Commissioners use compliance monitoring to audit departments' recruitment systems and make sure they are complying with the Recruitment Code.
Departments carry out a self assessment of risk which is independently reviewed by our auditors, KPMG.
A sample of organisations receives follow up visits.
Of the 108 returns received:
Commissioners are concerned about the overall increase in risk rating.
Commissioners chair the panels for the most senior posts. They also have a duty under the Civil Service Order in Council to audit departments' recruitment systems and practices to establish whether or not departments, as the appointing authorities, are complying with the Recruitment Code at all times. The function is contracted out on clearly defined terms and under close supervision by the Commissioners. This is the third year in which the current approach has operated.
We encourage departments and agencies to review objectively the design and operation of their recruitment systems and controls against the requirements of the 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 Code.
Compliance monitoring requires departments and agencies to carry out at the end of each financial year (31 March) a self-assessment of risk related to their own internal controls and checks. They must provide a Certificate of Compliance, signed by the Permanent Secretary or Chief Executive, declaring whether or not their recruitment has complied with our Recruitment Code and, if not whether any correcting action has been taken or is proposed.
With our auditors, we then assess the departmental returns and supporting documentation against the risk of non-compliance with the Recruitment Code and reach a provisional assessment of ‘high’, ‘medium’ or ‘low’ risk. In the light of this, we choose a sample of organisations for follow-up visits and look at their recruitment systems and practices on-site.
Departments and agencies which receive an on-site visit are subsequently sent a report, which includes recommended actions they should take to reduce their risk rating. Departments and agencies not visited receive a letter raising any special points revealed by their returns.
The process is overseen by a Compliance Monitoring Committee, comprising Commissioners and senior HR staff from a selection of departments and agencies. The Committee determines how to select the departments and agencies to be visited and decides any topics for thematic review.
