Compliance with the Recruitment Principles

(Recruitment Code until 31 March 2009)

The Commissioners’ overall objective is to ensure that departments’ and agencies’ recruitment systems are designed and operated in accordance with the Civil Service Order in Council and the Commissioners’ Recruitment Principles(Code). Consultants employed by the Commissioners may examine any part of departments’ and agencies’ recruitment systems, if necessary down to the details of an individual competition, to ensure that they are compliant with the Order in Council and the Recruitment Principles (Code).

The approach to recruitment compliance monitoring emphasises the responsibility of departments and agencies for ensuring the Commissioners' requirements are met. The key stages are:

Stage 1: Self-Assessment

Departments and agencies complete an annual self-assessment of their compliance with the Principles (Code) including a description of the recruitment controls and checks they have in place. The self-assessment should also incorporate an action plan outlining remedial measures to be taken where weaknesses have been identified.

This assessment includes factual information on the number of appointments made. Departments and agencies may highlight examples of innovative approaches to recruitment which have been successfully employed. The self-assessment is supported by documentary evidence and underpinned by a compliance statement authorised by the department’s permanent secretary or agency chief executive.

Stage 2: Risk analysis

The self-assessment and supporting documentation are reviewed on a risk basis by the consultants who assess the evidence and award a high, medium or low marking to indicate the level of risk.  The main factor that the consultants will consider when determining whether or not an on-site compliance visit should be carried out will be any apparent weaknesses in current recruitment practices and internal controls.

An on-site visit may also be carried out to investigate the development of good practice with the aim of producing a guide for wider distribution; or where an on-site check has not been carried out for a number of years.

Stage 3: On-site visits

The consultants will begin an on-site visit with a discussion with the HR Director and/or nominated senior HR colleagues involved in the department or agency’s recruitment policies and practices.

The consultants examine documentation on recruitment, including individual campaigns and reports on internal monitoring exercises. The consultants will view records of any external appointments made outside the normal requirement of selection on merit on the basis of fair and open competition. At the end of the visit, the consultants highlight the key findings and state their assessment of the overall level of risk.

The duration of the visit will depend on the size of the department or agency, the amount of recruitment undertaken and issues arising during the visit. It does not normally last longer than a day.

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