          of changes in Policy or funding, contentious
      and provide the exact title. It is important that the statement   issues or to increase knowledge in an area of
      is agreed by Ministers and ready for issue on the date
                                                                        DFID work. Any associated press events should
      notified. In notifying House authorities, we must be certain
      that this is the case                                             not take place before issue of the statement to
   6. Parliamentary Unit will notify Parliament                         Parliament.
   7. You should provide the statement for clearance through
      Ministers (in either the name of the Secretary of State or
      the Parliamentary Under-Secretary of State). Preferably
      statements should be cleared no later than the day before
      issue (rather than in the box the previous night). Written
      statements are issued early in the morning of the day
      (usually in order to reach Parliament by 9.30am)
   8. Parliamentary Unit will ensure that the statement is repeated
      in the House of Lords.



   Risks of Non-Compliance
   • Potential to mislead Parliament
   • Damage to Ministers’ and DFID’s relationship with
     Parliament and the public
   • Disproportionate costs
   • Duplication of effort
   • Delays in not meeting deadlines meaning Ministers are
     unprepared for their Parliamentary sessions.
                                                                                                                                        Contact    Parliamentary, Questions@dfid.gov.uk



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                                   Roles                                                      L


                                   All Staff                                             L1
                                   Director                                              L2
                                   Head of Office / Head of Overseas Office              L3
                                   Departmental Finance Officer (DFO) / Debts Officer    L4
                                   Line Manager                                          L5
                                   Office Manager / Estates Management Officer           L6
                                   Local Contract Officer                                L7
                                   Programme Staff                                       L8
                                   Health and Safety Officer / Departmental Security
                                   Co-ordinator / Incident Control Officer               L9
                                   Information Manager                                  L10




Essential Guide to Rules & Tools




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                                                                                                                          ALL STAFF
                                                                      All Staff
     The checklist below is an overview of areas where ALL staff      Detailed guidance can be found in the
     have specific responsibilites.                                   sections below:
     You must follow DFIDs principles and procedures in respect of:
     Finance                                                          Managing Programmes, Projects & Expenditure,
                                                                      Accountability and Audit
     Recruitment, Probation and Postings                              Managing People
     Performance Management                                           Managing People
     Maximising Attendance                                            Managing People
     Annual leave, Career Breaks, Special Leave,                      Managing People
     Maternity Leave and Parental Leave
     Disciplinary and Grievance Policies                              Managing People
     Equality and Diversity Policies                                  Managing People
     Standards of Propriety                                           Conduct and Propriety
     Health and Safety                                                Accommodatiion & Workplace
     Environmental Management                                         Accommodatiion & Workplace
     Security (including IT)                                          Security & Information Systems Department
     The Data Protection Act 1998 and the Freedom of Information      Managing Information & Comms
     Act 2000
     Press and Media relations                                        Managing Information & Comms
     Ministerial Business                                             Parliamentary, Ministerial &
                                                                      Top Management Group (TMG)
     You must report:
     Sick Absences on "Yourself"                                      Managing People
     Suspected cases of Fraud                                         Conduct and Propriety
     Conflict of Interest                                             Conduct and Propriety
     You must review:
     Personal details on "Yourself" at regular intervals              Managing People




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                                                                                                                                                  DIRECTORS
                                                                        Directors
                                                                                                                          You must approve:
     The checklist below is an overview of areas where Directors        Detailed guidance can be found in the
     have specific responsibilites.                                     sections below:                                   Concept notes for all proposals £20M and above                            Managing Programme, Project and Expenditure
     You must produce / provide:                                                                                          Expenditure proposals up to £20M, ensuring politically sensitive,         Managing Programme, Project and Expenditure
                                                                                                                          novel or contentious proposals are submitted to the SofS
     An annual Director's Delivery Plan (DDP), ensuring key             Overall Business Planning
     corporate requirements are addressed                                                                                 Regional Staff Appointed In Country (SAIC) pay awards                     Managing People and Overall Business Plan
     A Resource Allocation Round (RAR) template to Resource             Overall Business Planning                         You must review:
     Management Group (RMG) as part of the DDP                                                                            Staffing levels annually and decide whether to advertise                  Managing People and Overall Business Plan
     RMG with information on divisional finances. Requests for          Overall Business Planning and                     posts externally
     additional resources must be submitted to the Director of FCPD     Accountability and Audit                          Delegated authority approvals annually and send a copy to                 Authority to Approve New Commitments
     Annual Statements of Assurance                                     Overall Business Planning                         Stastical Reporting and Support Group (SRSG)
     Annual updates on performance to the Management Board              Overall Business Planning                         This section is applicable to the Director of Finance and
                                                                                                                          Corporate Performance Division only
     You must ensure:
                                                                                                                          Approve annual Divisional allocations prior to submission to              Overall Business Planning
     Expenditure is in accordance with the International                Overall Business Planning                         the Management Board
     Development Act (IDA) 2002 and that activities fall within
     the scope of the Departmental ambit                                                                                  Sign all promissory notes                                                 Accountability and Audit - Promissory Notes
     Monitoring systems are in place to enable reporting on             Overall Business Planning
     corporate requirements, in line with the corporate calendar
     Any savings identified in year are surrendered on request          Overall Business Planning
     Where a partner Government and/or other donors propose             Managing Programmes, Projects
     preparing a joint donor assistance plan to support a national      and Expenditure
     poverty reduction strategy, Regional Directors must decide how
     to harmonise DFID’s CAP/RAP planning requirements
     with the joint planning
     Timing and production of CAPs are agreed - (this must be           Managing Programmes, Projects and
     quality assured by Corporate Strategy Group)                       Expenditure
     Final draft CAPs are submitted via the Director General            Managing Programmes, Projects and
     Programmes to the Secretary of State (SofS) and where he is the    Expenditure
     lead Minister, the Parliamentary Under Secretary of State (PUSS)
     A Conflict of Interest register for each office/operational unit   Conduct and Propriety
     is set up and maintained
     Corporate Human Resources (CHR) are notified of divisional         Managing People
     vacancies and priorities for all posts




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                                                                                                                                                                                                  HEAD OF DEPARTMENT/HEAD OF OVERSEAS OFFICE
                                                                                                 Head of Department/
                                                                                                 Head of Overseas Office                                          Discourage long hours working                                                       Managing people - Flexible Working
                                                                                                                                                                  Give due consideration to all flexible working requests                             Managing People - Flexible Working
     The check list below is an overview of areas where a Head of Department/                    Detailed Guidance can be found in the                            Ensure staffing and business needs are agreed before supporting a secondment        Managing People - Secondments and Interchange
     Head of Overseas Office has specific responsibilities.                                      sections below:                                                  request to Human Resources Customer Services and Support (HRCSS)
     You must ensure:                                                                                                                                             Ensure overseas pay reviews are conducted according to corporate guidance           Managing People - Staff Appointed in Country (SAIC)
                                                                                                                                                                                                                                                      pay Determination
     Country Assistance Plans (CAPs) are prepared for all country programmes                     Managing Programmes, Projects and Commitments
     over £20M per year and are reviewed annually                                                - Pre-expenditure Requirements, CAPS and RAPs                    Ensure systems are in place for collection of local income tax from salaries        Managing People - SAIC pay Determination and
                                                                                                                                                                  (ensuring local employment legislations are met)                                    Recruitment
     Effective Financial, Procurement, Human Resources and                                       Essential Guide to Rules and Tools
     IT systems and practices are in place                                                                                                                        Ensure health and safety policies are implemented and Risk Assessments undertaken   Accommodation and Workplace Issues - Health and Safety
     Spending complies with the provisions of the International Development Act 2002             Overall Business Planning - Managing Financial Resources         Ensure clear and appropriate definition and segregation of responsibility for       Accommodation and Workplace Issues
     and spending contributes towards delivery of the Public Service Agreement,                                                                                   negotiation and authorisation of leases is recorded in writing                      - Overseas office leases
     the Director's Delivery Plan, a Country Assistance or Institutional Strategy Plan targets                                                                    Ensure staff comply with all Security procedures                                    Accommodation and Workplace Issues
     Staff do not commit funding until financing authority is obtained                           Managing Programmes, Projects and Expenditure                                                                                                        - Health and Safety, also Security
                                                                                                 - Authority to Approve New Commitments                           Ensure systems are in place for proper control and management of DFID vehicles      Accommodation and Workplace Issues -Vehicles
     Levels of delegated authority are managed appropriately,                                    Managing Programmes, Projects and Expenditure                    Consult Internal Audit Department and Accounts Group to decide                      Accountability and Audit - Debtors
     and given in writing                                                                        - Authority to Approve New Commitments                           whether legal action is necessary to recover outstanding debts
     Staff adhere to DFID's financial principles.                                                Accountability and Audit - Making Payments                       You must identify staff for the following roles:
     All briefing or interviews with UK or International journalists are cleared with            Managing Information and Communications                          Departmental Finance Officer                                                        Overall Business Planning process - Managing Financial Resources
     Press Office. Only Heads of Overseas Offices are authorised to undertake                    - Media Relations
                                                                                                                                                                  Debts Officer                                                                       Accountability and Audit - Debtors
     local briefing or interviews
                                                                                                                                                                  Person responsible for the Claims register                                          Accountability and Audit - Debtors
     That the level of support and local charges have been agreed with the Foreign               Accommodation and Workplace Issues
     and Commonwealth Office, under the terms of the Service Level                               - Management of Overseas Office                                  Delegated and Local Contracts Officers                                              Procurement - Contracts for Services under £100,000
     Agreement - For Head of Overseas Office only                                                Accommodation and Security                                       Training Liaison Officer                                                            Managing People - Training and Development Planning
     That all suspected or actual frauds are reported to Head of Internal Audit Department       Conduct and Propriety - Fraud                                    Incident Control Officer - For Head of Overseas Office only                         Accommodation and Workplace Issues - Health and Safety
     That a Conflict of Interest register for each office/operational                            Conduct and Propriety - Fraud                                    PRISM Liaison Officer                                                               Managing Programmes, Projects and Expenditure
     unit has been set up and is maintained                                                                                                                                                                                                           - Managing Portfolio Performance
     Submissions for capital investments approved at the appropriate                             Accommodation and Workplace Issues                               Departmental Security Officer                                                       Accommodation and Workplace Issues - Management of
     level of delegated authority                                                                - Management of Overseas Accommodation                                                                                                               Overseas Office Accommodation, also Security
     Paper file reviews are undertaken                                                           Managing Information and Communication                           Information Manager                                                                 Managing Information and Communications - inSight
                                                                                                 - Records Management
                                                                                                                                                                  You must sign off:
     On Financial Management, you must ensure:
                                                                                                                                                                  All financial returns requested by Resource Management Group (RMG) and              Overall Business Planning Process - Managing Financial Resources
     Expenditure proposals are approved at the appropriate level and all politically             Managing Programmes, Projects and Expenditure - Authority        Accountants Group (AG)
     sensitive or contentious proposals are submitted to Secretary of State                      to Approve New Commitments, also Formalising Commitments
                                                                                                                                                                  All Ministerial and Parliamentary correspondence                                    Parliamentary, Ministerial and Top Management Group
     Savings identified in year are surrendered to RMG on request                                Overall Business Planning - Managing Financial Recourses                                                                                             (TMG) requirements - Ministerial Correspondence
     Calander year expenditure is reported as part of the FINSTATS 2 Exercise                    Overall Business Planning - Managing Financial Resources         Submissions for write off action                                                    Accountability and Audit - Write-off
     The quality and accuracy of data entered onto PRISM                                         Managing Programmes, Projects and Expenditure                    Probationary certificates                                                           Managing People - Probations
                                                                                                 - Managing Portfolio Performance
                                                                                                                                                                  On Postings and Promotions you must:
     Expenditure outturn information is provided via FINSTATS and                                Overall Business Planning - Managing Financial Resources
     Accounts Group Year End Pack                                                                                                                                 Advise HRCSS of the outcome of the 5 Year Review for staff in early January/July    Managing People - Posting
     Memoranda of Understanding (MOUs) are signed prior to disbursement of funds                 Managing Programmes, Projects and                                Submit postings forecasts to HRCSS by early March                                   Managing People - Posting, also Promotions
                                                                                                 Expenditure - Formalising Commitments                            Place adverts for vacancies into the Job Vacancy System by end of January/July      Managing People - Posting
     On Recruitment and Management of staff, you must:                                                                                                            Rank the suitability of applicants by March/Sept and return to HRCSS                Managing People - Posting
     Ensure the engagement of ex DFID staff is authorised by a senior grade                      Procurement - rehiring of ex DFID staff as consultants           Negotiate start dates for new staff                                                 Managing People - Posting
     officer and a call down contract commissioned by Procurement Group (PrG)
     Ensure Staff comply with recruitment principles                                             Managing People - Recruitment, also Procurement



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                                                                                                                             DEPARTMENTAL FINANCE OFFICER (DFO)/DEBTS OFFICER
                                                                        Departmental Finance
                                                                        Officer (DFO)
                                                                        /Debts Officer
     The checklist below is an overview of areas where Departmental     Detailed guidance can be found in
     Finance Officers (DFO) have specific responsibilities.             the sections below:
     You must provide Resource Management Group (RMG) with:
     Accurate financial returns for the Resource Allocation             Overall Business Planning
     Round (RAR) and FINSTATS exercises                                 - Managing Financial Resources
     Information via FINSTATS and Accounts Year End Pack on             Accountability and Audit - Accounts
     expenditure outturn explaining any variances                       Preparation
     Information on transfers of resources between departments and      Overall Business Planning
     request for changes to the Aid Framework Allocations once
     agreed at the appropriate Divisional level
     Information on changes to Divisional and reporting structures      Overall Business Planning
     Expected receipts in the RAR exercise                              Accountability and Audit - Receipts
     You must:                                                          Accountability and Audit
     Adhere to DFIDs Financial Principals when making payments          Making Payments
     Monitor debt transactions (TDEBTS) set on CODA by your             Debtors
     department staff ensuring that they are not overlooked
     on a monthly basis
     Set up a Claims Register on CODA /LOAS. Paper bound book           Debtors
     to be set up and updated if no access to CODA/LOAS
     Monitor debts entered in the claims register by department staff   Debtors
     on a monthly basis
     Ensure that cases of overpayments are reviewed by departmental     Delegated Authority to Approve Write-Offs and
     staff to assess if recovery is feasible on a monthly basis         Special Payments
     Ensure secure storage of assets and consumables have been set up   Assets
     Maintain an electronic Asset Register of Capital Assets            Assets
     You must report:                                                   Accountability and Audit
     All Contingent Liabilities, reviewed annually, as part of the      Contingent Liabilities
     Annual Resource Accounts
     Monthly on Debts to Head of Department / Head of Overseas          Debtors
     Office, ensuring debts over 3 months old are highlighted
     Debts Officer only:                                                Accountability and Audit
     Tdebts must be monitored on a monthly basis and a report           Debtors
     sent to the Head of Office / Department


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                                                                          Line Managers                                                                           LINE MANAGERS



     The check list below is an overview of areas where                   Detailed Guidance can be found in the                       For staff starting during the reporting year, interim objectives agreed       Performance Management and Yourself
     Line Managers have specific responsibilities.                        sections below:                                             within 4 weeks with a full Forward Job Plan agreed within 12 weeks

     You must:                                                            Managing People                                             The Mid Year Review (MYR) is completed within two weeks of                    Performance Management and Yourself
                                                                                                                                      agreed date, by Job Holder and the Reporting Officer
     Plan an induction to job for all new staff and ensure all HQ staff   Induction
     complete learning module and corporate induction within                                                                          That the Job Holder complete Sections 1 and 2 of the Annual                   Performance Management and Yourself
     10 weeks of arrival. For overseas staff, this should                                                                             Assessment Form (AAF) and the Reporting Officer must hold
     be completed as soon as possible.                                                                                                pre-appraisal discussion with Job Holder by the end
                                                                                                                                      January (the reporting year is a calendar year)
     Provide Interim Probation Assessments, when required,                Probation
     for both permanent and fixed term staff                                                                                          The Reporting Officer completes the assessment of the                         Performance Management and Yourself
                                                                                                                                      Job Holder’s performance by the end of February
     Discuss, agree and record details of unsatisfactory                  Probation, see also Performance Management
     performance/behaviour with individual staff                                                                                      The Countersigning Officer completes the countersigning                       Performance Management and Yourself
                                                                                                                                      comments on performance by the end March
     Hold additional Interim Assessments, if deemed necessary             Probation, see also Performance Management
                                                                                                                                      If a Job Appraisal Review (JAR) is required, the process is completed         Performance Management and Yourself
     Undertake a full assessment of the individual’s performance to       Probation, see also Performance Management                  and the report signed off by all parties by the end March
     confirm the successful or unsuccessful completion of probation.
     Use the Mid Year Review (MYR) in the Performance and                                                                             The job to be done, is discussed and a performance agreement                  Performance Management
     Development Plan (PDP) to help with the assessment.                                                                              reached by the end of April

     Where an individual has successfully completed their probationary    Probation                                                   The End Year Performance Reviews for previous year are completed              Performance Management
     period, complete the Final Probation Certificate and forward it to                                                               by the end of April. (For Senior Civil Service staff only)
     Human Resources Customer Services and Support (HRCSS) via                                                                        The Mid Year Review is completed by the end of October                        Performance Management
     the Head of Department/Head of Overseas Office
                                                                                                                                      You must:                                                                     Managing People
     Contact HRCSS or Human Resources (HR) Manager in the                 Probation, see also Performance Management
                                                                                                                                      Monitor staff working long hours on a regular basis                           Flexible Working
     country office, if an individual has been deemed not to have
     completed the probationary period satisfactorily or unsure                                                                       Monitor absences and help staff make an effective and supportive              Maximising Attendance and Yourself
     whether or are not to sign off on the period of probation                                                                        return to work
     Give due consideration to all flexible working requests              Annual leave, Career Breaks, Special Leave, Parental        Retain contact with staff on longer term absences only through                Maximising Attendance and Yourself
     wherever possible                                                    Leave, Maternity, Paternity & Adoption Rights and           agreement reached with a staff member – staff are not required
                                                                          Flexible Working                                            to provide managers with telephone numbers
     Consult HRCSS on decisions regarding Special Leave,                  Annual leave, Career Breaks, Special Leave, Parental        Undertake a Welcome Back discussion when staff return to work                 Maximising Attendance and Yourself
     Career breaks and guidance on Parental Leave                         Leave, Maternity, Paternity & Adoption Rights               Confirm that the Welcome Back discussion took place through                   Maximising Attendance and Yourself
     Ensure that Disciplinary Procedures are followed                     Discipline                                                  the Absence Management section on Yourself
     Ensure Grievance Procedures are followed                             Grievance                                                   Set up a Attendance Review Meeting when sick leave is in excess               Maximising Attendance and Yourself
                                                                                                                                      of 10 days. Decide when it will be necessary to formally record
     Read the Health & Safety (H&S) Policy and ensure your staff          Accommodation and Workplace Issues - Health
                                                                                                                                      the discussion and action points on file
     comply with the safety policy at all times.                          and Safety
                                                                                                                                      Confirm that an Attendance Review meeting has taken place on Yourself         Maximising Attendance and Yourself
     You must agree or ensure that:                                       Managing People
                                                                                                                                      Set out in writing to the officer, where a flexible working request           Flexible Working`
     Forward Job Plan (FJP) & the date for MYR with the Jobholder (JH)    Performance Management and Yourself
                                                                                                                                      cannot be agreed for business reasons
     and Reporting Officer (RO) by mid February.




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                                                                                                                                                                             OFFICE MANAGER/ESTATES MANAGEMENT OFFICER
                                                                                  Office Manager/Estates
                                                                                  Management Officer                                         On leasing property for DFID, you must:                                                  Accommodation and Workplace Issues
                                                                                                                                             Ensure a legal title to the premises is established before the lease is                  Leasing Office Premises & Domestic Housing Overseas
     The check list below is an overview of areas where                           Detailed Guidance can be found in the                      signed and appoint a local property legal adviser
     Office Manager / Estates Manager has specific responsibilities.              sections below:                                            Ensure leases are drawn up in English wherever possible and cleared by                   Leasing Office Premises & Domestic Housing Overseas
     On recruitment of staff, you must:                                           Managing People -                                          the local property legal adviser and registered if required.
                                                                                                                                             Ensure new draft leases are submitted to OEST
     Check staff are aware and compliant with recruitment principles              Recruitment
                                                                                                                                             Ensure you are conversant with lease requirements for all property                       Leasing Office Premises & Domestic Housing Overseas
     Ensure all new staff attend an induction course                              Corporate Induction                                        under your control
     Assist the Head of Department / Head of Overseas Office in                   Postings                                                   Ensure signed leases are kept securely and copied to OEST                                Leasing Office Premises & Domestic Housing Overseas
     postings procedures
                                                                                                                                             Ensure leases are recorded on "Return 5" of the Resource                                 Leasing Office Premises & Domestic Housing Overseas
     Conduct external benchmarking exercise and ensure it conforms to             Staff Appointed in Country (SAIC) Pay Determination        Account Year End Pack
     corporate guidance
                                                                                                                                             On setting up DFID staff housing, you must:                                              Accommodation and Workplace Issues
     Consult the Foreign and Commonwealth Office (FCO)                            SAIC Pay Determination
     when undertaking pay reviews                                                                                                            Ensure all property is secure. Also try to ensure new arrivals move into                 Overseas Housing Management
                                                                                                                                             accommodation used by a predecessor
     Check affordability is factored into pay deal                                SAIC Pay Determination
                                                                                                                                             Provide OEST with comprehensive information on all property annually                     Overseas Housing Management
     Ensure the pay award has been approved by Directors                          SAIC Pay Determination
                                                                                                                                             Ensure structural and electrical surveys are carried out by suitably                     Overseas Housing Management
     Check procedures are in place for tax to be collected at source or,          SAIC Pay Determination                                     qualified professionals
     where this is not practical, encourage staff to meet their own tax
     liability and offer them tax advisory support                                                                                           Ensure costs are in line with local market rates and upgrade costs are                   Overseas Housing Management
                                                                                                                                             offset against rental payments
     Send auditable records of all data maintained on files and send a copy       SAIC Pay Determination
     to Corporate Human Resources (CHR)                                                                                                      Ensure all accommodation fixtures and fittings comply with H&S regulations               Overseas Housing Management
     On setting up a DFID office, you must:                                       Accommodation and Workplace Issues                         Ensure adequate maintenance programmes are established                                   Overseas Housing Management
     Consult Overseas Estates Support Team (OEST) and Security                    Management of Overseas Office Accommodation                Ensure DFID procurement standards have been applied                                      Overseas Housing Management
     Department when planning capital investment                                                                                             On the use of DFID vehicles, you must:                                                   Accommodation and Workplace Issues
     Ensure the capital investment submission covers: Business Need,              Management of Overseas Office Accommodation                Ensure arrangements are in place for secure parking and storage                          Vehicles
     Security, Costs (set-up and recurrent), Locations, Risk Analysis, Project                                                               Ensure all drivers have a valid driving license                                          Vehicles
     Management, Size, Staffing, Timing, H&S and Domestic Accommodation,
     and is approved at appropriate level of delegated authority                                                                             Ensure the local handbook sets out guidance on vehicle use, including private            Vehicles
                                                                                                                                             hire and insurance and is copied to all staff. Staff must understand their
     Contact OEST and Procurement Group if refurbishment of an overseas           Procurement - Procurement of Works Contracts               responsibilities and all costs involved when hiring vehicles. Ensure staff sign
     office is being considered                                                                                                              private use disclaimers and that all private mileage is recorded on logbooks
     Carry out a security risk assessment on potential sites for new buildings    Management of Overseas Office Accommodation                Ensure all staff have prior approval to drive official vehicles                          Vehicles
     Follow guidance in the Sustainable Development Green Guide for Managers      Management of Overseas Office Accommodation                Ensure log books are maintained                                                          Vehicles
     Consult with the Head of Department / Head of Overseas Office,               Management of Overseas Office Accommodation                Ensure vehicles insured for compliance with local laws                                   Vehicles
     FCO London and Post to clarify status of DFID office and clarify if a
     separate administrative arrangement is required                                                                                         Ensure a maintenance programme is in place                                               Vehicles
     Implement health and safety policies and undertake Risk Assessments          Health & Safety                                            On overseas security, you must:                                                          Accommodation and Workplace Issues
     Implement a Planned Maintenance programme for all machinery and equipment    Health & Safety                                            Ensure physical security measures are in place, seeking guidance from Security Section   Security - DFID Buildings Overseas
     Undertake hazard identification and assessment and implement steps           Health & Safety                                            Ensure all staff are security cleared, in accordance with the Security Manual            Security - staff vetting
     to remove or reduce risks. All Assessments must be recorded                                                                             Ensure Security procedures are followed                                                  Security - States of vigilance
     and communicated to staff
                                                                                                                                             You must report to OEST:                                                                 Accommodation and Workplace Issues
     Ensure First-Aiders and Fire Wardens are appointed                           Health & Safety
                                                                                                                                             Annually, comprehensive information on all property owned or leased by                   Overseas Housing Management
     Ensure all managers are familiar with DFID Health & Safety (H&S) Policy      Health & Safety                                            the office, including a copy of the lease, rental period, rent costs
     Register Business Continuity Plan (BCP) electronically and review annually   Business Continuity Planning                               and refurbishments/ upgrade total



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                                                                                                                            LOCAL CONTRACT OFFICER
                                                                           Local Contract Officer
     The checklist below is an overview of areas where the                 Detailed guidance can be found in the
     Local Contracts Officer (LCO) has specific responsibilities.          sections below:
     For delegated contracts for services under £100,000, you must:        Procurement
     Be appropriately trained on procurement processes - up to             Contracts for Services under £100,000
     £25K or £100K with limits subject to approved levels of
     training and accreditation
     Ensure the Authority to Engage (ATE) completed and checked            Contracts for Services under £100,000
     before a contract can be issued
     Adhere to DFID's contracting processes and management                 Contracts for Services under £100,000
     Ensure programme staff have sought Head of Overseas Office            Contracts for Services under £100,000
     / Department approval before seeking to waive competition
     Consult Procurement Group (PrG) about proposed contract               Contracts for Services under £100,000
     amendments beyond threshold of £100K
     Ensure Value for Money (VfM), transparency and probity has            Contracts for Services under £100,000
     been achieved
     Alert the Head of Overseas Office / Department and PrG where          Contracts for Services under £100,000
     separation of duties cannot be achieved due to staffing constraints
     You must report:                                                      Procurement
     Monthly to PrG, details of contracts awarded by                       Contracts for Services under £100,000
     delegated authority




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                                                                                                                                                        PROGRAMME STAFF
                                                                          Programme Staff
                                                                                                                               Ensure full proposals over £20M and those which are politically            Project / Programme Documents, see also
     The checklist below is an overview of areas where                    Detailed guidance can be found in the                sensitive, novel or contentious are submitted through the                  Authority to Approve New Commitments
     Programme Staff have specific responsibilities.                      sections below:                                      relevant Director General for approval by the Secretary
                                                                                                                               of State (SofS) and copy to SRSG
     You must assist:                                                     Managing Programmes, Projects and Expenditure
                                                                                                                               Ensure all commitments and any subsequent changes have been                Formalising Commitments
     In preparation of Country Assistance Plans / Regional                Pre-Expenditure Requirements: CAPs and RAPs
                                                                                                                               approved by the person with the appropriate level of delegated
     Assistance Plans (CAPs / RAPs)
                                                                                                                               authority before issuing official correspondence e.g. MOU,
     You must:                                                            Managing Programmes, Projects and Expenditure        Accountable Grant, Contract, or if under £1m an official letter
     Ensure that an assessment of risks is carried out for all            Pre-Expenditure Requirements: Project Header         Ensure that all payment made under Financial Aid are disbursed             Formalising Commitments
     projects/programmes over £1M                                         Sheets, Management Information System (MIS)          through Crown Agents Financial Services (CAFSL) and
                                                                          Codes and Concept Notes                              specify audit arrangements
     Ensure a full Fiduciary Risk Assessment (FRA) has been carried out   Pre-Expenditure Requirements: Project Header         Ensure mandatory requirements are followed for all contracts to            Procurement - Contracts for Services and
     for all General or Sector Poverty Reduction Budget Support (PRBS)    Sheets, Management Information System (MIS)          ensure fair, open and transparent competition                              Procurement of Goods and Equipment
                                                                          Codes and Concept Notes                                                                                                         Procurement of Works
     Prepare a Project Header Sheet (PHS) for all spending                Pre-Expenditure Requirements: Project Header         Obtain the Head of Procurement Group (PrG) approval prior to               Procurement - Emergency Aid
                                                                          Sheets, Management Information System (MIS)          undertaking emergency procurement and contact Conflict and
                                                                          Codes and Concept Notes                              Humanitarian Affairs Department (CHAD)
     Complete Policy Information Markers for all spending                 Pre-Expenditure Requirements: Project Header         Complete Project Completion Reports                                        Managing Portfolio Performance, Monitoring,
     proposal over £100,000                                               Sheets, Management Information System (MIS)                                                                                     Reporting and Review
                                                                          Codes and Concept Notes
                                                                                                                               Not agree Contingent Liabilities without seeking the                       Accountability and Audit - Contingent
     Ensure Management Information System Codes (MIS) and Input           Pre-Expenditure Requirements: Project Header         appropriate approval                                                       Liabilities
     Sector Codes are set up                                              Sheets, Management Information System (MIS)
                                                                                                                               You must review:                                                           Managing Programmes, Projects and Expenditure
                                                                          Codes and Concept Notes
                                                                                                                               Monitoring Plans and individual work plans agreed at start up              Managing Portfolio Performance, Monitoring,
     Ensure the appropriate level of delegated authority is obtained      Pre-Expenditure Requirements: Project Header
                                                                                                                               and that progress reports are produced and reviewed                        Reporting and Review
     for all proposals (this includes amendments to original proposals)   Sheets, Management Information System (MIS)
                                                                                                                               within deadlines
                                                                          Codes and Concept Notes, see also
                                                                          Authority to approve New Commitments                 Expenditure to ensure that it is monitored effectively                     Managing Portfolio Performance, Monitoring,
                                                                                                                                                                                                          Reporting and Review
     Ensure a Concept Note (CN) is prepared for all proposals over        Pre-Expenditure Requirements: Project Header
     £1M and submitted to the person with the appropriate                 Sheets, Management Information System (MIS)          Project/Programme scoring to ensure quality and accuracy of                Managing Portfolio Performance, Monitoring,
     delegated authority level and send copies to Statistical Reporting   Codes and Concept Notes, see also                    data and include risk ratings                                              Reporting and Review
     and Support Group (SRSG)                                             Authority to approve New Commitments
                                                                                                                               Audited Accounts/Statements when received to ensure that all               Meeting our Financial Audit Requirements for
     Ensure projects of less than £1M have clearly identify               Project / Programme Documents                        monies have been spent as intended                                         the Use of Aid Funds
     development outcomes and clear objectives with inputs specified,
                                                                                                                               You must report:                                                           Accountability and Audit
     including audit arrangements in the project documentation
                                                                                                                               All DFID assets and any transfer of ownership to an aid recipient          Assets
     Ensure Project/Programme Documents for spending above                Project / Programme Documents
                                                                                                                               on the departmental asset return
     £1M are freestanding documents, and include audit arrangements
                                                                                                                               Write-Offs to Head of Department/Head of Overseas office for               Delegated Autority to Approve Write-Offs and
                                                                                                                               approval before sending to AG                                              Special Payments



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                                                                                                                                                       HEALTH AND SAFETY OFFICER / DEPARTMENT SECURITY CO-ORDINATOR / INCIDENT CONTROL OFFICER
                                                                             Health and Safety
                                                                             Officer / Department                             As Departmental Security Co-ordinator you must:                            Accommodation and Workplace Issues

                                                                             Security Co-ordinator                            Co-ordinate security within your department / office                       Security

                                                                             / Incident Control Officer                       Provide first line of response on some security issues
                                                                                                                              e.g. re-setting combination locks
                                                                                                                                                                                                         Security


     The checklist below is an overview of areas where                       Detailed guidance can be found in the            As Incident Control Officer you must:                                      Accommodation and Workplace Issues
     Health and Safety Officer / Departmental Security                       sections below:                                  Produce a Business Continuity Plan (BCP) using the templates               Business Continuity Planning
     Co-ordinator/ Incident Control Officer has specific responsibilities.                                                    in the OSSD/ISD Web Site
     As Health & Safety (H&S) officer you must:                              Accommodation and Workplace Issues               Review the BCP at least annually                                           Business Continuity Planning
     Set up a maintenance programme for machinery and equipment              Health and Safety
     Identify hazards and the assessment requirement.                        Health and Safety
     Take appropriate steps to remove and reduce risks to prevent            Health and Safety
     accidents and ill health.
     Ensure that all assessments are recorded, reviewed and                  Health and Safety
     communicated to staff
     Ensure First-Aiders and Fire Wardens have been appointed                Health and Safety
     and trained
     Arrange Workstation / Display Screen Equipment assessment for           Health and Safety
     new staff within 2 weeks of joining DFID
     H&S Inspections                                                         Health and Safety
     Fire & Bomb Precautions                                                 Health and Safety
     New & Expectant Mothers                                                 Health and Safety
     Young persons / Work experience                                         Health and Safety
     Manual Handling                                                         Health and Safety
     Control of Substances Hazardous to Health                               Health and Safety
     Accident Prevention                                                     Health and Safety
     General Workplace Assessments                                           Health and Safety




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                                                                                                                          INFORMATION MANAGER
                                                                   Information Manager
     The checklist below is an overview of areas where the         Detailed guidance can be found in the
     Information Manager has specific responsibilities.            sections below:
     As Information Manager you must:                              Managing Information and Communications
     Be trained on the QUEST content management workflow           Using electronic channels to communicate with
     before publishing to inSight                                  DFID staff (inSight)
     Cooperate with the inSight team in ensuring that their site   Using electronic channels to communicate with
     adheres to core standards and remains up-to-date              DFID staff (inSight)
     For Records Management you must:                              Managing Information and Communications
     Review paper files for disposal action at the end of a        Records Management
     three-year file period
     Use the file disposal schedule                                Records Management




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                                                                                                                                   which is administered and managed          E                                            Freedom of Information Act 2000
   Glossary of Terms                                                                                                               by Accounts Group.
                                                                                                                                                                              Emergency Aid
                                                                                                                                                                                                                           (FOIA)
                                                                                                                                                                                                                           Rights of access to information held by
                                                                                                                                   D                                          Comprises of disaster relief, food aid,      the UK Government. DFID is legally
   A                                           partner Government has used DFID            groups, parents and teachers                                                       refugee relief and disaster
                                               finances as intended.                       associations, senior citizens groups,   Directors Annual Statement of                                                           obliged to release most of its information,
                                                                                                                                                                              preparedness. It generally involves          on request, with limited restrictions.
   Appropriations-in-Aid (A in A)                                                          sports clubs, arts and culture          Assurance                                  provision of material aid (including
   Receipts, which, with Parliamentary         B
                                                                                           groups, faith-based groups, workers     This sets out a guarantee that Directors   food, medical care and personnel),           Foreign & Commonwealth Office,
   approval, are used to finance part of                                                   clubs and trade unions, non-profit      have put in place actions and robust                                                    Service Level Agreement (FCO/SLA)
                                               Bilateral Aid                                                                                                                  finance and advice to save and
   a department’s, gross expenditure.                                                                                              systems and processes to ensure that                                                    Sets out the terms and conditions
                                               Aid provided on a country-to-               think-tanks and ‘issues-bases’                                                     preserve lives during emergency
   Accountable Grant                           country basis i.e. UK Government            activist groups.                        they are managing, monitoring and          situations and in the immediate post-        between DFID and FCO for providing
   A grant of money made available to          direct to an overseas Government.                                                   reporting on the use of resources          emergency rehabilitation phase cope          support to and on behalf of DFID at
   an NGO (Non-Governmental                                                                Consolidated Fund                       against corporate requirements.                                                         overseas posts. The Agreement contains
                                                                                                                                                                              with short and longer term population
   Organisation) or non-commercial             Budgetary Aid                               Government’s Central Exchequer                                                                                                  management information, Human
                                                                                                                                   Delegated Authority                        displacements arising out of
   organisation.                               Financial assistance is given to the        account into which are paid the                                                                                                 Resource information, lists services and
                                                                                                                                   Levels of delegation of financial          emergencies.
                                               Government of a British dependant           gross tax revenue, less repayments                                                                                              details payment arrangements.
   ADAMANT                                     territory to help balance its annual        and all other Exchequer receipts not    authority within DFID, approved by         Environmental Screening Note (ESN)
   Is a list of checks to be made by
                                               recurrent budget.                           specifically directed elsewhere.        the Secretary of State and the             Allows the consideration of                  G
   everyone who is involved in the                                                         Issues from the fund include those      Permanent Secretary, and cascaded to       environmental issues on a project,
   authorisation of payments at any            Business Continuity Plan (BCP)                                                      those allowed to approve expenditure.                                                   General Budget Support – See PRBS
                                                                                           to meet supply and services as                                                     identifying environmental opportunities
   level. It is an acronym of Authority,       A plan for the fast, efficient                                                                                                 and risks, determining the level of
                                                                                           shown in the Supply Estimates.          Departmental Report (DR)                                                                General Expenditure Monitoring
   Documentation, Accuracy, Maturity,          resumption of essential business                                                                                               detail of any further studies.
   Acceptability, No previous payment          operations after an emergency or            Consolidated Fund Extra Receipts        A command (obligatory) report for                                                       System (GEMS)
   and Timing.                                 office closure by directing the             (CFER)                                  Parliament and the public outlining        European Commission (EC)                     Reports to the Treasury on DFID’s
                                               recovery actions of specified               Receipts not authorized to be           DFID achievements over the last year       The EC is the executive arm of the           current year spending against
   Administrative Costs                                                                                                                                                                                                    Estimates and Budgetary aggregates.
                                               recovery teams, and a plan for              Appropriated- in- Aid are paid          and accounting for the public money        European Community.
   The cost of running the department
                                               alternative working arrangements            separately to the Consolidated Fund     we have spent, as well as setting out
   including depreciation and cost of                                                                                                                                         European Union (EU)                          Government Accounting (GA)
   capital on fixed assets.                    that can be quickly actioned.               as an Extra Receipt.                    our future spending plans.                                                              Provides guidance on a wide variety of
                                                                                                                                                                              An economic and political alliance
                                               C                                                                                   Development Banks                          currently comprising 25 European             issues relating mainly – but not
   Aid Framework                                                                           Country Assistance Papers (CAPs)
                                                                                                                                   International Financial Institutions       nations. It embraces a number of             exclusively – to the proper handling
   Money allocated for spending on                                                         Papers setting out the details of how
                                               Challenge Funds (CFs)                                                               concerned with development,                institutions, including the Council of       and reporting of public money.
   aid activities rather than Administrative                                               DFID will work as part of the
   Costs and allocated against country         The Civil Society Challenge Fund                                                    including the World Bank (WB) and          the EU, the European Parliament,             H
                                                                                           international development effort to
   programmes, sectoral activities and         (CSCF) support initiatives, which                                                   the Regional Development Banks             European Commission (civil service),
                                                                                           support countries reduce poverty
   Multilateral Organisations.                 strengthen the capacity of poor                                                     (RDBs).                                    Court of Justice and Court of Auditors.      Harmonisation
                                                                                           and contribute towards achievement
                                               people, living within eligible countries,   of the Millennium Development                                                      F                                            Co-ordination of donor practices,
   Annual Audited Accounts – For                                                                                                   Development Assistance Committee
                                               to understand and demand their              Goals (MDGs).                                                                                                                   agreeing to work together under a
   Accountable Grants                                                                                                              (DAC)
                                               rights – civil, political, economic                                                                                            Fiduciary Risk Assessment (FRA)              common approach; reducing the
   An account officially examined and                                                                                              Forum for consultation among 21
                                               and social – and to improve their           Crown Agents Financial Services                                                    An evaluation of financial risk,             administrative burden on recipient
   agreed on a yearly basis by a recognised                                                                                        donor countries, together with the EC,
                                               economic and social well-being.             Limited (CAFSL)                                                                    including the risk of corruption and         Governments and enhancing the
   accountant which shows an                                                                                                       on how to increase the level and
                                                                                           CAFSL provide financial                                                            diversion of funds associated with           effectiveness of aid.
   organisation’s transactions for the         Civil Society Organisation (CSO)                                                    effectiveness of aid flows to all aid
   whole year and in which DFID’s                                                          management services on behalf of                                                   Poverty Reduction Budget Support             Humanitarian Assistance – see
                                               All Civic Organisations, associations                                               recipient countries.
   contribution is identified separately.                                                  DFID to ensure that Financial Aid                                                  (PRBS).                                      Emergency Aid
                                               and networks, which occupy the
                                                                                           payments are transferred to the         Direct Budget Support (DBS) (See
   Annual Audited Statements – For             ‘social space’ between family and                                                                                              Financial Aid (FA)                           I
                                                                                           intended recipient.                     PRBS)
   Non- budget Financial Aid                   the State who come together to                                                                                                 A grant given to partner Governments,
   A statement of account provided by          advocate their common interests             CODA                                    Director’s Delivery Plans (DDPs)           that is the subject of a formal written      International Bank for
   the partner Government Auditor              through collective action. It               CODA is an independent                  Rolling 3 year divisional plans which      arrangement under which the partner          Reconsttruction
   General which confirm that the              includes volunteer and charity              accounting software package,            Directors are personally responsible       Government is responsible for                and Developemnt (IBRD) - see
                                                                                                                                   for delivering.                            expenditure.                                 World Bank
Essential Guide to Rules & Tools                                                                                                                                                                         Essential Guide to Rules & Tools - Glossary of Terms continued...




                                                                                                                                                                                                                                              <BACK       NEXT  >
International Development Act 2002                Millennium Development Goals                  of the Development Assistance Committee      society and development partners.           budgets are allocated to specific aid       UNIDO
(IDA)                                             (MDGs)                                        (DAC) List is eligible to be recorded as     PRSPs provide a common country-led          programmes and administrative               The United Nations Industrial
                                                  A set of eight international                  official development assistance.             approach to poverty reduction through       departments within DFID.                    Development Organisation works with
DFID’s legal authority for all
                                                  development goals for 2015, adopted                                                        which donors can harmonise their                                                        Governments, business associations
expenditure, which came into effect                                                             Official Journal of the European                                                         Risk Potential Assessment (RPA) Forms
                                                  by the international community in the                                                      development efforts.                                                                    and individual companies to solve
on 17 June 2002 and replaces the                                                                Union (OJEU)                                                                             A form, which must be completed to
                                                  UN Millennium Declaration in                                                                                                                                                       industrial problems and equip them
Overseas Development and                                                                        Where all contracts for services above       Private Office                              assess the requirement for corporate
                                                  September 2000, and endorsed by
Cooperation Act 1980.                                                                           £100K must be advertised.                    The office of the Secretary of State and    projects and programmes and subject         to help themselves. UNIDO has
                                                  International Monetary Fund (IMF),
                                                                                                                                             Parliamentary Under Secretary of State      to the Office of Government                 been developing, advocating and
International Development                         World Bank and Organisation for               Office of Government Commerce
                                                                                                                                             (PUSS) - ensures that Departmental          Commerce (OGC) Gateway Review               implementing innovative routes to
Association (IDA) - see World Bank                Economic Cooperation and                      (OGC)
                                                                                                                                             business is managed efficiently and         Process.                                    industrial development.
                                                  Development (OECD).                           Provides guidance to Departments on
International Development Select                                                                                                             accurately between the Ministers and
                                                                                                good management policy and                                                               S                                           V
Committee (IDC)                                   Multilateral Aid                                                                           the Department.
                                                                                                practices, including the EU
The IDC is appointed by the House of              Aid channelled through international                                                                                                   Sector Budget Support (see PRBS)
                                                                                                procurement directives and the               Public Accounts Committee (PAC)                                                         Value Added Tax (VAT)
Commons to examine the expenditure,               bodies for use in or on behalf of aid
                                                                                                Government's procurement policy, to          Set up in 1861 as one of the measures       Sector wide approaches (SWAps)              Tax levied by the Government on
administration and policy of DFID and             recipient countries. Aid channelled
                                                                                                meet Departmental fair trade                 taken to give Parliament a better control   A way of working in which                   goods and services bought or funded
its associates.                                   through multilateral agencies is regarded
                                                                                                objectives in public procurement.            over the expenditure of public funds.                                                   by DFID. VAT may be reclaimed from
                                                  as bilateral where DFID specifies the                                                                                                  Government and donor funding is
Institutional Strategies (IS)                                                                                                                The Committee is appointed for the
                                                  use and destination of the funds.             P                                                                                        harmonised towards the achievement of       Customs & Excise by Accounts
A strategic framework setting out our                                                                                                        examination of accounts for funds
                                                                                                                                                                                         a holistic sectoral strategy, which has     Department.
partnerships with multilateral                    N                                             Performance Reporting Information            granted by Parliament to meet public
                                                                                                                                                                                         been matched to available resources
development institutions.                                                                       System for Management (PRISM)                expenditure. The highest accountability                                                 Value for Money (VfM)
                                                  National Audit Office (NAO)                                                                                                            and implementation capacity.
                                                                                                A Portfolio Performance Management           authority in the UK, works closely                                                      A combination of economy, efficiency
LOAS                                              Scrutinises public spending on behalf         system designed to measure DFID’s            with the NAO.                               Spending Review (SR)                        and effectiveness i.e. having the right
The Local Office Accounting System                of Parliament and is totally                  progress against targets.                                                                A fundamental re-evaluation of              goods or services at the right quality in
used in some overseas offices and                 independent of Government. In                                                              Public Expenditure Outturn White
                                                                                                                                                                                         priorities, objectives and targets by the   the right place at the right time, and
administered by Accounts Group.                   addition to auditing DFID’s accounts          Post Account                                 paper (PEOWP)
                                                                                                                                                                                         UK Government, which establishes a
                                                  the NAO write reports for the Public          A monthly report of expenditure,             Reports on provisional outturn figures                                                  spending plans reach their highest
Logical Frameworks                                                                                                                                                                       three-year planning cycle, including
                                                  Accounts Committee (PAC) on the               managed by the Foreign and                   for public spending in the previous                                                     potential.
A design tool for setting the Goal,                                                                                                                                                      spending plans, for all departments.
                                                  economy, efficiency and effectiveness         Commonwealth Office (FCO)                    financial year.
Purpose and Outputs of a project or                                                                                                                                                                                                  W
programme, together with measurable               with which Government bodies have             accountants at Post.                         Public Service Agreement (PSA)
                                                                                                                                                                                         T
indicators used to assess progress                used public money.                            Poverty Reduction Budget Support             A set of rolling measurable targets for                                                 World Bank
                                                                                                                                                                                         Technical Co-operation (TC)
against agreed targets.                           Non-Governmental Organisations                (PRBS)                                       the Department’s work.                      Is the provision of know-how in the         A major multilateral funder. The World
M                                                 (NGOs)                                        Financial aid funds are provided in          R                                           form of personnel, training, research       Bank finances projects primarily
                                                  Non-profit making bodies active in            support of a Government programme                                                        and associated costs.                       through two of its branches: the
Management Board (MB)                             development work. To qualify for              and paid directly to a partner               Regional Assistance Plans (RAPs)                                                        International Bank for Reconstruction
Representatives of DFID’s most Senior                                                           Government’s central exchequer. It can       Sets out the broad framework for how        U
                                                  official support UK non-governmental                                                                                                                                               and Development (IBRD) and the
Management, collectively responsible              organisations must be registered charities.   take the form of a general contribution      DFID aims to contribute to the              UNICEF                                      International Development Association
for the delivery of the Public Service                                                          to the overall budget (General Budget        achievement of the Millennium               The United Nations Children's Fund          (IDA). Both entities lend funds, provide
Agreement and the Performance                     O                                             Support) or financial aid earmarked to       Development Goals in a specific             helps children living in poverty in         economic advice and technical
Partnership Agreement.                                                                          a discrete sector (Sector Budget Support).   region of the world.                                                                    assistance, and serve as a catalyst for
                                                  official development assistance: gross                                                                                                 developing countries.
Memorandum of Understanding                       national income spending target               Poverty Reduction Strategy Papers            Resource Accounts                                                                       other investment. They differ in that
                                                                                                                                                                                         UNDP
(MOU)                                             (oda/GNI ratio)                               (PRSPs)                                      Accounts prepared using the principles                                                  the IBRD borrows on world capital
                                                                                                                                                                                         The United Nations Development
A formal commitment between DFID                  oda is defined as those flows to              Sets out a country-owned, national           of accruals accounting and UK GAAP                                                      markets to finance its lending activity,
                                                                                                                                                                                         Programme is the UN’s global
and development partners setting out              developing countries and multilateral         development strategy for reducing            (General Accepted Accounting                                                            while the IDA provides assistance to
                                                                                                                                                                                         development network, an organization
the understanding reached on                      institutions provided by official             poverty. It is prepared by the national      Practices) as well as the Treasury                                                      the poorest countries, largely based on
                                                                                                                                                                                         advocating for change and connecting
development objectives, respective                agencies or by their executive                Government in collaboration with the         Resources Accounting Manual.                                                            resources provided by its more
                                                                                                                                                                                         countries to knowledge, experience
obligations and how we work together.             agencies. Only aid to countries on Part I     World Bank and IMF as well as civil
                                                                                                                                             Resource Allocation Round (RAR)             and resources to help people build a        wealthy members and transfers from
Essential Guide to Rules & Tools - Glossary of Terms continued...                                                                            The mechanisms by which DFID’s              better life.                                IBRD net income (profits).




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   Abbreviations
   A                                                       F                                                         L                                                             R
   Accounts Group (AG)                                     Fiduciary Risk Assessment (FRA)                           Local Contract Officers (LCO’s)                               Regional Assistance Plans (RAPs)
   ADAMANT (Authorities, Documentation, Accuracy,          Financial Aid (FA)                                                                                                      Resource Allocation Round (RAR)
   Maturity, Acceptability, No previous payment, Timing)   Finance & Corporate Performance Division (FCPD)                                                                         Resource Management Group (RMG)
                                                                                                                     M
   Aid Framework (AF)                                      Foreign & Commonwealth Office (FCO)                                                                                     Risk Potential Assessment Forms (RPA)
                                                                                                                     Management Board (MB)
   Appropriations-in-Aid (A in A)                          Foreign & Commonwealth Office /Service Level Agreement    Management Board Private Office (MBPO)
   Assistant Private Secretary (APS)                       (FCO/SLA)
                                                                                                                     Manual of Protective Security (MOPS)                          S
   Authority To Engage (ATE)                               Freedom of Information Act 2000 (FOIA)
                                                                                                                     Millennium Development Goals (MDGs)                           Sector Budget Support (SBS)
                                                           Freedom of Information (FOI)
                                                                                                                     Memorandum of Understanding (MOU)                             Sector Wide Approaches (SWAps)
   B                                                                                                                 Ministry of Defence (MoD)                                     Secretary of State (SofS)
   Business Continuity Plan (BCP)                          G                                                                                                                       Senior Civil Service (SCS)
                                                           Generally Accepted Accounting Practice (GAAP standards)                                                                 Senior Responsible Owner (SRO)
                                                                                                                     N
   C                                                       GEMS (General Expenditure Monitoring System)                                                                            Service Level Agreement (SLA)
                                                                                                                     National Audit Office (NAO)
   Conflict and Humanitarian Affairs Department (CHAD)     Government Accounting (GA)                                                                                              Special Payments (SP)
                                                                                                                     Non-Governmental Organisations (NGOs)
   Challenge Funds (CFs)                                   GSI (Government Secure Intranet)                                                                                        Staff Appointed in Country (SAIC)
                                                                                                                     O
   Civil Society Department (CSD)                                                                                                                                                  Spending Review (SR)
                                                                                                                     [UN] official development assistance: gross national income
   Civil Society Organisations (CSOs)                      H                                                         spending target (oda/GNI ratio)                               Statistical Reporting and Support Group (SRSG)
   Concept Note (CN)                                       Health & Safety (H&S)                                     Official Journal of the European Union (OJEU)                 Strategic Grant Agreements (SGAs)
   Consolidated Fund Extra Receipts (CFER)                 Her Majesty’s Customs and Excise (HMC& E)                 Office of Government Commerce (OGC)
   Corporate and Electronic Procurement Advisory Section   Her Majesty’s Government (HMG)                            Office Services & Security Department (OSSD)                  T
   (CEPAS)
                                                           Her Majesty’s Treasury (HMT)                              Open Government Unit (OGU)                                    Tools for Effective Development (TAPED)
   Corporate Human Resources (CHR)
                                                           Her Majesty’s Stationery Office (HMSO)                    Organisation for Economic Cooperation and Development         Technical Cooperation (TC)
   Corporate Strategy Group (CSG)                                                                                    (OECD)
                                                           Home Civil Service (HCS)                                                                                                Technical Cooperation Officers (TCOs)
   Country Assistance Plans (CAPs)
                                                           Human Resources (HR)                                      Overseas Estates Support Team (OEST)                          Top Management Group (TMG)
   Crown Agents Financial Services Limited (CAFSL)
                                                           Human Resources Division (HRD)                                                                                          Training & Development Unit (TDU)
                                                           Human Resources Customer Services & Support (HRCSS)       P                                                             Training Liaison Officer (TLO)
   D
   Department of Constitutional Affairs (DCA)                                                                        Payment Authorisation Form (PAF)
   Department for International Development (DFID)         I                                                         Performance Reporting Information System for Management       U
                                                           Information and Civil Society Department (ICSD)           (PRISM)
   Departmental Finance Officer (DFO)                                                                                                                                              United Nations Children’s Fund (UNICEF)
                                                           Information & Communication for Development (ICD)         Parliamentary Secretary (PS)
   Data Protection Act 1998 (DPA)                                                                                                                                                  United Nations Development Programme (UNDP)
                                                           Incident Control Officer (ICO)                            Parliamentary Under Secretary of State (PUSS)
   Data Protection (DP)                                                                                                                                                            United Nations Industrial Development Organisation (UNIDO)
                                                           Information Technology (IT)                               Poverty Reduction Budget Support (PRBS)
   Departmental Report (DR)
                                                           Information Systems Department (ISD)                      Poverty Reduction Strategy paper (PRSP)
   Departmental Security Officer (DS0)                                                                                                                                             V
                                                           Information Systems Development Method (ISDM)             Private Partnership Agreements (PPAs)
   Department of Trade & Industry (DTI)                                                                                                                                            Value Added Tax (VAT)
                                                           Inter-American Development Bank (IADB)                    Private Office (PO)
   Direct Budget Support (DBS)                                                                                                                                                     Value Added Tax Liaison Officer (VLO)
                                                           International Development Act (IDA) 2002                  Private Secretary to Secretary of State (PS/SofS)
   Director’s Delivery Plans (DDPs)                                                                                                                                                Value for Money (VfM)
                                                           International Development Association (IDA)               Private Secretary to Permanent Under Secretary of State
                                                                                                                     (PS/PUSS)
   E                                                       International Development Committee (IDC)
                                                                                                                     Procurement Group (PrG)                                       W
   Environmental Information Regulations 2004 (EIR)        International Financial Institutions (IFIs)
                                                                                                                     Programme Guidance Group (PGG)                                Waste of Electrical and Electronic Equipment (WEEE)
   Environmental Screening Note (ESN)                      International Fund for Agricultural Development (IFAD)
                                                                                                                     Project Header Sheet (PHS)                                    Whole of Government Accounts (WGA)
   European Commission (EC)                                International Monetary Fund (IMF)
                                                                                                                     Public Accounts Committee (PAC)                               World Bank (WB)
   European Union (EU)                                                                                               Public Expenditure Outturn White paper (PEOWP)                Write Offs (WOs)
                                                                                                                     Public Service Agreement (PSA)
Essential Guide to Rules & Tools




                                                                                                                                                                                                                           <BACK    NEXT >
                                                                                                                          Design B2, B3, B5, B6, B7, B11, D2, E17, G1, Glossary 3           Government Accounting (GA) C1, C2, C4, C6, C8, C9, C10,
   Index                                                                                                                  Development Assistance Committee (DAC) B2, Glossary 2–3
                                                                                                                                                                                            D2, Glossary 2
                                                                                                                                                                                            Government Secure Intranet (GSI) D3, I1
                                                                                                                          Development Banks B9, B10, C9, Glossary 2
   Accommodation and Workplace L3, L5, L6, L9                  CODA C1, C5, C11, L4, Glossary 2                                                                                             Guarantees B2, B9, B10, C10
                                                                                                                          Direct Budget Support (DBS) B10, Glossary 2
   Accountability and Audit L1, L2, L3, L4, L8                 Concept Note (CN) B2, B3, B6, L8
                                                                                                                          Director’s Delivery Plans (DDPs) A1, B2, Glossary 2
   Accountable Grant B5, B8, B9, B10, , L8, Glossary 1         Conduct and Propriety L1, L2, L3                                                                                             Harmonisation B5, Glossary 2
                                                                                                                          Directors Annual Statement of Assurance Glossary 2
   Accounts Group (AG) A2, B6, B8, C1, C2, C3, C4, C5, C7,     Conflict and Humanitarian Affairs Department (CHAD)                                                                          Health & Safety (H&S) B6, C9, D1, E11, E14, E15, G1, G3, G4,
   C9, C10, C11, C12, L3, L8 , Glossary 2–3                    B10, D5, L8                                                                                                                  G5, G6, H1, L1, L3, L5, L6, L9, Glossary 2
   ADAMANT Authorities, Documentation, Accuracy,               Conflict of interest F1, F2, L1, L2, L3                    Emergency Aid D5, L8, Glossary 2                                  Her Majesty’s Customs and Excise (HMC& E) C12
   Maturity, Acceptability, No previous payment, Timing B11,
   C1, D2, Glossary 1                                          Consolidated Fund B10, C4, C5, Glossary 1                  Environmental Information Regulations 2004 (EIR)J1                Her Majesty’s Government (HMG) D1, D3, D4, D5, E13, F1,
                                                               Consolidated Fund Extra Receipts (CFER) C5, Glossary 1     Environmental Screening Note (ESN) B4, B5, Glossary 2             J5, K2
   Administrative Costs Glossary 1
                                                               Contingent liabilities C10, L4, L8                         European Commission (EC) D1, D2, D4, J2, Glossary 2               Her Majesty’s Stationery Office (HMSO) D1
   Advance Payment C2
                                                               Contracts B5, C2, C12, D1, D2, D3, D4, E3, L3, L6, L7,     European Union (EU) B1, C12, D1, D2, D3, D4, D5,                  Her Majesty’s Treasury (HMT) A1, A2, C5, C7, C8, C11, E10
   Aid Framework A2, B4, B5, B7, C9, L4, Glossary 1
                                                               L8, Glossary 3                                             Glossary 2–3                                                      Home Civil Service (HCS) E1, E4, E5, E11
   Annual Audited Accounts – For Accountable Grants
   Glossary 1                                                  Corporate and Electronic Procurement Advisory Section      Evaluation B5, B6, B11, E2, E17, E19, Glossary 2                  Human Resources (HR) C8, E1, E3, E4, E5, E10, E11,E12, E13,
                                                               (CEPAS) D3                                                                                                                   E15, E16, E17, E19, E20, E21, G4, G5, L2, L3, L5, L6
   Annual monitoring review B11
                                                               Corporate Human Resources (CHR) E1, E4, E5, E17, G4,                                                                         Human Resources Customer Services & Support (HRCSS) E3,
   Appropriations-in-Aid (A in A) C5, Glossary 1               L2, L6                                                     Fiduciary Risk Assessment (FRA) B2, B4, B5, B7, B10, C4, L8,
                                                                                                                          Glossary 2                                                        E11, E13, E14, E15, E16, L3, L5
   Assets B5, C6, D7, H1, L4, L8, Glossary 1                   Corporate Strategy Group (CSG) A1, B1, J5, L2                                                                                Human Resources Division (HRD) C8, E1, E10, E11, E13, E17,
                                                                                                                          Finance & Corporate Performance Division (FCPD) A1, A2, B4,
   Auditor General B10, C4, Glossary 1                         Country Assistance Papers Glossary 1                       B6, C9, F1, L2,                                                   E19, E21, G4
   Authority To Engage (ATE) D1, D2, L7                        Country Assistance Plans (CAPs) A1, B1,B2, L2, L3, L8,     Financial Aid (FA) B5, B8, B9, B10, C4, D3, L8, Glossary 13
                                                               Glossary 1                                                                                                                   Imprest Account B5, C2, C3
                                                                                                                          Financial principles B7, L3
                                                               Crown Agents Financial Services Limited (CAFSL) B8, B10,                                                                     Imprest Holder C3
   Bilateral Aid Glossary 1                                    C4, L8, Glossary 1                                         FINSTATS A2, C5, L3, L4
   Budget Support B4, B5, B8, B10, B11, C4, L8, Glossary                                                                  Foreign & Commonwealth Office (FCO) A1, A2, B6, C3, C9,           Incident Control Officer ICO G5, L3, L9
   2–4                                                                                                                    E10, G1, G2, G3, G5, H1, I1, J4, K1, L3, L6, Glossary 2–3         Information & Communication for Development (ICD) J4, J5
                                                               Data Protection (DP) H1, J1, J2, J3, L1
   Budgetary Aid Glossary 1                                                                                               Foreign currency C1, C5                                           Information and Civil Society Department (ICSD) B10, J4, J6, B7
                                                               Data Protection Act 1998 (DPA) H1, J2, L1
   Business Continuity Plan (BCP) G5, L6, L9, Glossary 1                                                                  Formal Exchange B8, B9, B10                                       Information Systems (IS) C8, D7, E12, L1
                                                               Debt C11, L4
                                                                                                                          Framework A1, A2, B1, B4, B5, B7, B8, B10, C4, C9, E4, E5,        Information Systems Department (ISD) C8, G5, I1, L1, L9
                                                               Delegated authority B2, B4, B7, B8, C6, C8, G1, L2, L3,    E6, E7, E19, E20, G7, J3, L4, Glossary 1, Glossary 3–4
   Call down contract D3, L3                                   L4, L6, L7, L8, Glossary 2                                                                                                   Information Systems Development Method (ISDM) D7
                                                                                                                          Fraud B8, C1, C2, C3, C4, C6, C8, D3, D4, E8, E9, F1, F2,
   Capital investment G1, L6                                   Department of Constitutional Affairs (DCA) J1, J2          G2, L1, L3                                                        Information Technology (IT) D3, E12, H1, I1
   Challenge Funds (CFs) B9, B10, Glossary 1                   Department of Trade & Industry (DTI) A1, E14               Freedom of Information (FOI) H1, J1, J2, J3, J7, L1, Glossary 2   Institutional Strategies (IS) B2, Glossary 3
   Civil Society Department B10, J4, J6, J7                    Departmental Finance Officer (DFO) A2, C6, C11, L3, L4     Freedom of Information Act 2000 (FOIA) H1, J1, L1, Glossary 2     Insurance G6, L6
   Civil Society Organisation / Civil Society Organisations    Departmental Report (DR) A1,A2, B11, Glossary 2                                                                              Inter-American Development Bank (IADB) B8, B10
   (CSOs) B8, B10, C4, Glossary 1
                                                               Departmental Security Officer (DSO) H1, L3                 General Expenditure Monitoring System (GEMS) A2, Glossary 2       International Development Act 2002 (IDA) A2, B2, B4, B7, B8,
   Claims register C5, C12, L3, L4                                                                                                                                                          B10,C9, C10, L2, L3, Glossary 2–4
                                                                                                                          Generally Accepted Accounting Practice (GAAP standards) C7,
                                                                                                                                                                                            International Develpment Association (IDA) A1, B10,
                                                                                                                                                                                            Glossary 3-4
Essential Guide to Rules & Tools                                                                                                                                                                              Essential Guide to Rules & Tools - Index continued...




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International Development Select Committee (IDC) A1,           Official Letter B8, L8                                          Public Expenditure Outturn White paper (PEOWP) A2,                 Tool and Procedures for Effective Development (TAPED) B2,
Glossary 3                                                                                                                     Glossary 4                                                         B4, B11, C4
                                                               Open Government Unit (OGU) J1, J2, J3
International Financial Institutions (IFIs) B10                                                                                Public Service Agreement A1, A2, B2, B11, L3, Glossary 3–4         Technical Co-operation (TCOs) B5, B10, C11, Glossary 4
                                                               Overall Business Planning L2, L3, L4
C10, Glossary 2                                                                                                                                                                                   Technical Cooperation (TC) B8, B10
                                                               Overseas Estates Support Team (OEST) B10, D4, G1, G2, G3,
International Fund for Agricultural Development (IFAD) B10     G4, G5, L6                                                      Receipts C5, L4, Glossary 1                                        Tendering B5
International Monetary Fund (IMF) Glossary 3                   Ownership B5, B11, C6, E7, J7, L8                               Recruitment E1, E10, E17, E20, L1, L3, L6                          Terms of Reference B2, C12, D1, J6
                                                                                                                               Regional Assistance Plans (RAPs) B1, B2, L3, L8, Glossary 4        Theft C6, C8, G3, H1, I1
LOAS C1, C5, C11, L4, Glossary 3                               Parliament A1, A2, B2, B9, B10, B11, C4, C5, C7, C10, D2, F2,   Resource Accounts A2, C6, C7, C10, L4, Glossary 4                  Top Management Group (TMG) K1, K2, K3, L1, L3
                                                               K1, K2, K3, Glossary 2–4
Local Contract Officers (LCOs) D2, G2                                                                                          Resource Allocation Round (RAR) A2, C5, L2, L4, Glossary 4         Training & Development Unit (TDU) E2, E6, E7, E17
                                                               Parliamentary Under Secretary of State (PUSS) B1, B2, B4, B7,
Logical Framework B4, B5, Glossary 3                           L2, Glossary 3                                                  Resource Management Group (RMG) A2, B6, B7, G1, L2, L3, L4         Training Liaison Officer L3

                                                               Parliamentary, Ministerial and Top Management L3                Reviews A1, B1, B5, B11, E6, E7, E10, E20, L3, L5, L6              Treasury A1, A2, B6, C5, C7, C11, E10, E21, F2, Glossary 2,
                                                                                                                                                                                                  Glossary 4
Management Board (MB) A1, B11, L2, Glossary 3                  Payment Authorisation Form (PAF) C1, C3
Managing Information and Communications L3, L10                Performance Reporting Information System for Management         Secondees E16, H1
                                                               B11, Glossary 3                                                                                                                    United Nations Children’s Fund (UNICEF) B8, B10, Glossary 4
Managing People L1, L2, L3, L5, L6                                                                                             Secretary of State (SofS)A2, B1, B2, B4, B7, C8, E2, K2, K3, L2,
                                                               Permanent Secretary (PS),A1, A2, B7, C4, C8, C9, E20, E21,G4,   L3, L8, Glossary 2–3                                               United Nations Development Programme (UNDP) B8, B10,
Managing Programmes, Projects and Expenditure L3, L8                                                                                                                                              Glossary 4
                                                               J4, Glossary 2                                                  Sector Budget Support B10, Glossary 3–4
Manual of Protective Security (MOPS)G1, H1                                                                                                                                                        United Nations Industrial Development Organisation
                                                               Post Account C3, Glossary 3                                     Sector Wide Approaches (SWAps) B10, Glossary 4
Memorandum of Understanding (MOU) B7, B8, B9, B10, C4,                                                                                                                                            (UNIDO) B8, B10, Glossary 4
L8, Glossary 3 ,                                               Posts E2, E4, E17, E19, G4, L2, Glossary 2                      Security C9, C11, E2, E12, E14, E16, G1, G3, G4, G5, G7, H1,
                                                               Poverty Reduction Budget Support (PRBS) B4, B5, B8, B9, B10,    I1, J1, L1, L3, L6, L9
Millennium Development Goals (MDGs) A1, B3, B5, C4, J3,                                                                                                                                           Value Added Tax (VAT) C12, Glossary 4
Glossary 1-3,                                                  B11, C4, L8, Glossary 2–4                                       Senior Civil Service (SCS) B7, E6, E7, E20, E21, L5
                                                               Poverty Reduction Strategy Papers (PRSPs) Glossary 3                                                                               Value for Money (VfM) B11, C4, D1, D2, D3, D5, D6, F2, G1,
Ministry of Defence (MoD) A1                                                                                                   Senior Responsible Owner (SRO) D7                                  G3, L7, Glossary 4
Multilateral Aid Glossary 3                                    PRISM A1, B2, B8, B11, L3, Glossary 3                           Service Level Agreement (SLA) A2, G2, I1, J6, Glossary 2           Vehicles C6, G6, L3, L6
                                                               Private Office Glossary 3                                       A2, G2, I1, J6, Glossary 2
National Audit Office (NAO) A1, A2, C4, C7, C8, C10, C11,      Probation E3, E6, E7, L1, L5                                    Special Payments (SP) C4, C8, L4, L8                               Waste of Electrical and Electronic Equipment (WEEE) I1
D1, D5, D7, E17, Glossary 3–4                                  Procurement B5, B8, B10, C4, C12, D1, D2, D3, D4, D5, D7,       Spending Review (SR) A1, A2, Glossary 4                            Whole of Government Accounts ( WGA) A2
New Commitments B7, L2, L3, L8                                 G1, G2, G3, G7, L3, L6, L7, L8, Glossary 3
                                                                                                                               Staff Appointed in Country (SAIC) C3, E1, E3, E4, E5, E10, E11,    World Bank (WB) B10, Glossary 2 - 4
NGO / NGOs B8, , B9, B10, C4, F2, Glossary 3, Glossary 1       Procurement agents C12, D3                                      E13, E14, E15, E16, E18, E21, H1, L2, L3, L6
                                                               Procurement Group (PrG) B6, D1, D2, D3, D4, D5, D6, G3,                                                                            Write Offs (WOs)C8
Non-Governmental Organisations , Glossary 3                                                                                    Statistical Reporting and Support Group (SRSG) B2, B7, B8,
                                                               G7, L3, L6, L7, L8                                              B11, C1, L2, L8
                                                               Programme Guidance Group (PGG) B2, B6, B8, B9, B10, C4,         Strategic Grant Agreements (SGAs) B10
OECD Glossary 3                                                C10, G6
                                                                                                                               Submissions B1, C8, K3, L3
Office of Government Commerce (OGC) D1, D4, D7, G1,            Project Header Sheet (PHS) B2, B3, B4, B5, L8
Glossary 3–4                                                                                                                   Suspense accounts C2, , C3, C8
                                                               Promissory Notes B10, C9, L2
Office Services & Security Department (OSSD) G3, G4, G5,
G7, H1, L9                                                     PSA A1, A2, B2, B4, B11, Glossary 4
Official Journal of the European Union (OJEU) D1, Glossary 3   Public Accounts Committee (PAC) A1, A2, C4, C8, D1,
                                                               Glossary 3–4

Essential Guide to Rules & Tools - Index continued...




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