Novel Policy Scrutiny
Novel, potentially volatile and untested initiatives should in future be scrutinised thoroughly, well ahead of ministerial and business case approval. The Inquiry commends processes such as a 'starting point Gateway assessment' and, at a suitable point, a 'feasibility signoff' completed by the Department's Accounting Officer. With regard to particular policies driven by unpredictable demand, consideration should always be given, before the policy is implemented, to the inclusion of a clearly drafted statutory power to enable swift action to be taken to suspend and/or close the scheme in order to bring it under control.
How was this assessed?
Response
Accepted
Response
Accepted[Note: The NI Executive responded to recommendations 1-4 together as a group under the 'Policy Development' theme.] NI Executive Response (October 2021): These recommendations can be accepted in full. Some elements are addressed in existing guidance, including: the role of the Senior Responsible Officer in respect of the delivery of a project or programme; existing Business Case guidance; the obligation upon civil servants under their Code of Ethics to provide objective and impartial advice, and to give Ministers all the facts; departmental systems to set priorities and targets (consistent with the PfG) to report progress against key targets. They have been addressed in work to date through: the review of recruitment and selection policies and practices as part of the NICS People Strategy; the Review of Business Case and Expenditure Approval processes. Further work is required to: reflect key principles in the guidance relating to policy making, Business Cases, Project Management including Gateway guidance, and risk-management; address the knowledge and skills of those in policy roles, including training with an emphasis on modelling and testing, by conducting a fundamental review of the Practical Guide to Policy Making through the Policy Champions' Network, and follow through to the Policy Skills Guide and policy-skills training offer; embed NICS ethical standards; ensure financial and non-financial performance target reporting to the Minister, including outside the budget period.
Progress Timeline
NIAO Second Progress Report (October 2024): Likely to be Implemented. Sub-recommendation 2(1) on pre-approval scrutiny is assessed as Implemented via updated Gateway assessments. Sub-recommendation 2(2) on demand-driven policy controls is assessed as 'likely' — the Making a Difference guidance covers risk mitigation but NIAO seeks evidence of rigorous application in practice.