Thematic Audit: A review of Management Systems and procedures in place for controlling the use of Excluding Orders, Acting-Up Appointments and

Transcription

1 Thematic Audit: A review of Management Systems and procedures in place for controlling the use of Excluding Orders, Acting-Up Appointments and Statistical Returns of Recruitment Activity within selected Civil Service Departments/Offices AUDIT REPORT July

2 Contents Introduction... 3 Excluding Orders... 4 Acting-Up Appointments... 7 Recruitment Activity Commission s Recommendations Appendix 1 List of Departments/Offices audited

3 Introduction One of the core functions of the Commission for Public Service Appointments is to safeguard standards of best practice in recruitment and selection processes to positions in the organisations within its remit. This role is primarily fulfilled through its audit function to ensure that the standards established in the Codes of Practice are upheld and that, where applicable, licence holders are adhering to the terms and conditions of recruitment licences. The Commission also investigates complaints where breaches in its Codes of Practice have been alleged. In addition to its audit and complaint investigation functions the Commission has a number of other responsibilities under the Public Service Management (Recruitment and Appointments) Act Section 8 of the Act empowers the Commission to exclude, by order, unestablished positions in the Civil Service from the operation of the Act. The Commission also has a role in the collection of statistical information for the purposes of reporting on the levels of recruitment activity on an annual basis. With these particular responsibilities in mind the Commission decided to review the current practices and procedures operated by a number of Departments and Offices in relation to their management of the following areas: Excluding Orders Acting-Up Appointments Statistical Returns on Recruitment Activity Among the Commission s objectives in carrying out this review was to ascertain the practices and procedures that are in use in a sample of Departments and Offices which would reflect general management practices and to make recommendations for improvement if necessary. In relation to meeting its own responsibilities the Commission is conscious of facilitating Departments/Offices in terms of providing advice and assistance and any issues raised during the audit in this regard have been considered by the Commission in reviewing its own procedures. Departments/Offices were selected for this review on the basis of (i) the numbers of excluding orders requested (ii) the numbers of acting up appointments reported to the Commission and (iii) Offices that have been subject to recent audit by the CPSA. The six organisations selected are set out at Appendix 1. The audit entailed discussions with those staff involved in each of the areas identified for review followed by an on-site examination of sample files. The audit focussed on appointments made within the specified areas over the past months depending on the levels of activity. The Commission would like to thank the personnel in the Human Resource Units in each of the six Departments/Offices who gave their time and cooperation to this audit process. 3

4 Excluding Orders Introduction/Background One of the key roles of the Commission relates to the approval and monitoring of Excluding Orders for temporary non-established positions as provided for under the Public Service Management (Recruitment and Appointments) Act In essence this means that Section 8 of the Act empowers the Commission to exclude positions from the scope of the Act where the proposed appointment is for a specific position within a defined time period. The exclusion process is intended to be used where, for valid business reasons, recruitment needs to take place outside the provisions of the Codes of Practice. A request by a Department/Office for an Excluding Order must be made in writing to the CPSA which should include the business case and a copy of the approval received from the Department of Finance. Requests for Excluding Orders are submitted to the Commissioners for their approval. Considerations for the Commission before giving approval are valid business reasons for excluding the position, including the reason for not following normal recruitment procedures if appropriate, and the duration of the proposed temporary appointment. It is important that the request be submitted in sufficient time to enable the Order to be made before the excluded period commences. Under no circumstances should an appointment be made or any contractual arrangements be entered into until an Order is made by the CPSA, as there is no facility under the Act for the retrospective issuing of an Excluding Order. Requests for Excluding Orders arise mainly to cater for specific short-term initiatives such as student placement programmes, Willing Able Mentoring (WAM) Project Placements and Traveller Community intern programmes. Orders are also granted from time to time to facilitate term-time arrangements, and to enable departments and offices to secure the services of staff for a specific period to provide specialised professional services. The Commission also grants orders to cover the employment of certain ministerial private office staff. It should be noted that the position itself is excluded from the Act and not the person appointed to the position. This means that, where the post is vacated it may be filled under the same Excluding Order. Where a post is filled in this manner, the contract of employment should not extend beyond the expiry date of the Excluding Order. Review The review by this Office focussed on the use and management of Excluding Orders within a sample of Departments/Offices. The areas examined included: Written procedures/guidelines in place Circumstances for requesting an Excluding Order 4

5 The internal process followed including the business case, approval, D/Finance sanction, contracts and salary scales, salary instructions and extensions to existing Orders Maintenance and monitoring of records Following discussions with those responsible in HR for managing the process internally a sample of files were examined to review the process that took place to secure an Excluding Order. Findings Having reviewed the use and management of Excluding Orders it was found that in general the process in place and procedures followed within the Departments/Offices are in line with the guidelines issued by the Department of Finance (Circular 37/2007 refers). In particular the following was found: While two Departments/Offices did have their own internal written procedures in place the D/Finance guidelines are more generally used as a reference when preparing a request for an Order. All Departments/Offices had a nominated officer to deal with requests for Excluding Orders who was familiar with the process. However it was found that there was no particular measure in place to trigger a request for an Excluding Order and requests were based on a general awareness by staff that an Order was required. Overall there were clear and valid business cases made to support the request for an Order. The contracts used, including the salary scale, were based on standard models and agreed with D/Finance in advance. The signed contracts were for a defined period in accordance with the duration of the Order. Instructions to salaries generally provided a start and end date, with the exception of orders made in support of ministerial appointments where appointments tend to be co-terminus. Most Departments/Offices did not have specific records to maintain details of those on Excluding Order, which were generally included as part of the overall staff on contract. There were occasions where no Order was in place at the time of the appointment or where a contract had been extended. There were delays in applications being received by the CPSA which in turn resulted in a delay in contracts being issued and signed. Conclusions Based on the findings of the audit in a sample of Departments/Offices the Commission is satisfied that, in the main, there are adequate procedures in place and a general understanding of the requirements for procuring an Excluding Order. Notwithstanding this however the Commission would like to make the following points: 5

6 It is important that both the number and the duration of Excluding Orders are kept to an absolute minimum. With this in mind Departments/Offices should note that sanction for Orders for periods in excess of three months will only be granted in limited circumstances, and only when supported by a convincing business case. There appears to be an over-reliance on the general awareness of staff when an Order is required and a dependence on current staff with regard to the process to be followed which does not take account of staff changes. Efforts should be made to address this situation which reflects a weakness in management systems in place. This may include a reference to an Excluding Order in the initial staff entry checklist and the use of the HRMS (Human Resource Management System) option to record this information. Departments/Offices must ensure that, in accordance with the guidelines, no appointment should be made or any contractual arrangements be entered into until an Order is made by the CPSA, as there is no facility under the Act for the retrospective issuing of an Excluding Order. All contracts provided to staff appointed under Excluding Order should be for a defined period, i.e., include a start and end date, except for ministerial appointments. Departments/Offices need to be aware that if a contract is being extended a new Excluding Order must also be in place in advance of the extended period of appointment. In response to feedback during the audit in relation to more information on Excluding Orders being available, this Office has now included the relevant D/Finance Circular on its website as a reference. This report will also be available on the website as a point of reference for future use. 6

7 Acting-Up Appointments Introduction/Background Appointments in an acting-up capacity are made in situations where it becomes necessary to assign a civil servant or public servant to duties of a higher grade on a temporary basis for a defined period to address a shortterm business need. During the acting-up period the officer in question receives remuneration in the form of an allowance in respect of the additional duties in the higher grade. Most of these appointments are subject to the Commission s Code of Practice in relation to Appointment to Positions in the Civil Service and Public Service. The Commission recognises however that it may be necessary from time to time for Departments/Offices to make appointments to specific positions where standard recruitment and selection approaches may not be appropriate to meet critical short-term needs. Such appointments may be made under the terms of the Code of Practice applying to Atypical Appointments to Positions in the Civil Service and Certain Public Bodies. Review This part of the audit focussed on the management of acting-up appointments within Departments/Offices in terms of the selection process used, the numbers involved and the duration of the appointments. In particular the review examined: Internal policy or guidelines for managing these appointments Selection process involved and criteria used Maintenance of records Monitoring arrangements in place Duration and reporting arrangements Following discussions with those responsible within HR for managing the process a sample of files were examined to review the selection and appointment process used in the Department/Office. Findings The Commission notes the main finding of the review is the significant reduction in the number of acting-up appointments within all the Departments/Offices audited due to the current moratorium and the associated pressure on core staff numbers. Notwithstanding this, acting-up assignments continue to be made and there are still a number of long-term acting-up appointments in place. The findings of the audit are as follows: While some Departments/Offices have no internal policy or guidelines for dealing with acting-up appointments, it was noted that others have developed comprehensive checklists to follow for each stage of the process. The process in most Departments/Offices involves a written request to HR from a local manager to fill a temporary position supported by a 7

8 relevant business case. This request is then considered by HR or by the Senior Management Team/Management Advisory Committee (MAC) in the context of current staffing numbers and appropriate sanction before approval is given. In a small number of cases there was inadequate documentation to support the approval process. The selection process varies across offices. It would appear that the larger Departments/Offices with a wide geographical spread of staff still favour the use of seniority/suitability as the basis for selection for acting-up and HR depends to a large extent on the guidance of the local manager to make recommendations. Also it appears that the practice in some smaller offices has moved to a more open and transparent competitive process to select the most suitable person for the job, where it is often the policy to fill acting-up positions from existing panels where possible. Regardless of the selection process used all Departments/Offices carry out eligibility checks before a person is assigned. These checks include PMDS ratings, sick leave and service where relevant. All Departments/Offices maintain records of acting-up assignments on a database and/or on HRMS. These records are monitored on a regular basis by HR and/or MAC to review the appointments in terms of current business needs. In general there was a letter of offer to the successful officer which referred to the temporary nature of the appointment on an allowance and details of the start and end date of the assignment were provided. As part of regular monitoring the duration and end date of all acting-up appointments are checked to ensure that appropriate instructions issue to salaries in a timely manner to avoid overpayment of the allowance. All Departments/Offices gave assurances during the audit that in no circumstances are temporary acting-up assignments made permanent, except in situations where a vacancy arises and the person who has been acting-up was taken from an existing panel following a competitive process. Conclusions While satisfied that, in general, appointments made in an acting-up capacity are managed quite effectively in the sample of Departments/Offices reviewed the Commission would like to bring the following to the attention of all Office Holders. The Commission acknowledges that Departments/Offices may need to make temporary acting-up appointments in response to critical business needs, however, there is an onus on Office Holders to ensure that these appointments are kept to a minimum and that they are managed effectively in line with the Codes of Practice. The Commission is concerned that some acting-up appointments have continued for long periods. However it is noted that many of these long-term assignments were in place prior to the current moratorium and the Commission would like to acknowledge the efforts of 8

9 Departments/Offices to manage and reduce the number of temporary acting-up positions. While it is noted that the duration of temporary assignments varies depending on the particular circumstances, it is important that consideration is given to this matter at the outset and efforts are made not to extend the assignment. This is particularly important in terms of managing staff expectations so that the duration of the temporary appointment is clearly stated in the staff information on the lead up to the appointment, letter of offer and form of undertaking. With regard to the selection process used to make temporary assignments the Commission notes that some Departments/Offices are still making appointments on the basis of seniority/suitability. It is important that Office Holders are aware that the use of seniority/suitability in any selection process is in breach of the Codes of Practice. Office Holders are reminded of the requirements of the Codes when making appointments and in particular the Atypical Code which can be used to make temporary assignments to meet critical short-term needs. Records should be maintained to support the assessment and selection process in respect of acting-up appointments. In this regard the Commission wishes to highlight that in accordance with the Code of Practice, where the duration of the appointment is greater than six months, the Commission must be notified of the particular reasons for this extended period of appointment. 9

10 Recruitment Activity Introduction/Background Since the establishment of the Commission in 2004 all Departments/Offices have been requested to provide statistical information on its recruitment and selection activity on a quarterly basis. This information is collated by this Office and reported to the Commission for its quarterly meeting to reflect the levels of recruitment activity across the organisations subject to its remit. The statistical data is included in the Commission s Annual Report and is also used to assist the Commission in carrying out its audit function. For the purposes of the statistical returns to the Commission, Departments are required to maintain a range of data in relation to its recruitment and selection activity. This includes information from both Licence Holders and Office Holders relating to: Internal Appointments promotions and appointments with an allowance Temporary Appointments to Higher Duties/Acting-up Appointments made under (i) General Code of Practice and (ii) Atypical Code of Practice Temporary Acting-up Appointments greater than 6 months Interdepartmental Panels Open Recruitment conducted by PAS Open Recruitment carried out under Licence The Commission is conscious of the time and effort associated with completing these tables and has strived over the past year to streamline the process in response to feedback from office holders. Furthermore with effect from 2011, in its efforts to reduce the work involved for Departments/Offices, the Commission has decided to collect this statistical information only every six months instead of quarterly. Review The purpose of examining the statistical returns as part of this review was to establish the procedures in place in Departments/Offices for collecting the required information and the level of understanding of the information being requested to ascertain the validity of the data being provided to the Commission. In this regard discussions were held with the individuals in each office responsible for collecting the statistics to establish the process involved, the system used whether manual or electronic, the number of divisions involved and the checks to verify the statistics returned to the Commission. Findings Based on discussions with the relevant staff responsible for preparing the statistical returns to the CPSA together with an examination of the returns made during 2010 the findings are as follows: 10

11 All those involved in collecting the figures and completing the tables of statistical information reported that they were familiar with the process which they found to be relatively straightforward and self-explanatory. One Department has a written procedure for completing the statistical returns to the CPSA. Most Departments/Offices source the statistics from information held centrally in HR, including HRMS, Corepay and/or other records maintained such as monthly returns and staff changes. In the case of larger Departments/Offices HR issues a request for information from the local offices, which is then collated centrally before submitting the return to the CPSA. The returns are generally based on figures collected for other purposes, e.g. D/Finance returns, and therefore are subject to overall monitoring and control mechanisms. A few discrepancies were noted in the returns being made, such as; - Certain grades being included that were not appropriate, i.e. officers with a foreign service allowance - Certain appointments not included, e.g. Stagiaires recruited under licence - Acting-up appointments greater than six months not included. Any discrepancies noted were discussed with the Department involved and necessary changes agreed for future returns. Conclusions Based on the findings set out above the Commission is satisfied that, in general, Office Holders are aware of the requirements for completing and submitting statistical returns in relation to recruitment activity. Following the discussions and an examination of the returns there appears to be a good level of understanding and a sound basis for the information being provided to the CPSA. The Commission will continue to monitor recruitment activity across the organisations within its remit and would like to remind Office Holders of the importance of ensuring that all information included in the returns is accurate and up-to-date. The Commission is pleased to note the positive feedback received during the review in relation to the advice and support provided by the CPSA. 11

12 Commission s Recommendations Review or put in place management systems with regard to Excluding Orders to include written procedures/checklists and maintenance of records for monitoring purposes. Develop a policy and guidelines for managing acting-up appointments and ensure there is full supporting documentation available for each stage of the process. Review the use of seniority/suitability for the purposes of making acting-up appointments to ensure compliance with the requirements of the Codes of Practice. Review systems for providing statistical returns to the Commission to ensure that all information reflects accurate and up-to-date recruitment activity. 12

13 Appendix 1 List of Departments/Offices audited Department of Agriculture, Marine and Food Department of Environment, Community and Local Government Department of Foreign Affairs and Trade Office of the Houses of the Oireachtas Department of Social Protection Department of the Taoiseach 13