Guidance

Handbook for Standard managers - Developing, managing and maintaining functional standards

Published 30 September 2024

AF printable PDF version of this guidance is available via via the following link Handbook for standard managers - PDF, 429 KB, 35 pages

1. About this handbook

1.1 Purpose

This handbook provides advice about how functional standards should be developed, managed and maintained. It supports functions to meet the expectations about managing functional standards in GovS 001, Government functions.

1.2 Scope

This handbook is for those undertaking the role of standard manager defined in GovS 001, Government functions, and applies to the management of all functional standards. It should also be useful for standard owners, and anyone interested in how standards are managed and used (including how continuous improvement assessment frameworks are developed). The handbook assumes that the reader is familiar with the content of GovS 001, Government functions. Please refer to the standard for detailed expectations.

1.3 Further information

The full suite of functional standards and associated guidance can be found at: Functional Standards - GOV.UK.

For templates, tools, processes and further advice on fulfilling the standard manager role please contact the standards policy team at [email protected].

The standards team can also provide a list of functional standard managers on request.

2. Context

2.1 Functional standards

Functional standards exist to create a coherent, effective and mutually understood way of doing business within government organisations and across organisational boundaries, and to provide a stable basis for assurance, risk management, and capability improvement. They support value for money for the taxpayer, and continuity of implementation.

2.2 Managing Public Money

The suite of standards is mandated for use across central government departments and their arm’s length bodies, through inclusion in Managing Public Money. For more information on what this means, see this Dear Accounting Officer letter. HM Treasury Officer of Accounts is consulted before any new mandatory requirements are set in functional standards (the ‘shalls’).

2.3 GovS 001, Government functions

Overview

GovS 001, Government functions sets expectations for the direction and management of functions across government. The following roles are defined for managing functional standards:

Standard owner

The functional standard owner is accountable to the Chief Operating Officer of the Civil Service for establishing and controlling the functional standard within their area of responsibility.

Standard manager

The functional standard manager is accountable to the standard owner for developing, managing and maintaining their assigned standard.

Design authority for functional standards

The design authority maintains the alignment, completeness and integrity of the suite of government standards and champions their use across government. It consults standard owners before issuing: substantive new policy advice relating to standards; major new versions of GovS 001, Government functions; and new requirements or guidance relating to functional standards.

The Cabinet Office standards policy team leads a peer group of standard managers to fulfil the role of design authority, and provides advice and guidance to standard managers including:

• management processes for reviewing standards, including quality and version control
• associated cross-cutting ‘how to’ guidance linked to GovS 001, Government functions (such as this handbook)
• cross-functional induction and learning & development materials
• advice on practical arrangements such as brand management and publication

3. Developing a new functional standard

3.1 Proposing a functional standard

A prospective functional standard owner shall consult the standards policy team to discuss the business need for a potential new standard, including what purpose and scope any new standard would cover.

The standards team provides guidance to the prospective standard owner on what to consider, and whether a functional standard is the right approach. HM Treasury Officer of Accounts shall be consulted about any new mandatory requirements that are being considered.

Once there is agreement that a new standard is needed, the design authority assigns a title and number to the new standard, provides an approved Functional standard drafting template available from [email protected], and sets its status see conventions for naming, numbering, versioning, status.

The standard owner appoints a standard manager. Note: most functions already have functional standards, but new functions and functional standards might be needed.

3.2 Drafting and reviewing

The content of the standard should support the principles set out in GovS 001, Government functions clause 6.1. The standard needs to set the expectation of the outcome required, not the means of achieving it, and provide the reader with essential references to do the work.

It is essential your standard complies with current legislation, policies and regulations. The standards policy team advises on content, consistency and alignment with other functional standards and provides a drafting template, available from [email protected], which should be used from the outset and throughout. Do not use a shared document with multiple contributors as you will quickly lose version control and audit trail.

You should set up a review panel (assigned by and including the standard owner), comprising experts who can advise you on the subject matter of the standard. In addition, seek comment from a wider group of affected stakeholders to get direct user feedback. Review and re-draft the content of the standard iteratively, working in close collaboration with the standards policy team and subject matter experts.

Tight version control between each draft is essential. See conventions for naming, numbering, versioning, status for naming conventions.

To manage feedback, use a functional standard review sheet template available from [email protected] for each draft. This helps you to gather feedback, agree what changes are needed between each draft before you make them, and keep an audit trail of the changes made. Take advice from the standards team about changes you propose to make between drafts.

As many drafts of a standard may be created and reviewed as is necessary. Keep the standard owner in close touch with how the drafting is going. Make sure you consult other standard managers where you are cross-referencing their standard.

Note: Use the advice in the rest of this handbook as you develop the drafting (particularly sections 4 and 5, and Conventions for standard naming, numbering, versioning, status. Quality criteria for reviewing a standard and Checklist: undertaking a major or periodic review.

3.3 Approval for trial

You should review the standard with stakeholders until you and the design authority are satisfied the document is ready to be submitted for formal approval to the standard owner.

The draft submitted to the standard owner should have the status ‘for approval’, and should be copied to [email protected].

The standard owner may ask for modifications and for the standard to be resubmitted by the standard manager and design authority as many times as is necessary. Once all parties are content for the standard to be published for trial, the standard’s status is updated to ‘approved for internal government trial’ by the design authority.

You should follow the guidance at section 5 of this handbook and Checklist: publishing a standard on GOV.UK to publish your draft standard on GOV.UK with status ‘for internal government trial’. Trialling the standard means you can get a much broader range of stakeholder feedback from users before it is mandated for use.

3.4 Full approval and mandate for the standard

You should have your standard under trial for at least 6 months. During that time, make sure you actively seek feedback from users. Capture the feedback on a new functional standard review sheet template, available from [email protected].

Work with the standards policy team to decide how to address the comments you receive, and ensure you keep your stakeholders up to date about the changes you propose to make.

Once you are content, a draft should be submitted to the standard owner for approval (status: ‘for approval’) copied to [email protected] that:

• reflects (or deals with) stakeholder views
• addresses any other issues that have arisen during the trial phase
• is consistent with the rest of the suite of standards

Once satisfied, the standard owner should submit the new standard to the Civil Service Operations Board for their information, highlighting to the board any new mandatory requirements being set (the ‘shalls’), and confirming that HM Treasury Officer of accounts is content with these.

The approved standard should be published with updated status (Version 2.0, approved). Thereafter, follow the guidance in section 4 onwards for managing and maintaining your standard.

4. Managing and maintaining a functional standard

4.1 Overview

One your assigned standard is approved, your primary role is to maintain, manage and communicate it. This includes: - advising users in departments and arm’s length bodies about how to implement your standard (see 4.2) - gathering and managing feedback and improvement requests (see 4.3) - undertaking reviews and making necessary changes and improvements (see 4.4)

You should make sure your standard remains consistent with the wider suite (see 5), and that your communications, induction and training materials align to the overall messages about use of standards (see 6).

You should support the standard owner to keep the standard’s governance and management framework up to date and mutually consistent (see 7), and help your function understand how well your standard is being met (see 8). See also the guide to governance and management frameworks.

4.2 Advising users

Overview

As standard manager, you are responsible for making sure users are aware of the standard and can use it. This includes engagement and communication, induction and training, and ensuring the standard is used for professional development. Practitioners across your function need to understand the expectations set by the standards, and to be supported to share good practice.

Engagement and Communication

You are responsible for promoting your standard, ensuring those who need to understand it are briefed and competent to use it, and that the context of the wider suite of functional standards is well explained.

The benefits of functional standards are set out in the guide to functional standards. Additional communication messages that you should use are set out in section 6.

You should communicate your standard widely within your function.

You should connect with functional comms leads to ensure tailored messages and case studies about using functional standards are included in the wider engagement work and communications of your function. Make sure use of your standard is central to any communication about ways of working.

You should engage with users to understand how the standard is being used in practice, and provide a clear route for users to suggest changes and improvements.

Make sure you include a contact email address on your standard’s landing page on GOV.UK.

Induction, training and professional development

Induction, training and professional development in your function should align to the standard, and be mutually consistent.

Work with heads of profession and functional capability managers to ensure your function’s capability plans and professional requirements meet functional standards. Help them to adjust ways of working, induction and learning and development to help people working in your function meet the standards in practice.

Accountabilities for managing a function are defined in GovS 001, Government functions. You should work with your standard owner to ensure defined roles are assigned, and reflected in personal objectives. Note: the use of functional standards is now embedded into senior civil service performance management guidance.

4.3 Gathering and managing feedback and improvement requests

Overview

You are responsible for gathering lessons learned, and acting on user feedback received to inform and improve future versions of an approved standard.

Lessons learned and gathering feedback

You should ensure adequate feedback loops for users and practitioners are in place to feed into how you review and promote your standard. If you are finding there is low user engagement with your standard, do more proactive communication and outreach activities to gather feedback.

Record keeping and knowledge management

You are responsible for ensuring that previous versions of your standard and associated drafts and review sheets are stored appropriately, and are available for future audit and as the basis for answering questions. You should also ensure that supporting guides, manuals, training or coaching required to manage your standard are kept up to date and are mutually consistent with GovS 001, Government functions and this handbook.

Make sure you have excellent handover procedures in place for anyone taking on the standard manager role.

Use of the standard review sheet (avalable from [email protected] is essential for managing changes to your standard, and as an audit trail for decisions taken on amending content. Avoid taking multiple stakeholder comments through track changes in a shared document, as you will quickly lose version control – this is one of the most common mistakes made during the review process.

Talk to the standards policy team about best practice if you are unsure.

4.4 Undertaking reviews and making necessary changes and improvements

Overview

As you gather and manage feedback, you will collect issues that need to be addressed, and suggestions for improvement. You should discuss with your standard owner how significant the issues are, and whether you think a minor or major change to your standard is needed in response. At least every two years, you should undertake a periodic review.

Contact the standards policy team in the first instance to discuss any proposed review. For major and periodic reviews you should book time with the standards policy team well in advance, so that reviews of different functional standards can be properly timetabled.

In order to publish a new version of your standard, you will need to formally withdraw the previous version. You should include a short explanation of the main changes made from the previous version at the beginning of the new version.

Note: see conventions for standard naming, numbering, versioning, status for advice on version control, Quality criteria for reviewing a standard for for criteria for review a standard and Checklist: undertaking a major or periodic review for step-by-step advice about a periodic or major review.

Minor review

You may determine that a minor revision of your standard is needed. This means the change proposed only applies to a few discrete parts of the standard, and that the purpose, scope and most of the other content is to remain unchanged.

In these circumstances you can do a formal review of only the parts proposed for amendment – not the full document – and can restrict stakeholder consultation to those people directly impacted. The standards policy team will help you determine whether a minor or major version is required.

Major and periodic reviews

GovS 001, Government functions requires a periodic review of each functional standard at least every two years.

You may decide that a major revision is needed before a periodic review of the standard is due. This means significant change to multiple clauses, and might affect the purpose and scope. You will need to follow the same advice whether undertaking a major or periodic review.

A periodic review might decide that no changes are needed, in which case the design authority confirms that an existing version remains in place until another review is needed.

If a periodic review has not been undertaken within the specified timescale, the design authority will ask the standard owner to decide whether the standard is still needed.

Withdrawing a functional standard

GovS 001, Government functions sets out the approach for withdrawing a standard, either to update to a new version following a review, or to withdraw a standard completely should it no longer serve a purpose.

You should consult the standard owner and design authority before any decisions are made about full withdrawal.

Once an instruction to withdraw a standard has been given by the standard owner, you are responsible for removing the standard from GOV.UK and communicating withdrawal of the standard to interested parties as well as what, if anything, is to be used in place of the withdrawn standard.

Once a standard is withdrawn, the design authority will update the standard’s status from ‘Approved’ to ‘Withdrawn’ and it will be retained only in the design authority archive.

5. Consistency: language, layout, publication

5.1 Overview

As standard manager, you have responsibility for ensuring that your standard is consistent and coherent with the rest of the suite. This includes language, layout, and publication.

Each functional standard is set out in a similar way. As users become familiar with the standards, this consistency helps with interpretation and navigation. As a standard manager, you should read and be familiar with other functional standards that you reference from your own.

Consistent content is helpful because it: - avoids conflicts and unnecessary repetition, and keeps each standard succinct - means requirements are set ‘once and well’, and then cross referenced from the rest (e.g. expectations on contracting in GovS 008, Commercial are cross-referenced where needed from other functional standards) - avoids ambiguity - using the same phrases and symbols to describe the same things across the suite - nudges everyone to use the same language for the same things, across organisational boundaries

5.2 Language

Each functional standard starts with a boilerplate section which defines the particular words used to denote what is mandatory (‘shall’) and what is advisory. The verbs used are the same as those used in both British (BSI) and international (ISO) standards, where: - ‘shall’ denotes a requirement, a mandatory element which applies in all circumstances at all times - ‘should’ denotes a recommendation, an advisory element to be met on a ‘comply or explain’ basis - ‘may’ denotes approval - ‘might’ denotes a possibility - ‘can’ denotes both capability and possibility - is/are is used for a description

Standards should be written with reference to the writing style guide for government standards set out in GovS 001, Government functions Annex F, using plain English and precise writing.

A common standards glossary is maintained and published by the design authority. The common glossary comprises defined terms and phrases used in the suite of government standards, which should be used consistently.

If you are using a term already defined, use the definitions from the common glossary. Do not make up or add any new definitions to your standard without agreement from the standards team. Use plain English where you can.

5.3 Layout

The layout and content of each functional standard follows a similar pattern, which helps build familiarity and makes it easy for people to find what they need. This layout is built into the functional standard drafting template, template available from [email protected].

A functional standard includes the following sections:

Typical layout of a functional standard

Use the introductory sections of your standard to set the parameters.

Introductory section	Description
About this standard	sets the purpose and scope of the standard, and references to the other government standards directly needed to meet it.
Principles	set the mindset needed to follow the standard – use the principles to define the shared assumptions, values and group norms your function wants to encourage.
Context	provides essential background information users need to understand the main body of the standard.

Use the main body of your standard to set clear expectations for the work required (the ‘shalls’ and ‘shoulds’)…

Main body section	Description
Governance	sets requirements for governance and management, which should normally include strategy/planning, assurance, decision making, and the roles and accountabilities required (who is accountable to whom, and for what). [Note that standards define roles, not job titles, to give flexibility to organisations about who covers the role].
Life cycle/ process	sets expectations for the work, usually described in terms of a life cycle or process.
Practices	set expectations for practices which apply across the rest of the main body of the standard.

Use annexes to provide additional information for your readers…

Annex section	Description
Annex A References	provide directly referenced documents that readers need to meet aspects of your standard.
Annex B Glossary	defines terms used in your standard.
Further Annexes (C onwards as needed)	provide additional explanation about aspects of your standard if you think readers need more information – note that annexes do not set expectations (which should go in the main body), so write an annex using ‘is and are’ statements rather than ‘shalls’ and ‘shoulds’.

The main body of some functional standards differs slightly from the pattern shown above because of the particular content covered.

5.4 Publishing a standard on GOV.UK

Approved standards are presented consistently and published on GOV.UK to meet Government digital service guidance.

See the guide to governance and management frameworks for advice on how to position your standard and your other cross-government functional documentation on GOV.UK.

See checklist: publishing a standard on GOV.UK for practical advice on publishing a standard on GOV.UK.

Any questions about third party endorsement or branding for your standard should be referred to the standards team: [email protected].

6. Shared communication messages

Your standard should be positioned as your function’s primary reference for ways of working.

Senior leaders in organisations need to use and champion your standard as a tool for continuous improvement. Make sure they are well placed to do this through appropriate functional communication. Augment detailed communication on your standard with consistent overall messaging (see below).

Please use the following messages consistently:

for everyone:

one set of expectations for everyone to work towards stable standards support coherence, consistency and continuous improvement

for senior leaders:

use the standards to ask the right questions…they help you to achieve your organisation’s objectives more effectively and efficiently

for functional leaders:

use the standards to put the right governance and practices in place…they help you to assure and improve how functional work is done

for practitioners:

refer to the standards to make sure you know what needs to be done…they support continuity, joined up working, and your professional development

Benefits - help people work effectively and efficiently together by… - setting a coherent, tried and tested way of doing business, bringing together and clarifying what needs to be done and why - making it possible for functions to systematically organise and manage all the other guidance people are expected to follow - providing a consistent basis to assure functional work, consider deliverability of policies and plans, and target continuous improvement and professional development

Reassurances - carrot not stick - built in flexibility for each organisation to decide how to meet the standard in practice, with the functions providing further guidance as necessary - no surprises: bringing together/clarifying what should already be happening - no new ‘industry’ to be created: underpinning and augmenting existing arrangements for assurance and performance improvement - support from the centre: continuous improvement assessment frameworks to help organisations understand how well they are meeting the standards

7. Governance and management framework

7.1 Overview

As standard manager, you are best placed to advise your standard owner about how to align your function’s cross-government governance and management framework to your standard.

You should work within your function to ensure the ways of working, requirements and guidance that enable people to meet your standard in practice are aligned with the expectations set out in your standard.

For large functions, your standard owner may want to appoint an individual or team to oversee the content of the governance and management framework, and in particular to make sure requirements and guidance are managed coherently to meet the standard. Follow the advice in the Guide for governance and management frameworks.

7.2 Arm’s length bodies

Departments are the sponsors for their arm’s length bodies and are responsible for ensuring arm’s length bodies operate to the required standards.

In practical terms, departmental function leaders have accountability for ensuring arm’s length bodies adopt their function’s standard, and arm’s length bodies function leaders have accountability to their Accounting Officer for doing so (see section 4 of GovS 001, Government functions for detail on the roles).

The application of functional standards should be proportionate to the size and complexity of the work being done. A small, non-complex organisation that does not do much of the functional work in scope might decide, by using the relevant assessment framework, that ‘good’ is ‘good enough’ for them - they can decide what works for them, based on their own business needs and in agreement with their parent department.

You should work with functional leaders in organisations to embed the right ways of working.

7.3 Devolved administrations

You should work with the devolved administrations to share learning around the use and impact of your functional standard. Where appropriate, you should encourage devolved administrations to adopt your standard, in full or in part.

Where agreement is reached on devolved administration take up, you can tailor the scope of your standard and its governance and management framework, to formalise the agreed arrangement.

8. Understanding how well a standard is being met

A standard manager is responsible for making sure performance indicators are in place to measure how well an organisation is undertaking the practices defined in their assigned functional standard. This might include: - outputs from assurance at all levels - results of surveys in organisations or within the function - self-assessment by organisations

The [Guide to continuous improvement against functional standards(https://www.gov.uk/government/publications/guide-to-continuous-improvement-against-functional-standards/guide-to-continuous-improvement-against-functional-standards) sets out general advice and guidance on using functional standards to support continuous improvement within and across organisations, including the development and use of continuous improvement assessment frameworks.

The continuous improvement assessment framework is a companion product to your functional standard, presented consistently so that those in organisations who deal with multiple functions are able to engage with a familiar product and approach across all their functions.

You should work with the standards policy team and other standard managers to keep assessment against your standard aligned and coherent with the rest of the suite.

See checklist: developing a continuous improvement assessment framework for how to develop a consistent continuous improvement assessment framework.

Note: GovS 002, Project delivery assessment framework is an example of a published assessment framework that aligns to the standard.

9. Links to wider planning and reporting

9.1 Overview

As standard manager, you should work with functional colleagues in departments and arm’s length bodies to ensure the use of functional standards is embedded and reflected in:

• function plans and quarterly performance reporting
• organisation business plans (including outcome delivery plans)

Over time, as organisations have more information about their maturity against functional standards (good/better/best), aspects of planning could be re-cast and simplified to reflect this new benchmarked management information (see 8).

9.2 Functional planning and reporting

Function plans should incorporate activity in the function that supports organisations to: embed standards; understand how well the standard is being met; and set ambition for continuous improvement activity.

Insights from continuous improvement assessment frameworks, where available, may be used to inform function plans and performance reporting.

9.3 Planning and reporting in organisations

Use of the standards should be embedded into each organisation’s business plans for 2022-23 onwards. Statements about use of functional standards should be included in annual reports and, where relevant, Accounting Officer system statements.

Business plans should take account of the organisation’s ambition for meeting relevant functional standards, as well as the scale and complexity of functional work carried out within the organisation.

Insights from continuous improvement assessment frameworks should be used to inform business planning in organisations.

10. Annex A. References

All references are correct at the time of publication, users should check for updated versions.

Description
Cabinet Office, Functional standards and associated guidance (2020), collection*
HM Treasury, Managing Public Money (2023)
HM Treasury, DAO 05/21 Mandating Functional Standards from end September 2021 (2021)
Cabinet Office, Functional standard drafting template, available on demand from [email protected]
Cabinet Office, Functional standard review sheet template, available on demand from [email protected]

*Note: contact [email protected] for design authority documents if unavailable online, such as templates.

11. Annex B. Glossary

See also the common glossary of definitions which comprises defined terms and phrases used across the suite of government functional standards. The common glossary includes the term, definition, and which function owns the term and definition.

Term	Definition
assurance	A general term for the confidence that can be derived from objective information over the successful conduct of activities, the efficient and effective design and operation of internal control, compliance with internal and external requirements, and the production of insightful and credible information to support decision making. Confidence diminishes when there are uncertainties around the integrity of information or of underlying processes.
defined (way of working)	In the context of standards, defined denotes a documented way of working which people are expected to use. This can apply to any aspect of a governance or management framework- for example processes, codes of practice, methods, templates, tools and guides.
established (way of working)	In the context of standards, established denotes a way of working that is implemented and used throughout the organisation. This can apply to any aspect of a governance or management framework- for example processes, codes of practice, methods, templates, tools and guides.
governance	Governance defines relationships and the distribution of rights and responsibilities among those who work with and in the organisation. It determines the rules and procedures through which the organisation’s objectives are set, and provides the means of attaining those objectives and monitoring performance. Importantly, it defines where accountability lies throughout the organisation.
governance and management framework	A governance and management framework sets out the authority limits, decision making roles and rules, degrees of autonomy, assurance needs, reporting structure, accountabilities and roles, together with the appropriate management practices and associated documentation needed to meet this standard.
organisation	In the context of government functional standards, organisation is the generic term used to describe a government department, arm’s length body, or any other entity which is identified as being within the scope of the functional standard.
plan	A plan sets out how objectives, outcomes and outputs are to be delivered within defined constraints, in accordance with the strategy.
strategy	A strategy outlines longer term objectives, outcomes and outputs, and the means to achieve them, to inform future decisions and planning.