1. BUSINESS APPOINTMENT APPLICATION: Lieutenant General Sir Nick Borton KCB DSO MBE, former Commander of the Allied Rapid Reaction Corps (ARRC), Ministry of Defence. Paid appointment with RAND Europe (UK) CIC.

Lieutenant General Sir Nick Borton KCB DSO MBE (Lt Gen Sir Nick) approached the Advisory Committee on Business Appointments (the Committee) under the government’s Business Appointment Rules for Former Crown Servants (the Rules) seeking advice on taking up an appointment with RAND Europe (UK) CIC (RAND Europe) as Senior Research Fellow.  

The purpose of the Rules is to protect the integrity of the government. The Committee has considered the risks associated with the actions and decisions made during Lt Gen Sir Nick’s time in office, alongside the information and influence he may offer RAND Europe. The material information taken into consideration by the Committee is set out in the annex below.

The Committee’s advice is not an endorsement of the appointment – it imposes a number of conditions to mitigate the potential risks to the government associated with the appointment under the Rules.

The Rules^{[footnote 1]} set out that Crown servants must abide by the Committee’s advice. It is an applicant’s personal responsibility to manage the propriety of any appointment. Former Crown servants are expected to uphold the highest standards of propriety and act in accordance with the 7 Principles of Public Life.

2. The Committee’s consideration of the risks presented

RAND Europe is a not-for-profit, non-partisan policy research organisation. It has a relationship with the Defence Academy^{[footnote 2]} as an academic strategic partner with King’s College London (KCL) to deliver military education, and RAND Europe collaborates with KCL to deliver this contract to the UK Ministry of Defence (MOD).^{[footnote 3]} Lt Gen Sir Nick’s role was operational and he was not involved in any policy, commercial or regulatory decisions specific to RAND Europe whilst in Crown service, nor did he meet with the company. Therefore, the Committee^{[footnote 4]} determined that the risk of reward for actions taken in office was low. 

As RAND Europe operates within the defence sector, there is a risk that Lt Gen Sir Nick may have had, or be seen as having had, access to general information on defence matters. There are a number of limiting factors in relation to his access to sensitive information:

• Lt Gen Sir Nick’s access to information was limited to the operation and training of ARRC troops – ensuring readiness and the discharge of  operational tasks, he was not responsible for leading the development of overall UK or NATO military strategy or plans.
• His operational focus was on the response to the war in Ukraine and focused on deterrence, which is a fast-moving conflict area.
• Lt Gen Sir Nick said that much of the information arising from the operational boards he sat on within ARRC can now be found in Janes^{[footnote 5]} – a platform for global open-source defence intelligence.
• The MOD is not aware of any access to information that could unfairly advantage the company. 
• There will have been an eight-month gap between Lt Gen Sir Nick’s operational role and access to information and when he intends to take up this role. 
• This role will not include working on UK defence, as confirmed by the employer.

There is a risk associated with the influence within government that Lt Gen Sir Nick will have as a result of his seniority, and the unfair advantage that this may provide any company. He confirmed he will have no involvement with the UK government or the MOD in his role.

3. The Committee’s advice 

The Committee considered Lt Gen Sir Nick’s role as ARRC and his access to information presented limited risk given its operational focus on Ukraine and that he left his role over eight months ago.  

However, the Committee considered that Lt Gen Sir Nick’s role within the MOD presents real and perceived risks associated with his access to information within the UK government, particularly in relation to defence matters.  Whilst the Committee recognised that Lt Gen Sir Nick’s role with RAND Europe is internal and not specific to defence, it has imposed a condition which prevents him from advising on the UK defence sector to mitigate this risk. 

It is significant that RAND has confirmed that it will abide by the Committee’s advice, including that the role will not include the UK Defence sector.

The conditions below make it clear Lt Gen Sir Nick must not make use of his access to privileged information, contacts or influence gained from his time in Crown service to provide RAND Europe unfair advantage, including in relation to bids and contracts with the UK MOD or NATO-allied militaries.

The Committee advises, under the Government’s Business Appointment Rules, that Lt Gen Sir Nick’s role with RAND Europe (UK) CIC should be subject to the following conditions:

• he should not draw on (disclose or use for the benefit of himself or the persons or organisations to which this advice refers) any privileged information available to him from his time in Crown service;

• for two years from his last day in Crown service, he should not become personally involved in lobbying the UK government, MOD or NATO-allied militaries or their arm’s length bodies on behalf of RAND Europe (UK) CIC (including parent companies, subsidiaries, partners and clients); nor should he make use, directly or indirectly, of his contacts in the government and/or ministerial contacts to influence policy, secure business/funding or otherwise unfairly advantage RAND Europe (UK) CIC (including parent companies, subsidiaries, partners and clients);

• for two years from his last day in Crown service, he should not provide advice to RAND Europe (UK) CIC (including parent companies, subsidiaries or partners) on the terms of, or with regard to the subject matter of, a bid or contract with, or relating directly to the work of, the UK government, the MOD and its trading funds, NATO allied militaries or their arm’s length bodies; and

• for two years from his last day in Crown service, he should not advise RAND Europe (UK) CIC (including parent companies, subsidiaries or partners) or its clients on the UK defence sector. 

The advice and the conditions under the government’s Business Appointment Rules relate to Lt Gen Sir Nick’s previous role in government only; they are separate from rules administered by other bodies such as the Office of the Registrar of Consultant Lobbyists, the Parliamentary Commissioner for Standards and the Registrar of Lords’ Interests.^{[footnote 6]} It is an applicant’s personal responsibility to understand any other rules and regulations they may be subject to in parallel with this Committee’s advice.

By ‘privileged information’ we mean official information to which a Minister or Crown servant has had access as a consequence of his or her office or employment and which has not been made publicly available. Applicants are also reminded that they may be subject to other duties of confidentiality, whether under the Official Secrets Act, the Civil Service Code or otherwise.

The Business Appointment Rules explain that the restriction on lobbying means that the former Crown servant/minister ‘should not engage in communication with government (ministers, civil servants, including special advisers, and other relevant officials/public office holders) – wherever it takes place – with a view to influencing a government decision, policy or contract award/grant in relation to their own interests or the interests of the organisation by which they are employed, or to whom they are contracted or with which they hold office’.

Lt Gen Sir Nick must inform us when he takes up employment with RAND Europe CIC, or if it is announced that he will do so, by emailing the office at the above address. He must also inform us if he proposes to extend or otherwise change the nature of his role as, depending on the circumstances, it may be necessary for him to make a fresh application.

Once the appointment has been publicly announced or taken up, we will publish this letter on the Committee’s website, and where appropriate, refer to it in the relevant annual report.

Yours sincerely

Hamzah Rizvi 

Committee Secretariat

4. Annex – Material Information 

4.1 The role 

According to its website, RAND Europe CIC is a Community Interest Company, registered in the United Kingdom (No. 2728021) and based in Cambridge. It describes itself as a not-for-profit, non-partisan policy research organisation with a ‘long and proven commitment to high-quality research, underpinned by rigorous analysis’. It also states that the European arm of RAND shares its mission to help improve policy and decision making through objective research and analysis.

In his (paid) role as Senior Research Fellow, Lt Gen Sir Nick stated he will provide input to RAND Europe research projects, on a consultancy part-time basis. These are likely to be broad strategic projects, including on military subjects. He confirmed his role will not involve contact with or lobbying of the UK government. 

RAND Europe has confirmed that it will abide by the advice, and said that its senior leadership has been instructed to ensure the advice is adhered to when framing work to Lt Gen Sir Nick.

4.2 Dealings in office

Lt Gen Sir Nick advised the Committee that he did not have involvement in any policy, regulatory, or commercial decisions, nor did he meet with or have access to sensitive information specific to RAND Europe. He added that he has not been responsible for any staff working or contracting with RAND Europe.

In prior advice, Lt Gen Sir Nick stated that his role as Commander of the Allied Rapid Reaction Corps was operational.^{[footnote 7]} He stated that he did not have any access to sensitive information. He noted much of this is likely  to have entered the public domain through Janes – a defence news resource. 

4.3 Departmental assessment 

The MOD confirmed the details Lt Gen Sir Nick provided and confirmed: 

• RAND Europe has a contractual relationship with the department – specifically with the Defence Academy^{[footnote 8]} as an academic strategic partner with King’s College London (KCL) to deliver military education and RAND Europe collaborates with KCL to deliver this contract to MOD.^{[footnote 9]} 
• Lt Gen Sir Nick did not have any direct involvement in any of the MOD’s relationships with companies and organisations operating in the same area of capability delivery as RAND Europe. 
• Lt Gen Sir Nick was not involved in decisions, nor did he meet with RAND Europe during his time in post. 
• In prior advice, the MOD noted his operational focus was on the response to the war in Ukraine and focussed on deterrence, which is a fast moving conflict area.^{[footnote 10]}
• It did not have concerns regarding Lt Gen Sir Nick’s access to sensitive information specific to RAND Europe. 
• It noted that Lt Gen Sir Nick would have influence at the highest levels of UK MOD and NATO.

The MOD recommended the standard conditions.