In the Department of Health, we see Open Policy Making not as a discrete concept or behaviour, but a state of mind. We would argue that open policy making is gold-standard policy making. But we recognise that too often, policy making defaults from the gold-standard. Sometimes this is a consequence of unchangeable circumstance, but at other times it could have been prevented. We aim to professionalise our policy making to improve standards, and are using the Twelve Actions to Professionalise Policy Making as a blueprint to do that. This is our plan for how we’ll get to where we want to be—our Policy Improvement Plan. It introduces our new Policy Tests, outlines how we’ll improve learning and development, openness and connectedness, and how we’ll reward excellence in policy making. The Plan addresses DH staff as its audience, but—in the true spirit of openness—we want to hear from outside voices, too (you’ll see it’s still not in its final form)! What do you think?

1. DRAFT – For Comment
Department of Health Policy Improvement Plan 2014/15
DQ: Foreword by Ian as HoPP?
Introduction
The Civil Service Reform Plan challenged officials to improve the way they make policy by developing
skills and having a more open, iterative and informed approach.1 Twelve Actions to Professionalise
Policy Making was the response of the Civil Service policy profession to this challenge, setting out a
dozen pragmatic recommendations (for a full list of the Actions, and the Department’s response, see
Annex A).2
This is the Department of Health’s (DH’s) answer to that agenda, setting out what we will be doing
in 2014/15 to support policy officials. It outlines the steps that will be taken to ensure we focus on
professionalism in policy making in the year ahead. It links with other important improvement work
within DH such as the Departmental Improvement Plan (Action 5.7) and is one of the nine strands of
work to improve capabilities within the Department. [It has been peer-reviewed by the Heads of
Policy Profession (HoPPs) of other government departments].
2014/15 is an important time if this agenda is to succeed. It will be a year to focus on capability
before the election, ensuring policy making in the Department is in the best possible shape before
the arrival of the next government and an even tighter period of fiscal restraint.
Audience - Why this is relevant to you
Many of the Department’s staff work on policy. The Department identifies “specialist” roles such as
programme and project management, finance, science and analysis. Officials in these roles may be
involved in supporting policy work, or may even be embedded within a policy team. The remainder
of staff in “generalist” roles include those who would identify themselves principally as policy
officials, but the generalist label also covers a group of administrative staff (from PAs to business
managers) and those who may have a policy background but in roles where they are not developing
policy such as private office or new functions like sponsoring an arm’s length body.
This plan is primarily for all those who are currently, or expect to be in future, in careers focused on
policy development, whatever their background. In addition, the opportunities it offers are relevant
to all staff. Our goals is that everyone should have an awareness of efforts to improve policy
making, which is the Department’s core business.
Where we are now
There is excellent policy making in the Department. From W to X and Y to Z. The Department also
has strengths in some key skills. For instance, a survey of nearly 150 DH Civil Servants in 2013
identified that people rated external engagement as a particular strength.
1
2
HM Government, Civil Service Reform Plan, June 2012
Policy Profession, Twelve Actions to professionalise Policy Making, October 2013
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2. DRAFT – For Comment
Feedback and evaluation on how policy is being
realised in practice
Clarity on roles and accountabilities
Appraisal and assessment of options
Least Successful
External engagement
Most Successful
Policy design that is resilient to adaption and is
implementable
Generating ideas informed by good quality up to
date evidence
Clear definition and framing of the issue
0
10
20
30
40
50
60
Figure 1 – Responses by 143 DH officials to the question “From your own experience and your knowledge of
departmental policies which element do you feel DH as a whole achieves most/least successfully.”3
But our approach to policy making does not systematically ensure that policy making is as good as it
can be. We do not routinely ask what the international evidence shows about a policy problem. The
Francis Report questioned whether the DH had become remote from the frontline services for which
it makes policy.4 And as the 2013 survey showed, 40% of respondents felt that feedback and
evaluation on how policy is being realised in practice was a DH weakness. We are also adjusting to
new accountabilities where the Department acts as the “System Steward” of the health and care
system, rather than having direct control.5
So there are areas where we need to improve and develop if we are to be a great department of
state. Those working on policy do not, however, have a culture of continuous professional
development (CPD). More than half of policy officials are not using the minimum expected five days
a year for learning and development.6 Yet short-term investments in improving your policy skills will
lead to much more substantial long-term savings as you work more efficiently and effectively.
How can we get to where we need to be?
Given policy making is not as consistently good as it can be, the Department is responding by:
1.
2.
3.
4.
Introducing policy tests
Improving learning and development
Being open and connected
Rewarding a focus on excellent policy making
3
The seven categories are the Institute of Government’s Policy Fundamentals taken from, Michael Hallsworth
and Jill Rutter, Making Policy Better, April 2011, p.14
4
Robert Francis, Report of the Mid Staffordshire NHS Foundation Trust Public Inquiry: Executive summary,
February 2013, p.82
5
Michael Hallsworth, System Stewardship, Institute for Government, April 2011
6
Policy Profession, Twelve Actions to professionalise Policy Making, October 2013
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3. DRAFT – For Comment
1. Introducing Policy Tests
The inconsistency in the quality of policy making can be addressed by the creation of a common set
of expectations. This is what the DH policy tests provide, six questions that are relevant whether
you are working on tobacco policy or hospital re-organisation.
The policy tests were created through a series of workshops involving over a hundred officials,
building on previous work such as the Department for Education’s Five Policy Tests7 and the Institute
of Government’s Policy Fundamentals to create the six tests, outlined in Figure 2.
Figure 2 – DH Policy Tests
These provide six high level questions that policy officials need to ask when they begin work on a
policy and keep on revisiting during its development. They do not follow a linear process or even a
policy cycle, because policy in the real world is rarely made in such a neat and straightforward way.
Given the acknowledged weakness in evaluation and feedback, we will need to pay particular focus
to the question “Will it actually work and how will you know?”
There is not a specific question about funding and affordability, but clearly this is a central theme of
many of the questions e.g. is funding available for this policy to work? And what are the costs and
benefits of your policy objective? Policy officials will be expected to work closely with finance
colleagues in all policy development to ensure a strong focus on value for money.
The tests have been deliberately kept simple, but a wealth of supporting detail for each test will be
available on the Department’s new intranet.
7
N Barcoe and H White, The Policy Tests: transforming policy in the Department for Education, Civil Service
Quarterly, 12 July 2013
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4. DRAFT – For Comment
The tests have been shared with the Department’s partners such as NHS England and Public Health
England so that they can hold us to account for the quality of our policy work and can consider
applying them themselves, in their own work.
During 2014/15 the tests will become embedded in how the Department works. For instance we will
run workshops for private offices on the Tests and encourage them to provide constructive
challenge to policy officials on their use. We will also use the tests in the work of the Submissions
Review Group (which considers the quality of a cross-section of the Department’s advice to
ministers).
DQ: We are also keen to develop case studies of how the Tests will benefit policy making – do let
the policy improvement team know if you have some good examples.
2. Improving Learning and Development
If people are to be effectively answering the policy tests, there needs to be a comprehensive
package of training available to DH staff. This will range from policy as part of the corporate
induction event to a two-year part-time MSc in Health Policy and are set out in Box A.
Box A – Learning and Development Training Offer for Policy
Refreshed – Policy Induction
As the core business of the Department, policy will be covered in the Department’s new corporate
induction event, including highlighting the six policy tests. For new policy officials, and others
wanting to understand more about policy making, this will be supplemented by a one-day
introduction to policy making (previously called DH Core Policy Skills), which will be brought back in
a revamped format. This session will draw on the cross-government work to create a common set of
induction resources for policy.8
Civil Service Learning
Civil Service Learning has a number of policy courses, particularly aimed at relatively new policy
officials. Further details are available at
https://civilservicelearning.civilservice.gov.uk/professions/policy-profession
New – Policy Certificate (Senior champion Paul Macnaught)
This will be a programme of short courses open to all and run by experts within the Department of
Health. Topics could include areas policy makers need to know about (e.g. legislation,
communications, customer insight etc) and also specific policy making approaches/skills (e.g.
behavioural economics, wellbeing). Attendees get credits for each session they go on and once they
have accumulated enough credits and completed a reflective piece of work on what they have
learnt, they gain the policy certificate.
New – Policy School (Senior champion x)
The Policy School is a week-long intensive course where participants learn through a range of
speakers, but also work on a policy project. We are building on the work of other government
department e.g. DCLG, Cabinet Office and MoD, who have successfully used this model. The school
8
Available at: https://civilservicelearning.civilservice.gov.uk/learning-resources/heads-policy-inductionresources
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5. DRAFT – For Comment
will be aimed at Grade 6/7 and those who expect to reach that level in the next two years. There
will be a competitive application process for spaces.9 The school will take place in September and
utilise a Government (but non-departmental venue) to keep costs low.
Retendered – MSc in Health Policy
In 2010 the Department tendered for a three year contract for the provision of a postgraduate
qualification in Health Policy. The contract was awarded to Imperial College London and the first
cohort has now completed the two-year part time MSc in Health Policy. This course has helped
develop deep subject expertise in a group of Policy Officials through a recognised qualification from
a world-leading university. The Institute for Government have given the MSc a positive evaluation
[insert link when available]. We are re-tendering the MSc on a five year contract and will be
encouraging our ALBs to send participants as a way of creating a broader health policy network.
Learning and development is far more than just training courses, however, and we do encourage
policy officials to consider the full range of learning and development available to them including
taking on new job responsibilities, shadowing, reading articles, attending events by think tanks and
e-learning.
In return for making these learning and development opportunities available, we ask that you take
responsibility for your learning and development. To help you do that we have created one simple
tool and a working on another. The first is a template for policy officials to record their policy
making CPD (see Annex B). The second tool we will develop is a self-assessment so that policy
officials can rate their own skills in carrying out the six Policy Tests. Once areas for development
have been identified, the new intranet will signpost to resources for each of the six Policy Tests.
3. Being Open and Connected
Improving our skills and knowledge through learning and development is important, but it is not
enough. We also need to ensure we have a broader outlook in our policy making. That is the focus
of the open policy making work introduced by the Civil Service Reform Plan.10 Open policy making
means drawing on external expertise and challenge early in the policy making process to ensure
proposals are robust and effective. Policy makers should be willing to engage with ideas generated
outside the department, and have an open culture which welcomes input from others. Innovation
and collaboration should be at the heart of policy design. [DN: potentially amend this explanation
based on feedback].
The DH is one of seven Departments that self-identified as being exemplars of open policy making.
We believe that we are particularly strong in some areas of open policy making such as the coproduction of policy with partners and the use of digital methods to further engagement. Case
studies can be found here http://my.civilservice.gov.uk/policy/case-studies/
9
Details of how to apply for the Policy School and the MSc in Health Policy will be made available on the
Department’s intranet when the application process opens.
10
HM Government, Civil Service Reform Plan, June 2012
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6. DRAFT – For Comment
Rather than have a separate focus on open policy making we are clear that it is a fundamental part
of the DH policy tests. The tests and their supporting resources are designed to make open policy
making easier to do (see Figure 3).
Figure 3 – DH Policy Tests and Open Policy Making
In May 2014 we will be holding a conference with external experts to ensure all SCS policy makers
are aware of the open policy making agenda. We will then expect them to share this learning with
their teams.
We will also seek to make ourselves more open by introducing challenge sessions where external
experts and Civil Servants will be brought together to discuss significant policy issues. This is an
approach that has worked in the Foreign and Commonwealth Office and we will look to replicate this
success.
In addition, one way of being more open will be through the Connecting Programme. Connecting
was introduced in 2013 for SCS in the Department. This pioneering programme enables officials to
go out and spend time in frontline health and social care such a day with a district nurse or visiting a
care home. It helps policy makers understand the reality of service delivery and the impact of the
policies they work on. [DN: include some statistics].
In 2014/15 the connecting programme is being rolled out to all policy officials. We are also seeking
to strengthen the methodological base for connecting (which is in essence ethnographic research
carried out in a care provider) so that the insights gathered can improve policy making.
Connecting is an example of one linked initiative within the Department. Another is our work on
developing best practice in sponsorship. Those sponsoring our ALBs will typically be policy officials.
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7. DRAFT – For Comment
Standards have been developed for sponsorship and we have ensured these support ALBs
involvement in policy making.11
Having more open and connected ways of working increases the need for good knowledge
management (see Box B). This is an issue for everyone in the Department, but is particularly
relevant as more policy development work happens as a policy projects, with teams completing
work and moving on to new priorities.
Box B - Knowledge Management
Good knowledge management is essential to make best use of our resources and expertise. Twelve
Actions to Professionalise Policy Making called for a cross-Civil Service review knowledge
management (Action 11). Whilst the cross-Whitehall review is going on we are working with
Knowledge and Information Management professionals within the Department to develop clear
guidance on how to close-down, write-up and disseminate the learning from a policy project. We
will also be emphasising the importance of sharing of knowledge in people’s objectives.
4. Rewarding a focus on excellent policy making
The success, or not, of this policy improvement plan, will come down to the actions of policy officials.
Whether you use the policy tests, whether you take responsibility for their CPD and whether you
choose to operate in a more open and connected way. Hopefully you are convinced of the rationale
for this work and why we need to improve. However, in the context of busy working lives, making a
successful case for change is not enough. We also need to ensure there are incentives on policy
officials.
Therefore we are expecting line managers to discuss CPD with their staff regularly in line with the
Department’s fourth people management commitment.12 There should be a particular focus on this
as part of mid and end of year appraisal discussions. If policy officials are not taking their CPD
seriously, they will have to explain why in these conversations.
Everyone should be developing their skills so they do a better job in their current role, but for those
looking to advance, we will be building this work into promotion gateways. Candidates for Grade 7
and SCS1 gateways can expect to be asked about their use of the six policy tests. And they will also
be questioned about what they have done to improve their own, and the departments, policy
making capabilities.
Finally we are looking to develop clear expectations of policy skills, knowledge and experience
required by different grades. This will build on the Policy Profession Skills and Knowledge
Framework,13 but look to extend this by being clear what sort of experiences we expect people to
have had (e.g. working outside the Department through secondments).
11
Insert Link when available
The fourth commitment of six says “I will ensure performance reviews for my team inform robust personal
development plans and that all staff have fair access to relevant learning and development opportunities.”
13
Available at:
https://staginglearning.civilservice.gov.uk/sites/default/files/final_policy_skills_knowledge_framework_februa
ry_2013.pdf
12
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8. DRAFT – For Comment
Next Steps
This is an ambitious programme, reflecting our belief that 2014/15 is a crucial year for making
progress on this agenda. Our top ten deliverables for this year are:
1.
2.
3.
4.
5.
6.
7.
8.
9.
Policy Tests that are being used
Running a successful Policy School
The introduction of the DH Policy Certificate
The re-tendering of the MSc in Health Policy
Beneficial challenge sessions to further open up our policy making
Highly accessible, interactive policy section of the new DH intranet
A clear methodology for how the connecting programme improves policy making
The inclusion of policy skills in gateway interviews
Sharing of policy knowledge through the proper close down and documentation of policy
projects
10. A 2015/16 Policy Improvement Plan that shows significant progress
Taken together these should create a more consistent and cohesive approach to policy making in the
department, helping to foster a community of policy officials who focus on their development.
Further Information:
For further information on anything outlined here, please contact one of the Policy Improvement
Team at the Department of Health:
Peter Howitt (peter.howitt@dh.gsi.gov.uk)
Jen Mason (jennifer.mason@dh.gsi.gov.uk)
Alice Ehrlich (alice.ehrlich@dh.gsi.gov.uk)
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9. DRAFT – For Comment
Annex A – Specific Plans on Each of the Twelve Actions
Action
What DH has already done
Action 1: Permanent Secretaries, assisted by
the Head of the Policy Profession, will
transform the role of the Departmental Head
of Policy Profession (HoPP) during 2013/14.
The HoPP will be accountable for (a) improving
policy standards and driving improvement
activity within departments, and (b)
contributing to Civil Service-wide action to
professionalize policy making.
Action for Policy Profession Board. [DN: or do we want to put something here about Ian’s Objectives?]
Action 2: The Head of Profession, supported by
Permanent Secretaries, will establish enhanced
policy profession support by December 2013 to
act as a catalyst for professionalization. This
will be governed by a strengthened Policy
Profession Board, and funded by a modest levy
from departments. Resources will be used to
build an enhanced sense of a service-wide
policy community across departments to
unlock synergies, share learning and codify
good practice. It will include funding the
establishment of a Policy Lab to promote
innovative techniques.
Action for Policy Profession Board. We have committed to funding the cross-Civil Service work and will
be looking to utilise the Policy Lab.
Action 3: The Head of the Policy Profession and
Departmental HoPPs will develop and maintain
regular communications with policy officials,
with a particular focus on professional
development, from October 2013.
Action principally for Policy Profession Board. In DH we are developing our policy intranet pages as main
communication medium. We are also using SCS bulletins to circulate details of learning and
development opportunities.
Action 4: Each Department will adopt during
2013/2014 a set of fundamental policy
• Co-designed the DH tests
with over 100 staff in 2013
9|Page
What DH will be doing in 14/15
• Make the tests highly visible;
placing posters and desk guides
How we will know we have
succeeded?
Improved awareness and use of
Policy Tests from July 2014

10. DRAFT – For Comment
standards and subsequently work to embed
these. All SCS in charge of policy work will be
responsible for quality assurance against these
standards.
through workshops and team
meetings.
around the Department’s buildings
(link to Action 3).
• Senior engagement through
DH Leadership Team, SCS
Forum and Directors’ Policy
Network.
•Run workshops for private offices
on the Tests and encourage them
to provide constructive challenge
to policy officials on their use.
•Planned soft launch of Policy
Tests in Feb 2014; digital
engagement through
Yammer, discuss with ALBs,
use staff network established
in earlier engagement.
baseline, measured as part of the
DH Annual Skills Review.
•Use the tests in the work of the
Submissions Review Group (which
considers the quality of a crosssection of the Department’s advice
to ministers).
• Place the tests as a centre-piece
of induction for new entrants into
the department (link to Action 7).
• Ask questions about the practical
use of the tests in promotion
gateways for Grade 7 and SCS1
(link to Action 8).
Action 5: All Departmental HoPPs will make
policy improvement systems and activity
within their department transparent on an
annual basis, and subject to HoPP peer review.
• Policy Improvement Plan
drafted and shared with PPB
Working Level Contacts and
other key parties for peer
review.
• Publish DH’s Policy Improvement
Plan.
• Positive feedback on draft
Policy Improvement Plan.
• Monitor work delivered under
policy improvement programme to
ensure expected benefits are
realised, and report in the next
Policy Improvement Plan in March
2015.
•2015 Policy Improvement Plan
demonstrates progress on the six
Departmental actions (4-9) in line
with expectations described in
this report.
Action 6: Each Departmental HoPP will
champion Open Policy Making as part of their
core responsibilities.
• The Department of Health is
one of seven Departments
that self-identified as being
• Run a conference for the SCS in
May on Open Policy Making
involving external experts..
• Staff awareness and use of
OPM will be monitored through a
supplementary question added to
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11. DRAFT – For Comment
exemplars of open policy
making. We believe that we
are particularly strong in
some areas of open policy
making such as the coproduction of policy with
partners and the use of digital
methods to engage more.
•The six policy tests and their
supporting resources are
designed to make open policy
making easier to do.
Action 7: The Policy Profession Board will make
recommendations in 2013/14 for how
Departmental HoPPs can overhaul policy
induction for new entrants, learning from the
best professional advisory services, to take
effect during 2014/15.
• Policy Improvement session
delivered for DH Fast Stream
Induction on 14 October
2013.
• Introduction to Policy stand
prepared for DH corporate
induction events.
• Introduce challenge sessions
where external experts and Civil
Servants will be brought together
to discuss significant policy issues.
the DH Annual Skills Survey (July
2014)
• Develop more case studies of
open policy making in practice in
the DH and share these, for
example through the Civil Service
Quarterly and the Open Policy
Making Linked In group.
• Design and launch the
supplementary policy induction for
all new policy staff.
• Signpost policy officials to Civil
Service Learning policy courses
which complement their personal
development plans.
• All new entrants to attend
Corporate Induction.
• All new policy officials to attend
1-day policy induction.
• Positive feedback from
attendees of induction events.
• Agreed with HR that we will
offer a specific induction for
new policy staff from
2014/15.
Action 8: All policy officials are responsible for
developing their skills and expertise, including
through appropriate continuous professional
development (CPD). This should be considered
as part of appraisals and in promotion
exercises.
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•Recommendations paper for
DH Policy School drafted,
based on site visits and
collaboration with four OGDs
currently running their own
schools. Venue secured for
w/c 8 September 2014.
• Design sessions for DH Policy
School.
• First DH Policy School held
September 2014.
• Invite applications for Policy
School and select participants.
• First candidates taking modules
for the new DH Policy Certificate
by September 2014.
• Commission independent
evaluation for Policy School.
• Candidates for Grade 7 and

12. DRAFT – For Comment
•Initial planning begun for DH
Policy Certificate and senior
champion identified.
• Example CPD record
designed.
• Work with colleagues across DH
to co-design Policy Certificate
modules, and secure their
commitment to delivering modules
in their areas of expertise.
SCS1 gateways to be asked what
they have done to improve their
own, and the department’s,
policy making capabilities.
• Discuss appraisal and Gateway
applications for the Policy Tests
with HR.
•Develop a self-assessment tool so
that policy officials can rate their
own skills in carrying out the six
Policy Tests.
•Refine and promote the CPD
template for policy staff.
Action 9: Departmental HoPPs, working with
Human Resource Directors, will develop plans
to transform the development of policy grades
7 – SCS 1, with a focus on increasing (a) deep
subject expertise, (b) post-graduate
qualifications on public policy or business
administration, and (c) wider experience and
(d) skills in related disciplines.
• First cohort of MSc students
completed their degrees.
Second cohort commenced
second year. Third cohort
began their studies in
September 2013.
• Connecting programme
initiated and all SCS to have
attended 20 days Connecting
by April 2014.
• Policy Maker’s Guide to
Analysis developed.
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• Re-tender the MSc for 3/5 years
and encourage ALBs to identify
participants.
• Roll out the connecting
programme to all policy officials
• Share and refine the Policy
Maker’s Guide to Analysis.
• Successful retender for MSc in
Health Policy; fourth cohort
commence studies in September
2014.
• All SCS and policy staff at other
grades participating in
Connecting programme by March
2015. Teams set criteria of
success through self-designed
compacts between themselves
and the Connecting programme
team.

13. DRAFT – For Comment
Action 10: The High Potential directors working
on policy making will be considered a Civil
Service-wide, rather than Departmental, talent
pool from April 2014.
Action for Policy Profession Board
Action 11: The Policy Profession Board will
initiate a fundamental review of knowledge
management practices, surveying practices
within each department, learning from other
sectors and countries, and making
recommendations during 2014.
Action for Policy Profession Board. Whilst review is carried out we will work in the Department with
Knowledge and Information Management professionals to develop clear guidance on how to close-down,
write-up and disseminate the learning from a policy project. We will also be emphasising the importance
of sharing of knowledge in people’s objectives.
Action 12: The Policy Profession Board will
ensure clarity as to whether these
recommendations have been implemented,
their individual and aggregate impact
(including through developing indicators of
success) by commissioning an independent
annual assessment and encouraging
appropriate scrutiny.
This is principally an Action for Policy Profession Board although, as outlined here, we are developing our
own measures of success for the actions we are leading.
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14. DRAFT – For Comment
Annex B - CONTINUOUS PROFESSIONAL DEVELOPMENT - POLICY
Name: Jane Smith
Date
03/12/13
Development opportunity
Open and Collaborative
Policy Making course
Days
1
Objectives
• To improve my
understanding of OPM
•To connect with OGD
colleagues
•To discover OPM
resources and
techniques
Learning
After attending this
course I am able to
confidently
describe
what OPM means for
our Department and the
benefits it brings.
Impact
- High satisfaction at our recent
stakeholder workshop where I used
the techniques learned at the
course.
- Discussions on OPM LinkedIn
page with colleagues in OGDs
identified wider range of people to
consult on our policy.
- Positive feedback from Director’s
Policy Network on how OPM is
defined in Policy Improvement Plan.
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