DLA Piper s Audit - A Model For Success

Transcription

1 CIVIL SERVICE COMMISSION COMPLIANCE MONITORING REPORT 2010/11: FOLLOW-UP DISCUSSION Issue 1. The Board discussed DLA Piper s Report on this year s audit round at the last meeting and agreed the approach to differential follow-up with departments based upon their risk rating and the seriousness of any issues raised. These actions are now underway. 2. The Report and DLA s feedback also raised issues relating to our approach to audit. Some of these (e.g. timeliness and effectiveness of feedback) may in part be addressed by variations to the approach to next year s round and these will be discussed shortly with DLA Piper. Others are more fundamental to our regulatory model and approach to audit (e.g. the balance between retrospective selfassessment returns and audit visits; and spot check real-time visits) and will need to be considered as part of the strategic planning process (see CB12(03)) and the tender process for a combined audit to be completed by the end of However the report also raised some more generic issues related to departmental practice against the Recruitment Principles where further Board discussion now would be helpful in deciding whether a Commission policy position is required and, if so, how this should be developed and communicated (e.g. guidance to Departments and/or comment in Annual Report). This paper is intended to facilitate that discussion. Recommendation 4. That the Board consider each of the generic issues below and agree any next steps. Background and Context 5. This year was the second year of compliance monitoring under the Recruitment Principles and covered recruitment (and use of exceptions) in the period This period covered the formation of the coalition government and overall tough economic conditions. In recruitment terms this led to the imposition of a recruitment freeze for all but key operational roles (and in exceptional circumstances); reduced departmental resources for the HR function; and an overall loosening of the labour market. In turn this led to a significant reduction in external recruitment activity below the SCS; an associated increase in the use of short term exceptions as a proportion of overall external recruitment; large volumes of applicants for those junior external recruitment exercises that did take Page 1 of 6

2 place; and a continued move toward e-recruitment systems and shared services for the HR function in departments. 6. This is the context of the generic issues regarding departmental practice highlighted in DLA Piper s Audit Report. In considering these issues the Board will want to do so in the context of its principles-based regulatory model. In this model, the Recruitment Principles clarify the respective responsibilities of the Commission as guardians of the principles of appointment on merit through fair and open competition, and of departments for ensuring that their detailed policies and practices are consistent with the principles. It is not the Commission s role, outside of this, to prescribe specific recruitment policies and practices. This is the test that the Board will wish to apply in considering each issue below and whether a policy position is required and, if so, how this should be developed and communicated (e.g. guidance to Departments and/or public comment in the Annual Report). Issues Exceptions 7. The specific issues on the management of exceptions found during the audit visits are being addressed through the tailored follow-up; and the general issue about data retention and quality will be dealt with through the revisions to the Recruitment Principles. However the particular focus on exceptions in this year s audit round arose in part from media comment about the use of exceptions following the change of government in May While DLA Piper did not find any evidence of systematic misuse of exceptions for the purpose of meeting short term needs to help smooth the transition to a new government, there remains the potential for reputational damage to the principle of merit etc from this practice in terms of: the overall number and types of appointment; insufficient justification for the short term business needs; and terms of appointment that go beyond a justifiable short term need. While changes of government have been relatively rare in recent electoral history, there is anecdotal evidence of similar concerns following the 1997 election. Following the audit and as we approach the midpoint in the electoral cycle, now may therefore be an appropriate time for the Commission to develop and publicise a clear position on the appropriate use of exceptions in such circumstances. 9. The Board may want to ask the Recruitment Regulation Standing Committee to draw-up, for approval, a short statement/guidance setting out the Commission s position which could be communicated to departments and made reference to in this year s Annual Report. This could be re-circulated immediately after any change of government. Such a statement/guidance would draw upon some of the key points made by the Board during its discussions on this issue e.g.: recognition that there may be circumstances where use of exception 1 is appropriate to address short term needs to help smooth the transition to a new government; Page 2 of 6

3 the number of such cases will however be small, no more than a handful in each department; such appointments must be made to what are clearly civil service roles (e.g. not include activities that would be more appropriate for a Special Adviser post) and confirmation that the individual could credibly meet the requirements of the civil service code (i.e. political impartiality). the terms for such appointments should be directly related to the short-term need and not usually more than 12 months; and a full business case setting out the justification must be prepared and approved by the Permanent Secretary before an appointment is made. On-line only advertising 10. With the introduction of the Recruitment Principles in April 2009, the Commissioners took the opportunity to emphasise that the principles of openness did not mean that all vacancies must be advertised in printed media (e.g. newspapers). It was made clear in FAQs issued at the time that the requirement was for departments to adopt an advertising strategy to attract a strong and diverse field of potential applicants; it was for them to decide how this should be applied in practice and that this could mean advertising on relevant internet sites only. 11. This approach was supported by analysis conducted by the Cabinet Office showing that the internet was by then the predominant media used by job seekers. The secretariat when consulted by departments has advised that advertising on the Civil Service jobs website and with Jobcentre Plus would be the minimum required for junior level vacancies. We would however press the department to always consider additional means of attracting strong and diverse fields (i.e. use of websites targeted at BME audiences). Given the economic and labour market context and that the usage of jobs websites is likely to have increased significantly since 2009, there would not appear to be grounds for the Commission to revise its policy position on this issue. However, the imminent revision of the Recruitment Principles will offer the opportunity to reissue FAQs and draw departments attention to the interpretation of the openness requirement. On-line only applications 12. On-line only application processes could potentially raise issues around the principle of fairness (outside of the separate legal requirement to make reasonable adjustments for disabled people) if was considered that potential applicants might not have any reasonable access to (or ability to use) the internet and thereby be able to make a valid application. This is not an issue on which the Commission has previously had a policy position. However the guidance issued by Jobcentre Plus (Annex A) provides advice on how and where to get access to the internet and implies a presumption that the ability to apply on-line is a basic requirement for those seeking employment. On this basis, and given the general increase in access to the internet and the basic requirement for IT and internet literacy for most civil service jobs, it would appear difficult to argue that on-line only application processes may breach the principle of fairness. Page 3 of 6

4 Anonymised sifting 13. DLA Piper report increasing use of anonymised sifting of applications for some vacancies. Such an approach, properly implemented, supports and promotes the principle of fairness and provides a significant check against bias during a sifting exercise. This provides particular assurance in those recruitment exercises that generate a substantial number of applicants who meet the minimum criteria and require fine sifting judgements that may be particularly susceptible to unconscious bias. As departments move out of a recruitment freeze, and given the labour market conditions, this may occur more often in the future. 14. There are, however, vacancies, particularly at more senior levels with much smaller fields, where candidates specific prior experience, often through a CV, has a strong bearing on their ability to do the job and anonymity is impractical and indeed potentially a bar to effective merit based sifting. This would therefore argue against a one size fits all policy position from the Commission on this issue. However, given the scope to support fairness and guard against bias, the Board may wish to ask the Standing Committee to consider this further with a view to a supportive statement in this year s Annual Report. E-Recruitment systems 15. DLA Piper have again noted the move by a number of departments to e- recruitment systems, often allied with a move to shared service solutions for HR back office functions. This is a trend that is likely to continue. In principle the introduction of rule bound e-systems offer the potential for greater assurance that key steps that help ensure compliance with the Recruitment Principles are followed by recruiting managers for all external recruitment. However, DLA Piper has observed an increasing risk that the introduction of such systems can lead to a one size fits all and tick-box approach to completing the necessary steps and can work counter to ensuring that the Principles, and in particular why they are important to support an effective Civil Service, are culturally embedded and well understood. In an era where fewer resources will be available for training in recruitment and selection other than in the mechanics of operating the e- system this may represent an increasing area of risk. The Board may wish therefore to consider specifically raising this as an issue of concern for the future, perhaps in the 1st CSC s introduction to the Annual Report. Secretariat January 2012 Page 4 of 6

5 ANNEX A Applying for a job online Many companies advertise jobs on the internet through their own websites, recruitment websites or online job boards owned by newspapers. New jobs are being filled as quickly as they appear so it s important you look regularly to make sure you don t miss an opportunity. Jobs online Most recruitment companies advertise job vacancies online. There are currently around 1000 online job boards in the UK. To make sure you keep up with the latest vacancies, you will need to: Finding internet access find ways of having access to the internet have your own address know how to find vacancies and fill in applications online If you have access to the internet at home, then it s easy. If not, here are a few suggestions: Getting an address you can use UK online centres which are based in your community - find your nearest centre by following the link below or call UK online centres on your local library may have computers that are connected to the internet you may have friends or relatives who are happy to let you use their home computer to go online check with your nearest Jobcentre Plus office to see what s available in your local area UK online centres Opens new window The cost of contacting 08 and 03 telephone numbers Find your local Jobcentre Plus office Opens new window Employers will often tell you whether or not you have been successful applying for a job by . In some cases, this is now the only way that some employers fill their vacancies. For example: most recruitment companies advertise job vacancies online Page 5 of 6

6 there are currently around 1000 online job boards in the UK To set up a personal address, try the search engines (for example Google or Yahoo) as many offer a free account. Or, put free address into a search engine and look through the results. Follow the instructions to set up a free address. Using the internet to find job boards Once you ve found your internet access, your next step is to find the types of jobs you re looking for. Jobs are usually advertised on job boards which are like electronic newspapers. Generally, there are three types of job boards: niche job boards dedicated to particular professions or industries general job boards advertising all types of vacancies local job boards advertising all types of jobs in the area they cover You can search for the right job boards by using a search engine (for example Google or Yahoo). Try putting in job boards or jobs in retail and so on, until you find the job boards that are most suitable for you. If you are using your own computer, you can save the job boards as favourites. Applying online There are two main ways to apply for jobs online. Filling in an application form online Fill in the details in the same way as you would with a normal application form. Before you send the form to the employer, check that you have given all the information asked for and that the information is correct. ing your CV Some employers will ask you to send your CV by . You will need to have saved your CV so you can attach it to the . You may also want to include a covering letter. You can find information on how to write a covering letter by using the following link. Covering letters and job application forms Page 6 of 6