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Compliance monitoring

Audit

The Commissioners have a duty under the Civil Service Order in Council to audit the recruitment systems and practices of Government departments and agencies. These audits are to ensure compliance with the principle of appointment on the basis of fair and open competition as set out in the Commissioners’ Recruitment Code.

Monitoring of compliance is contracted to a firm of auditors on clearly defined terms and under close supervision by the Commissioners. This is the fourth year in which a risk-based approach has been followed. This is the last year of the present contract. The Commissioners are currently in the process of re-tendering this function to appoint auditors to continue this work from 2009.

Self assessment

The Commissioners encourage departments and agencies to review objectively the design and operation of their recruitment systems and controls against the requirements of the Commissioners’ Recruitment Code. That assessment is then independently reviewed by our auditors, KPMG. The aim of the system is to encourage departments and agencies to put robust arrangements in place to ensure appointments are made in compliance with the Commissioners’ Recruitment Code.

Risk based

Compliance monitoring requires departments and agencies to carry out a self-assessment of risk related to their own internal controls and checks at the end of each financial year. They must provide the Commissioners with a Certificate of Compliance, signed by the Permanent Secretary or Chief Executive. The Certificate declares whether or not their recruitment has complied with the Commissioners’ Recruitment Code. If there has been a failure to comply the department must explain what remedial action has been taken or is proposed.

Provisional assessment

The Commissioners, with our auditors, then assess the departmental returns and supporting documentation against the risk of non-compliance with the Commissioners’ Recruitment Code.

A provisional assessment for each department is made of ‘high’, ‘medium’ or ‘low’ risk. In the light of these assessments a sample of organisations is chosen for follow-up visits. The visits are to look at their recruitment systems and practices on-site.

Reports

Departments and agencies which receive an on-site visit are subsequently sent a report. The report includes recommended actions they should take to reduce their risk rating. Departments and agencies not visited receive a letter addressing any particular issues revealed by their returns.

Oversight

The compliance monitoring process is overseen by a Compliance Monitoring Committee. The Committee is comprised of Commissioners, members of the Commissioners’ Office and senior human resources staff from a number of departments and agencies. The Committee determines how to select the departments and agencies to be visited and decides any topics for thematic review.

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