Civil Service Management Code-UK

CIVIL SERVICE MANAGEMENT CODE

INTRODUCTIONAnnex A: Civil Service Order in Council 1995

CHAPTER 1 TAKING UP APPOINTMENT

Section 1.1 Recruitment

Annex A: Civil Service Commissioners Recruitment Code

Annex B: Civil Service Nationality Rules

Section 1.2 Working Arrangements

Section 1.3 Probation

Section 1.4 Letters of Appointment and Information on Pensions

Section 1.5 Fast Stream Development Programme

Section 1.6 Appointment and Management of Specialists

Section 1.7 Re-appointment: Reinstatement and Re-employment

Section 1.8 Conditional (Health) Appointments

CHAPTER 2 EQUAL OPPORTUNITIES IN THE CIVIL SERVICESection 2.1 Policy

CHAPTER 3 HEALTH AND SAFETY AT WORK

Section 3.1 Health and Safety

Section 3.2 Civil Service Occupational Health and Safety Agency

CHAPTER 4 CONDUCT AND DISCIPLINE

Section 4.1 Conduct: General Principles and Rules

Annex A: Civil Service Code

Section 4.2 Conduct: Confidentiality and Official Information

Section 4.3 Conduct: Standards of Propriety

Annex A: Rules on the Acceptance of Outside Appointments by Crown Servants

Annex B: Guidance for Departments and Agencies on the Rules on theAcceptance of Outside Appointments by Crown Servants

Section 4.4 Conduct: Political Activities

Annex A: Guidelines and Principles on Participation in Political Activities

Section 4.5 Discipline: Rules and Code of Practice

Annex A: Recovery of Losses to Public Funds

CHAPTER 5 THE SENIOR CIVIL SERVICE

Section 5.1 General

Section 5.2 The SASC Group

Section 5.3 Senior Civil Service Terms and Conditions

CHAPTER 6 MANAGEMENT AND DEVELOPMENT

Section 6.1 Grading and Classification of Staff

Section 6.2 Personal Review

Section 6.3 Poor performance: Inefficiency and Limited Efficiency

Section 6.4 Promotion

CHAPTER 7 PAY AND ALLOWANCES

Section 7.1 Remuneration of Staff

Annex A: Senior Civil Service Pay Framework

Annex B: Allowances for Members of the Senior Civil Service

Section 7.2 Advances of Pay

Section 7.3 Voluntary Deductions from Pay

Section 7.4 Rent for Government-Owned Properties

CHAPTER 8 EXPENSES

Section 8.1 Reimbursement of Expenses

Section 8.2 Travel

Section 8.3 Relocation

Section 8.4 Compensation for Loss or Damage to Personal Property

Section 8.5 Concessionary Arrangements for Staff Working in Northern Ireland

Section 8.6 Overseas Expenses

CHAPTER 9 HOURS, HOLIDAYS AND ATTENDANCE

Section 9.1 Hours of Work

Section 9.2 Holidays and Attendance

Section 9.3 Maternity Arrangements

Section 9.4 Attendance during National Emergencies

Section 9.5 Sick Absence

Section 9.6 Injury, Disease or Assault at Work

CHAPTER 10 STAFF MOVEMENT AND REDEPLOYMENT

Section 10.1 Mobility

Section 10.2 Transfer of Staff between Departments and Agencies

Section 10.3 Secondment

Section 10.4 Service with the European Institutions

CHAPTER 11 LEAVING THE CIVIL SERVICE

Section 11.1 Notice and References

Section 11.2 Action Before Leaving the Civil Service

Section 11.3 Normal Retirement Age

Section 11.4 Dismissal for Inefficiency

Section 11.5 Early Retirement or Severance

Section 11.6 Compulsory Early Retirement or Severance

Section 11.7 Flexible Early Retirement or Severance

Section 11.8 Approved Early Retirement

Section 11.9 Actuarially Reduced Retirement

Section 11.10 Medical Retirement

CHAPTER 12 APPEALS AND LEGAL REPRESENTATION AT PUBLICEXPENSE

Section 12.1 Appeals

Section 12.2 Legal Representation at Public Expense

INTRODUCTION1. This Code is issued under the authority of the Civil Service Order in Council 1995 (AnnexA) under which the Minister for the Civil Service has the power to make regulations and giveinstructions for the management of the Home Civil Service, including the power to prescribethe conditions of service of civil servants.

2. This Code, on which the recognised trade unions have been consulted, sets out regulationsand instructions to departments and agencies regarding the terms and conditions of serviceof civil servants and the delegations which have been made by the Minister for the Civil Serviceunder the Civil Service (Management Functions) Act 1992 to Ministers and office holders incharge of departments together with conditions attaching to those delegations. Where departmentsand agencies are given discretion to determine terms and conditions, the Code sets out therules and principles which must be adhered to in the exercise of those discretions. It does notof itself set out terms and conditions of service.

3. From 1 April 1996, Ministers and office holders in charge of departments have been giventhe authority:

a. to prescribe the qualifications (so far as they relate to age, knowledge, ability,professional attainment, aptitude and potential) for the appointment of home civilservants (with the exception of the Fast Stream Development Programme) in theirrespective departments; and

b. to determine the number and grading of posts outside the Senior Civil Servicein their respective departments and the terms and conditions of employment ofHome civil servants in so far as they relate to the following:

i. classification of staff, with the exception of the Senior Civil Service;

ii. remuneration and allowances, with the exception of the Senior Civil Service;

iii. allowances for the Senior Civil Service in respect of service overseas;

iv. expenses;

v. holidays, hours of work and attendance;

vi. part-time and other working arrangements;

vii. performance and promotion;

viii. retirement age and redundancy;

ix. re-deployment of staff within and between departments.

4. This delegation (which revokes all previous delegations) is made subject to the conditionthat recipients of delegation comply with the provisions of this Code as amended from timeto time. However, it does not remove the obligation on departments and agencies to submitto the Cabinet Office (OPS) proposals or arrangements which are contentious, or raise questionsof propriety. Departments and agencies are reminded that the Government is committed tomaintaining the reputation of the Civil Service as a good employer. The terms and conditionsof civil servants must be determined with regard to: the general practice of large employers;value for money; and the provisions of Government Accounting.

5. For convenience, the term departments and agencies has been used in the context ofdelegation throughout the Code. The presumption is that functions delegated to Ministers andoffice holders will ( in respect of agencies) be exercised by Agency Chief Executives, but theprecise extent to which Ministers and office holders may wish to allow the exercise of theirpowers by Chief Executives is a matter for them to determine.

6. Departments and agencies must comply fully with legislation which binds the Crown orwhich Ministers have undertaken to apply as if it were binding on the Crown. They mustdefine clearly the terms and conditions of service of their staff and make these available tostaff, for example in departmental or agency handbooks. Where departments and agencies havedelegated powers or discretion, they must make clear to their staff how these will be appliedby setting out the relevant rules and procedures in their handbooks.

7. When exercising the delegated powers permitted by this Code, departments and agenciesshould remember that existing rights cannot be altered arbitrarily. They must observe any legalconstraints upon them as employers, consulting as necessary with their staff and the recognisedtrade unions. Any questions of possible detriment occasioned by the application of theirdelegated powers should be resolved locally. If uncertainty over entitlement is an issue, managersshould consult their legal advisers and, if necessary, Cabinet Office (OPS).

8. The Cabinet Office (OPS) retains the right to inspect and monitor observance of thisCode in departments and agencies, but the aim is to keep such inspection and monitoring tothe minimum level consistent with central responsibilities.

9. Subsequent changes to the central regulations and instructions (including any futuredelegations) will be issued as amendments to this Code, and will need to be reflected promptlyin departments or agencies regulations for their own staff. In all cases, the Cabinet Office(OPS) will make clear the effective date of any change affecting staff Service-wide.

Brief extracts (i.e. no more than ten per cent of the text) may be copied for in-house useonly. Copies of longer extracts or for external use require the prior written permission ofHMSO.

Civil Service Order in Council 1995ANNEX A: CIVIL SERVICE ORDER INCOUNCIL 1995

The following is an informal consolidation of the operative parts of the Civil Service Orderin Council 1995, the Civil Service (Amendment) Order 1995 and the Civil Service (Amendment)Order 1996. It should not be relied upon as an authentic text. Changes made under the twoCivil Service (Amendment) Orders appear in square brackets in the consolidated text.

Definitions

1. In this Order, except where otherwise expressly provided,

the Commissioners means the persons for the time being appointed by Her Majestyin Council to be Her Majestys Civil Service Commissioners for the purposes of thisOrder;

audit means any review carried out by or on behalf of the Commissioners of therecruitment practices and policies followed by appointing authorities in making anappointment;

public service means any civil service of the State (other than the Service), and anypublic authority, or non-governmental body or institution discharging public functions,which the Minister may from time to time determine to be a public service for thepurposes of this Order;

the Minister means the Minister for the Civil Service;

secondment means a voluntary and temporary transfer from a permanent employerfor a fixed period and which does not affect the employment status of the secondedemployee;

the Service means Her Majestys Home Civil Service;

the Senior Civil Service means that part of Her Majestys Home Civil Service whosemembers are classified by the Minister as members of the Senior Civil Service. (a)

Selection on merit

2.(1) Except as otherwise expressly provided by this Order, no person shall be appointedto a situation in the Service unless

(a) the selection for appointment is made on merit on the basis of fair and opencompetition; and

(b) the person appointed satisfies such qualifications as may be prescribed pursuantto Article 10(d).

(2) Notwithstanding Article 2(1)(b), a person may be appointed in accordance withSchedule 2 to this Order.

Exemptions from selection on merit

3. Article 2(1)(a) shall not apply to an appointment to any situation

(a) As amended by the Civil Service (Amendment) Order in Council 1996

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Civil Service Order in Council 1995

(a) where the holder is appointed directly by the Crown;

(b) where the holder is appointed by a Minister of the Crown for the purpose onlyof providing advice to any Minister, and under which the period for which thesituation is to be held terminates at the end of an Administration.

Functions of the Commissioners

4.(1) The Commissioners shall maintain the principle of selection on merit on thebasis of fair and open competition in relation to selection for appointment.

(2) The Commissioners shall prescribe and publish a recruitment code on the interpretationand application by appointing authorities of the principle of selection on merit on thebasis of fair and open competition, including the circumstances in which exceptions to thatprinciple may be permitted in accordance with Articles 6 and 7 of this Order.

(3) The Commissioners shall audit recruitment policies and practices within the Serviceto establish whether the recruitment code is being observed by the appointing authority.

(4) The Commissioners may require appointing authorities to publish such summaryinformation as may be specified relating to recruitment and the use by such authorities ofpermitted exceptions to the principle of selection on merit on the basis of fair and opencompetition.

[(5) The Commissioners may hear and determine appeals to them by a member of theService under the Civil Service Code and for this purpose

(a) may regulate their own procedure; and

(b) may require the parties to any appeal or to any investigation occasioned by anappeal to provide such information and other assistance as the Commissionersshall think necessary or appropriate; and

(c) may make recommendations. (a)]

The Commissioners approval for appointment

5.(1) Subject to Article 5(2), no appointment except for an appointment of less thantwelve months or an appointment referred to in Article 3 shall be made to any situationin the Senior Civil Service [or to any situation listed in Schedule 1 (b)] without the writtenapproval of the Commissioners, whose decision shall be final. Approval may be givenconditionally or unconditionally.

(2) Where pursuant to Article 5(1) the Commissioners have given approval conditionally,the relevant appointing authority may make such appointment pursuant to Schedule 2 asappears to that appointing authority to be appropriate.

Exceptions to selection on merit

6.(1) Subject to Article 6(2) the Commissioners may except an appointment from therequirements of Article 2(1)(a), either individually or by cases of a class or description,where the appointment falls within one or more of the following categories

(a) where the total period of service does not exceed five years and the appointmentis justified by the needs of the Service;

(b) where the person is appointed on secondment;

(a) Inserted by the Civil Service (Amendment) Order in Council 1995(b) As amended by the Civil Service (Amendment) Order in Council 1996

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(c) where immediately before appointment the person is the holder of a situationto which he was appointed on secondment, or under which the period of service(continuous or otherwise) does not exceed five years, and the appointment wouldbe on an exceptional basis;

(d) where the person has previously held a situation in the Service to whichappointment was made on merit on the basis of fair and open competition andis being considered for re-instatement or re-employment;

(e) where the person holds a situation in a public service;

(f) where the person is, or has recently been, employed on functions which havebeen or are being transferred to the Crown;

(g) where the person has reached an appropriate standard in a fair and opencompetition for another situation without securing appointment and there is ademonstrable shortage of suitable candidates for the relevant situation.

(2) The Commissioners may except from the requirements of Article 2(1)(a) any appointmentto a situation for which their approval is required by Article 5 where they are satisfiedthat

(a) the person proposed for appointment is of proven distinction; or

(b) that the person proposed for appointment has been assessed in fair and opencompetition with all other applicants for the situation, and that he is qualifiedto discharge all the duties of the situation effectively

and, in either case, that the appointment is justified for exceptional reasons relating to theneeds of the Service.

Disabled people

7. Without prejudice to their powers under Article 6 the Commissioners may except anappointment from the requirements of Article 2(1)(a) where it appears to the relevantappointing authority that the person satisfies the relevant standard for entry into the Serviceand has been selected for appointment under arrangements which

(a) provide for such selection to be made on merit on the basis of fair and opencompetition, but

(b) include provision for encouragement and assistance in the process of selection(by way of guarantee of an interview or otherwise) to be given to any personwho is defined as being a disabled person or as having a disability by or underany enactment relating to the employment of disabled persons.

Commissioners Annual Report

[8. (1) The Commissioners shall publish an annual report which shall include:

(a) summary information as to appointments requiring the Commissioners approvalunder Article 5, including the number of persons appointed on the basis ofeach category of permitted exceptions identified in Article 6 and Article 7, and

(b) an account of the audit of recruitment policies and practices, and

(c) an account of the number of appeals made to them under the Civil ServiceCode together with summary information as to the nature of such appeals.


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(2) The Commissioners may from time to time make such other reports on appeals tothem under the Civil Service Code as they think fit. (a)]

Exercise of the Commissioners powers and duties

9.(1) Any power or duty of the Commissioners under this Order may be exercised by

(a) the First Civil Service Commissioner, or such Commissioner as the First CivilService Commissioner may authorise for that purpose; or

(b) any officer of the Commissioners authorised for that purpose by theCommissioners.

(2) The Commissioners may from time to time and to such extent as they think fitauthorise any person to perform

(a) any function under Article 4(3); or

(b) any of their functions relating to the selection and recruitment of persons priorto the exercise by them of their power of approval under Article 5; or

(c) any of their functions including the power of approval under Article 5 wherethe Commissioners have approved the arrangements for selection for particularappointments.

Functions of the Minister

10. The Minister may from time to time make regulations and give instructions

(a) providing for the number and grading of posts in the Service, the classificationof all persons employed therein, their remuneration, expenses, allowances, holidays,hours of work, part-time and other working arrangements, retirement andredundancy, the re-instatement and re-employment of persons in the Service, there-deployment of staff within the Service and the conditions of service of allpersons employed in the Service;

(b) for controlling the conduct of the Service[, including the making and amendmentof a Civil Service Code (b)];

(c) relating to the recruitment of persons to situations in the Service;

(d) prescribing the qualifications for appointment to situations in the Service includingqualifications relating to age, knowledge, ability, professional attainment, aptitude,and potential.

(a) As amended by the Civil Service (Amendment) Order in Council 1995(b) Inserted by the Civil Service (Amendment) Order in Council 1995


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Citation etc.

11.(1) This Order may be cited as the Civil Service Order in Council 1995 and shallcome into force on 1st May 1995.

(2) [Revocation of Article 5 of the Civil Service Order in Council 1991.]

(3) Without prejudice to paragraph (4) below, nothing in the said revocation shall affectany instrument or other thing whatsoever made or done or having effect as if made ordone under the principal Order, and every such instrument or thing shall continue in forceand so far as it could have been made or done under this Order shall have effect as ifmade or done under this Order.

(4) The Interpretation Act 1978(a) shall apply for the interpretation of this Order andof any regulations or orders made under this Order as it applies for the interpretation ofan Act of Parliament, and as if for the purposes of section 16(1) of that Act this Orderwere an Act of Parliament and the principal order were an Act of Parliament therebyrepealed.

(a) 1978 c.30

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Civil Service Order in Council 1995SCHEDULE 1 Article 5(1)

[Agency Chief Executive

Chief Actuary

Directing Actuary

Director of Finance and Corporate Services, Royal Mint

Government Actuary

Prisons Ombudsman

Procurement Group Director, HM Treasury (a)]

Civil Service Order in Council 1995SCHEDULE 2 Articles 2(2) and 5(2)

APPOINTMENT BEFORE APPROPRIATE ENQUIRIES ARECOMPLETED, AND APPOINTMENT WHERE CERTAIN

QUALIFICATIONS ARE NOT SATISFIED

1.(1) A person may be appointed to a situation in the Service where it appears to therelevant appointing authority that it is necessary that the appointment be made before appropriateenquiries are completed, and that there is no prima facie doubt that he satisfies all the prescribedqualifications and is otherwise suitable for appointment.

(2) It shall be a condition of any appointment made under this paragraph that theoutcome of the appropriate enquiries is satisfactory, but termination of the appointmentwhere the outcome of those enquiries is not satisfactory shall not preclude the personsfurther appointment in accordance with paragraph 2.

2.(1) A person may be appointed to a situation in the Service where it appears to therelevant appointing authority that, although otherwise suitable for appointment, he does notfully satisfy the prescribed qualification as to

(a) health or character, but that if appointed for a trial period of service he is likelywithin that period to satisfy such qualifications; or

(b) nationality, but that if appointed his employment would be under the authorityof a certificate issued under section 1 of the Aliens Employment Act 1955; or

(c) knowledge, ability, professional attainment, aptitude or potential, but that ifappointed for a trial period of service he is likely within that period to demonstratethat he is fully able to discharge the duties of the grade.

(2) An appointment may only be made pursuant to paragraph 2(1)(c) on an exceptionalbasis and where there is a shortage of qualified candidates for the situation.

(3) It shall be a condition of any appointment made for a trial period under thisparagraph that, within a specified period not exceeding five years, the person demonstratesto the satisfaction of the relevant appointing authority that,

(a) in the case of an appointment under paragraph 2(1)(a), he satisfies the relevantqualifications; and

(b) in the case of appointment under paragraph 2(1)(c), he is fully able to dischargethe duties of the grade.

(a) As amended by the Civil Service (Amendment) Order in Council 1996

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1. TAKING UP APPOINTMENT1. TAKING UP APPOINTMENT1.1 Recruitment1.1 Recruitment1.1.1 Within the framework laid down by the Civil Service Order in Council 1995 (Introduction,Annex A) and the Recruitment Code issued by the Civil Service Commissioners (Annex A),departments and agencies have authority to:

a. determine their practices and procedures for the recruitment of staff to theHome Civil Service; and

b. prescribe qualifications for appointment to positions in their organisation relatingto age, knowledge, ability, professional attainment, aptitude and potential.

These delegations are subject to the following conditions.

Conditions

1.1.2 Departments and agencies must:

a. ensure that their recruitment systems deliver recruits who are appropriate totheir needs and who are able to do the work required; and

b. retain records for at least three years of the recruitment criteria in use and ofthe performance of successful candidates.

Senior Civil Service

1.1.3 For SASC appointments (see Section 5.2), departments and agencies must follow theprocedures described in A Checklist of Processes for Senior Appointment Selection CommitteeGroup Appointments published by the Cabinet Office (OPS).

Fast Stream Development Programme

1.1.4 Qualifications for appointment to the Fast Stream Development Programme are setout in Section 1.5.

Checks before appointment

1.1.5 Before an unconditional offer of appointment is made, checks must be satisfactorilycompleted to ensure that a candidate does meet the qualifications for appointment.

Health

1.1.6 Recruits must be fit to carry out the duties of the post, and be capable of giving regularand effective service for at least 5 years (or for the period of the appointment if that is less).Candidates fitness must be checked by asking them to complete a health declaration formand, in all cases where the health of a prospective employee is in doubt, departments andagencies must seek medical advice from the Civil Service Occupational Health and SafetyAgency or alternative providers of competent occupational health advice. A conditional (health)appointment may be offered where appropriate (see Section 1.8).

1.1 Recruitment

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Character

1.1.7 Departments and agencies must be satisfied that recruits are able to show that theywill be able to give satisfactory service in the future and that nothing in their more recent pastis likely to bring discredit upon the department or agency or the Civil Service in general. Thisis separate from any security clearance that may be necessary. Account must be taken of theRehabilitation of Offenders Act 1974 and the Exceptions Order 1975 (amended in 1986) asappropriate.

Nationality

1.1.8 The Civil Service nationality rules (Annex B) are statutorily based. Further copies ofthe rules are available from Security Division, Cabinet Office (OPS).

1.1.9 Some appointments, where special allegiance to the State is required, are reserved forUK nationals. Most posts, however, are additionally open to Commonwealth citizens, Britishprotected persons and to the nationals of other European Economic Area (EEA) memberstates and certain non-EEA family members who are entitled to EEA family permits orresidence documents (having moved to the UK with their EEA spouse from another EEAmember state for an approved purpose).

1.1.10 Separate more restrictive rules may apply to certain posts under the Minister for theCivil Service and under the Secretaries of State for Defence and Foreign and CommonwealthAffairs.

Aliens certificates

1.1.11 Except as provided for in paragraph 1.1.9, no alien may be appointed to a post inthe Civil Service unless the terms of the Aliens Employment Act 1955 are satisfied. The Actempowers the employing Departments Minister, with the approval of the Minister for theCivil Service, to issue a certificate of employment in certain circumstances. These are that:

a. no suitable qualified candidate who satisfies the nationality rules is available; or

b. the alien possesses exceptional qualifications for appointment; and

c. the post is not a reserved post.

Appointments under an aliens certificate (except for Special Advisers) are made on a conditionalbasis.

Serving staff and open competitions

1.1.12 Serving civil servants who meet the specified qualifications for appointment must beallowed to apply for open competitions in any department or agency, including their own.Common standards of selection must apply to both in-service and external candidates.Departments and agencies may exempt serving staff who were recruited through fair and opencompetition and have completed their initial probation from any requirements for educationalor vocational qualifications which are required of non-Civil Service candidates; their relevantexperience inside the Civil Service may be taken into account instead.

1.1.13 Management may reject applications from staff already serving elsewhere in the samedepartment (or any of its agencies) where the candidates level transfer from the existing postwould conflict with wider department/agency interests or objectives.

1.1.14 If a serving civil servant receives and accepts an offer of appointment following opencompetition, the parent department or agency must release him or her within three monthsof being notified of the accepted offer.

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1.1 Recruitment

1.1 Annex A: Civil ServiceCommissioners Recruitment Code1.1 ANNEX A: CIVIL SERVICECOMMISSIONERS RECRUITMENTCODEIntroductionRecruitment into the Home Civil Service is governed by the Civil Service Order in Council1995. The Order in Council sets out the legal basis for our recruitment policies and practice.It requires the Civil Service Commissioners to provide a recruitment code on the interpretationand application of the principles for recruitment into the Civil Service. The principles and thiscode are mandatory. They must be followed when any post is opened to competition fromoutside the Civil Service.

Part I: The Principles of Fair andOpen Competition and Selection onMeritThe recruitment principles1.1 The principles are set out in the Appendix. Good government needs a Civil Service whichis highly competent, politically impartial and has high standards of integrity. The recruitmentprinciples underpin this. The fundamental principle is that appointments must be made onmerit on the basis of fair and open competition.

1.2 There are three reasons for this. First to find the best available person for the jobconsidered on individual merit and regardless of race, gender, or (subject to the requirementsof the job) disability. Secondly, to put all appointments above suspicion of patronage. If friends,relations or business contacts comprise most of the applicants for a job, it is clearly not possibleto defend our procedures - even if the successful candidate is perfectly competent. And thirdly,to ensure that recruitment procedures reinforce the political impartiality of the Service.

1.3 To apply the principles effectively, we need to ensure that:

a. job opportunities are known about and publicised;

b. selection is fair and objective at each stage;

c. those appointed have the necessary skills and competencies for the job;

d. we choose the best candidate for the job;

e. we can demonstrate that we have applied our recruitment principles by takingthese steps.

1.4 This is basically good professional selection practice. Spending time to secure the bestcandidate in the field is often critical to the success of an organisation. The costs of appointingthe wrong person can be severe and immediate.

1.5 Part time appointments are subject to the same selection requirements as full timeappointments.

1.1 Annex A: Civil Service Commissioners Recruitment Code


1.6 Some limited exceptions to the recruitment principles are permitted - for example forsecondment. These are set out in Part II of this code.

1.7 Personnel divisions will be able to give further advice on good recruitment practice. Theycan also provide details of recruitment consultants who can advise on good practice in selectiontechniques.

Responsibility for applying the recruitment principles1.8 Responsibility for ensuring that recruitment is conducted in line with this code rests withthe Permanent Secretary or Chief Executive of each department or agency. They are requiredto state that they operate recruitment systems in line with this code and that those systemsare subject to internal check to ensure they are working effectively.

1.9 Departments and agencies may make appointments to all but the most senior posts inaccordance with these principles without further reference to the Commissioners. Approval ofindividual appointments by the Commissioners is required for appointments in the Senior CivilService (apart from appointments of less than 12 months) on which separate Commissionersguidance is available from the Office of the Civil Service Commissioners.

1.10 The Civil Service Commissioners also conduct independent audits of recruitment policiesand practices in departments and agencies, and publish an account of their audits in theirannual report. Information about the audit arrangements is available from the Office of theCivil Service Commissioners.

1.11 But the front line responsibility for giving effect to the principles lies with each managerwith direct responsibility for recruitment. Each manager must ensure that his or her selectionprocedures and decisions follow this code.

1.12 Complaints should be addressed to the head of department or agency concerned in thefirst instance. The commissioners are willing to consider complaints alleging that the principles ofthis recruitment code have been breached from those dissatisfied with the departments or agencysinitial response to their complaint so long as their complaints are raised within 6 months.

Using recruitment agencies1.13 Public or private sector recruitment agency or selection consultants may be used toassist in part or all of the selection process. It is nevertheless the responsibility of the individualrunning the recruitment competition to ensure that the recruitment exercise is carried out inaccordance with the principles, and to be able to demonstrate that this has been done. Allvacancies must be openly advertised. The text of any advertisement or publicity must beapproved by the department or agency concerned, as must the specification of requirementsfor and conduct of short listing, and the monitoring procedures used. The department oragency running the recruitment competition must participate fully in the final selection.

Accounting for recruitment decisions1.14 Those running recruitment competitions need to be able to demonstrate that they havecomplied with the principles. Accordingly recruitment competitions should be fully documented,and the papers should be retained for 12 months from the end of the competition1. For fixed

1The term papers refers to the advertisement, application forms, criteria, selective panel report,campaign summary, statistics and any other relevant paper relating to the competition. Afterthe 12 month period, a brief summary of the competition, including statistics, should bereturned for a further 3 years.


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term appointments/short term contracts the advertisement and supporting literature must beretained for the duration of the appointment so that the basis on which the post was publicisedis known in the event of extension or wider deployment being considered. Senior staff in eachdepartment or agency - and ultimately the independent auditors employed by the Civil ServiceCommissioners - may need to be satisfied that recruitment competitions have been properlycarried out. In addition, departments and agencies are required to publish information on theirrecruitment, including the use of specified exceptions to the recruitment principles. Thearrangements for publishing recruitment information are set out in Part III of this code.

Interpretation of the principlesIn accordance with the Civil Service Order in Council 1995 every individual appointed to a postin the Civil Service must be selected on merit on the basis of fair and open competition.

1.15 This fundamental principle has been the basis of Civil Service recruitment policy forwell over a century. Openness, fairness and merit are all directed to getting the bestperson for the job from a wide field of applicants. Openness is about making Civil Servicejobs accessible by ensuring that opportunities are made known and publicised. Fairness seeksto ensure that there is no bias in assessment of candidates at any stage of the selection process.Merit has two objectives: no-one should be appointed to a job unless they are competent todo it; and if two or more people meet the criteria for appointment, the job should be offeredto the person who would do it best.

1.16 These are wide principles. They signal the commitment of the Civil Service to provideequality of opportunity in employment. But the principles go further. Recruitment decisionsmust also meet the wider tests that they have been reached through fair and open competitionand decided on the merit of the candidates.

1.17 It follows that the recruitment principles do not permit positive discrimination. The onlyarea in which the Order in Council does permit different arrangements concerns disabled people- see Part II - and relates only to the preliminary stages of selection.

Prospective applicants must be given equal and reasonable access to adequate information aboutthe job and its requirements, and about the selection process.

1.18 This principle is directed to creating a fair and open field of competition at the startof the selection process, and sustaining it through to the final decision.

1.19 The advertisement and supporting literature must together contain whatever applicants needto know to give them a clear picture of the job and what is required to do it. The advertisementshould say who the employer is, what the job involves, what the location and salary are (includingany flexibility on the pay figure), and give a brief description of the qualifications, skills, experienceand personal qualities needed. The supporting literature can expand on these, and should also setout the nature of the selection process. Providing this information will help create a fair and openfield and reduce the number of inappropriate applications.

1.20 The advertisement should make clear whether the job is permanent or a short termcontract. Short term appointments made by open competition are constrained by the termson which they were originally advertised. It is therefore important to consider carefully at theoutset whether a short term appointment may be renewed, offers prospects of movementelsewhere in the Civil Service or of permanency. Which of these prospects, if any, appliesshould be made plain in advertising the post. Provided the particular prospects have been setout in the initial advertisement, their subsequent realisation would not give rise to any conflictwith the recruitment principles, since candidates will have competed in a fair and open wayin the knowledge of the longer term prospects associated with the post.



1.21 Where the job is clearly temporary or there is genuine uncertainty about work requirementsstaff may be recruited for periods up to 12 months without fair and open competition - seePart II. But where the pattern of work can be planned for longer periods, wherever possiblestaff should be recruited through fair and open competition on renewable short term contractssince these can be extended without any further competition.

1.22 A reasonable opportunity must be given to prospective applicants to become aware ofvacancies. They must be given a reasonable time within which to apply. For example, seniorlevel appointments would require advertisement in the national or specialist press with a closingdate of around three weeks. The most junior posts might be advertised in the local Jobcentrefor a much shorter period. The closing date should be made plain and adhered to: it is notfair to close the list early because a lot of applications have already been received.

Applicants must be considered equally on merit at each stage of the selection process.

1.23 All applicants must be treated equally on merit at each stage of the selection process.An objective means of dealing with the problem of large numbers of applicants must be used.Throughout the selection procedure decisions based on the individual merit of the candidatesshould determine which ones progress to the next stage. And at the final stage acceptablecandidates should be placed in order of merit and offered appointment in that order, unlessthere are sufficient vacancies to appoint all immediately.

Selection must be based on relevant criteria applied consistently to all the candidates.

1.24 The purpose of setting criteria is to differentiate on a consistent and objective basisbetween candidates at each stage of the selection process. The criteria (including any eligibilityrequirements) must be relevant to the job. For example candidates should not be assessedagainst higher qualifications than are needed to do the job. Using irrelevant criteria woulddistort fair and open competition; and could be held to be unlawful under equal opportunitieslegislation if it led to unfair discrimination.

1.25 Selection criteria should be established at the outset. They should be consistent withthe experience, qualifications, skills and qualities specified in the advertisement. At each stageof the selection process, it is important to be consistent in assessing the candidates against thesame criteria.

Selection techniques must be objective and guard against bias.

1.26 Selection at all stages must be demonstrably fair and objective and unaffected by gender,race or other irrelevant considerations. Short listing and all selection decisions should beconducted by at least two people to guard against individual bias.

1.27 The choice of technique to be used at each stage of selection should be made withreference to the needs and requirements of the particular job. Sifting techniques, tests andexercises must be reputable, valid and good indicators of future performance. Those administeringor interpreting psychometrically-based tests should be professionally trained.

1.28 Departments and agencies must provide training and guidance for assessors.

Note This code sets out recruitment principles only. It is not a guide to everything requiredto carry out recruitment. For example, before appointment checks may have to be madeon such things as nationality, health or qualifications. Guidance about other aspects ofrecruitment should be available from personnel divisions.



Appendix to Part IAppendix to Part I1.1 Annex A: Civil ServiceCommissioners Recruitment CodeThe Principles of Fair and OpenCompetition and Selection on MeritIn accordance with the Civil Service Order in Council 1995 every individual appointed to apost in the Civil Service must be selected on merit on the basis of fair and open competition,apart from the exceptional cases in Articles 6 and 7 of the Order. To this end:

a. prospective applicants must be given equal and reasonable access to adequateinformation about the job and its requirements; and about the selection process;

b. applicants must be considered equally on merit at each stage of the selectionprocess;

c. selection must be based on relevant criteria applied consistently to all thecandidates;

d. selection techniques must be reliable and guard against bias.

To comply with Civil Service policy, equality of opportunity must apply throughout therecruitment process.



1.1 Annex A: Civil ServiceCommissioners Recruitment CodePart II: Exceptions to theRecruitment PrinciplesIntroduction2.1 This part of the code, which is mandatory, sets out the limited circumstances in whichexceptions are permitted to the recruitment principles of fairness, openness and merit in theCivil Service Order in Council. No departure from the recruitment principles is permitted exceptunder its terms.

2.2 Recruitment by fair and open competition and appointment on merit should always bepursued where possible to test the market for the best person for the job, and to demonstratethat the appointment is above patronage and political partiality. The objective of permittingcertain exceptions from that rule is to provide flexibility where it is genuinely necessary to meetthe needs of the Civil Service. But departments and agencies are under no obligation to allowrecruitment under the exceptions and they are free to set stricter limits on flexibility wherethey see fit. For example, use of flexible working patterns or of secondment does not presupposeuse of an exception: recruitment should be under the normal rules if that is practical andsensible. Where use of an exception is contemplated the case should be considered againstthese overall objectives of Civil Service recruitment policy.

Accountability for exceptions2.3 The responsibility of the relevant Permanent Secretary or Agency Chief Executive forrecruiting in accordance with the Commissioners code includes the use of exceptions. But inrelation to the Senior Civil Service the approval of the Civil Service Commissioners is also requiredbefore appointments can be made using the exceptions, apart from appointments of less than12 months. The Civil Service Commissioners independent audit of recruitment policies andpractices in departments and agencies includes examination of the use of exceptions.

2.4 It is for departments and agencies to decide at what level of seniority decisions on theuse of exceptions should be made, taking into account the particular need to be seen to guardagainst patronage or political partiality when making any departure from the recruitmentprinciples, but exception decisions should not rest with the immediate line manager, apart fromappointments of up to 12 months.

2.5 As for all other recruitment decisions, where an exception to the recruitment principlesis made, the reasons need to be clearly recorded, in accordance with this code. Departmentsand agencies are required to provide information showing the number and level of appointmentsmade under specified categories of exception - see Part III of the code. The only category ofexception exempt from this requirement is appointments of up to 12 months where datacollection would be onerous and interpretation difficult.

The circumstances in which exceptions may be made bydepartments and agencies2.6 The Order in Council allows exceptions to the recruitment principles to be made in thefollowing categories:

a. short term appointments (up to a maximum of 5 years), and extensions orconversion to permanency;

b. secondments;



c. re-appointment of former civil servants;

d. transfers into the Civil Service;

e. surplus acceptable candidates;

f. disabled candidates.

In addition the recruitment principles do not apply where an appointment is made directly bythe Crown or in the case of special advisers to Ministers whose appointments end with anAdministration. No exception may be made which falls outside these categories. Even withinthese categories exceptions may be made only in the circumstances described in this code. Caseswithin the categories, but which do not fall within this code, must be put to the Commissionersfor consideration. This applies at all levels.

Short term appointments

Appointments of up to twelve months

2.7 In order to give managers flexibility to meet genuine short term needs sensibly andeconomically, recruitment to appointments of up to 12 months (for example, casual, fixedterm, secondment, provisional) may be carried out without the full fair and open competitionprocess. But this can be done on a routine basis only for short term contracts up to a maximumof 12 months. If there is any possibility that staff may be needed for more than 12 months,fair and open competition should be used at the outset. (When calculating the 12 monthstotal period of service, separate periods of service should be aggregated if they relate to thesame appointment. Periods of service without a break between successive appointments shouldalso be aggregated.)

2.8 For this category of exception, departments and agencies may make appointments ofless than 12 months for appointments to the Senior Civil Service without the approval of theCommissioners, provided the case falls within these guidelines.

Extension for a further period up to a maximum of twenty-four months

2.9 Such extensions should be considered only on an exceptional basis: the fact that uncertaintyabout the future overall work pattern continues is not sufficient reason. Extension might beconsidered where, for example, the particular job or plan of work has taken a little longerthan originally planned and a few more months will complete it. The Commissioners approvalis required to extend appointments to the Senior Civil Service.

Recurrent short term appointments of no more than six months in any twelve monthsfor a period up to five years

2.10 Some work patterns may require staff for a series of short periods of a few weeks ormonths (for example, recurring temporary appointments and standby appointments). To provideflexibility in such circumstances an exception may be made to permit the employment of stafffor no more than 6 months in any period of 12 consecutive months for a period of not morethan 5 years.



Specialist skills

2.11 A very small number of jobs require a mix of specialised skills and experience. In somecases this may so narrow the field that an open competition would be an expensive formality.This situation is expected to arise rarely. Recruiters should not assume that other crediblecandidates are not available simply because one qualified individual is easily identified. Butwhere:

a. the mix of skills and experience required for a post is highly specialised; and

b. the foreseeable requirement is a short term one, and at a maximum, for a periodof 5 years; and

c. holding an open competition is unlikely to identify further credible candidates,

an exception to the recruitment principles may be made. Transfer or promotion within thespecialist area may be permitted, but movement outside the specialist area should be throughopen competition or a permitted exception.

Conversion of short term appointments to permanency (or extension beyond the initiallypublicised period)

2.12 Short term appointments made by open competition are constrained by the terms onwhich they were originally advertised. Where the initial advertisement did not make the prospectsof an extension, or conversion to permanency, or transfer elsewhere in the Civil Service plain,perhaps because developments in the pattern of work in the post could not be anticipated, ora reorganisation leading to wider transfer opportunities could not be foreseen, that can onlybe done by exercising this exception. Where extension or making permanent are considered,the individual must be performing to a high standard. Where transfer to another post isconsidered, the individual must be fully up to the standard of work offered, and whereverpossible should be assessed against other candidates. In all cases departments and agenciesshould satisfy themselves that the appointment would be on an exceptional basis and recordhow the suitability of the individual has been assessed.

2.13 Appointments of up to 12 months made under paragraph 2.7 above can only be extendedas provided in paragraph 2.9. Other short term appointments made under the exceptions fromopen competition in paragraphs 2.10 and 2.11 may be considered for extension or permanencyas in paragraph 2.12. These occasions will be very rare and the approval of the Civil ServiceCommissioners must be sought in the case of any proposed extension of such an appointmentby more than 3 years beyond a 5 year term (ie a total of 8 years), or conversion to a permanentappointment. This applies at all levels.

Secondments2.14 The policy of the Civil Service is to encourage inward secondment to promote theexchange of ideas and experience. The recruitment principles may be relaxed to facilitatetransfers of people into the Civil Service for this purpose. To qualify under this provision asecondment must be a voluntary transfer from the permanent employer, intended to betemporary, for a period of normally up to 3 years and not exceeding 5 years; and must notaffect the employment status of the secondee.

2.15 For secondments of more than 12 months, departments and agencies must take reasonablesteps to establish a field of candidates. Unless part of an interchange programme, or otherexchange arrangement, or intended to foster contact with a particular body with which thedepartment has, or is developing links, or the source of supply is very restricted, departmentsand agencies should approach a number of organisations and invite them to nominate individuals



for consideration. Secondees must be fully capable of undertaking effectively the duties of thejob for which they are recruited, and departments and agencies should record how the suitabilityof the secondee has been assessed.

2.16 Extension of secondments beyond 5 years or conversion to permanent appointment(or to a short term appointment) may be permitted only in exceptional circumstances. Anexception may be made for short extensions beyond 5 years where there is a requirement tocomplete the work in hand. If a longer extension is in question, or conversion to a permanentappointment (or to a short term appointment), the approval of the Civil Service Commissionersmust be sought. This applies at all levels. Conversion should only be permitted when the secondeehas performed to a high standard and circumstances have changed to make a contract orpermanent appointment a significant advantage to the department or agency.

2.17 This exception does not concern the use of secondment arrangements for those broughtin by other means, nor may it be used to bring in secondees in any circumstances other thanthose set out in paragraph 2.14. For example, it may sometimes be appropriate for someonebrought in by open competition to agree secondment arrangements which preserve an individualsrights and pension entitlement from a previous employer: that would be an arrangement reachedquite separately from the secondment exception.

Re-appointments of former civil servants

2.18 The purpose of this exception is to enable departments and agencies to realise theinvestment they have made in the training and experience of an individual who has subsequentlyleft them: no individual has a right to re-appointment1. It should only be used where there isa clear and significant benefit to the department or agency in doing so - for example, as partof a departments planned policy to assist the return of staff who have left for domestic reasonsor when the individual has particularly valuable and relevant skills or experience to offer. Inconsidering candidates, departments and agencies should have regard to the nature of theapplicants previous experience, and its relevance to the current job. The applicant should betested against others where this is practicable. Departments and agencies should considercarefully whether more suitable candidates may be available and apply the recruitment principlesif they are in any doubt about an applicants suitability.

2.19 All individuals who are re-appointed under this exception must have been originallyrecruited by fair and open competition. They must meet the current competencies required forthe level of work offered. Departments and agencies should record how the suitability of thecandidate has been assessed. Re-appointment may take the form of reinstatement at the samelevel as that held on resignation, or re-employment at a higher or lower level.

2.20 If a former civil servant has been successful in an open competition departments andagencies are free to appoint on re-appointment terms.

Transfers into the Civil ServiceTransfers of staff into the Civil Service on the transfer of an undertaking governed bythe Transfer of Undertaking (Protection of Employment) Regulations (TUPE)

2.21 Under the provisions of TUPE such staff have an automatic right of transfer. Therecruitment provisions of the Civil Service Order in Council and this code are not relevant to

1 Except as provided in paragraph 1.7.2 of the Civil Service Management Code.



these circumstances. Where organisational issues arise related to transferring staff with theirwork into the Civil Service expert advice should be sought at an early stage from personneldivisions and legal advisers of the department or agency concerned.

Transfers of staff into the Civil Service with their work in circumstances not governedby TUPE

2.22 If such circumstances should arise, transfers of staff may be considered where it is inthe interests of the Civil Service to retain their expertise.

Transfers of staff into the Civil Service without work from another public body or service

2.23 The principle underlying decisions on such transfers is that only those recruited by fairand open competition should be eligible to transfer to Civil Service posts.

2.24 Staff employed by public bodies are eligible to apply for posts in the Civil Service(through trawls from recruiting departments or outplacement from shrinking organisations) inorder to accommodate staff surpluses and shortages, or individual cases of hardship, providedthat they were:

a. previously recruited into the Civil Service through fair and open competitionand directly transferred to a public body from a permanent post in the Civil Servicewithout a break in employment; or

b. recruited direct into a body staffed exclusively by civil servants as a matter ofpolicy; or

c. recruited direct into one of the bodies listed in the Appendix to Part II before1 September 1992, in accordance with the Civil Service recruitment rules in forceat the time.

2.25 It was decided in 1992 that staff recruited direct by public bodies not exclusively staffedby civil servants would no longer be eligible to apply for trawled posts from 1 September1992 because the recruitment procedures of those bodies ceased to be subject to general CivilService recruitment procedures and scrutiny by the Civil Service Commissioners. By contrast,direct recruitment to public bodies staffed exclusively by civil servants as a matter of policy(such as ACAS and the Health and Safety Executive) and recruitment to the ForestryCommission (a government department but not part of the Home Civil Service) continuedto be conducted in accordance with Civil Service standards and procedures and monitoredby the Civil Service Commissioners. Such staff therefore retained eligibility to Civil Serviceinterdepartmental transfers and trawls.

2.26 Transfers of staff between the Diplomatic Service and the Home Civil Service, and fromthe Northern Ireland Civil Service may take place freely, provided the individuals were recruitedthrough fair and open competition. For other public services and bodies, advice should besought from the Commissioners.

2.27 In all transfer cases, without or with work (unless governed by TUPE) selection andassessment procedures must assure the receiving department or agency that such staff are ofthe required standard.



Surplus acceptable candidates appointed to shortage posts2.28 From time to time departments and agencies may experience difficulties in filling certainposts because of tightness in the employment market or the scarcity of the relevant professionalor specialist skills. Such difficult posts may be considered shortage when:

a. senior management consider they have no prospect of filling them with qualifiedcandidates from within the Civil Service; and

b. recent experience has shown that external competition has not brought forwardacceptable candidates.

2.29 Where such shortages exist, consideration should be given to advertising the prospectsof alternative appointments in these areas when other posts are advertised. For example, wherea department has repeatedly had a shortfall in suitably qualified candidates at one level thepossibility of such alternative opportunities might be mentioned in advertising posts at anotherlevel. Candidates appointed under such a procedure would be regarded as having been recruitedunder fair and open competition on merit.

2.30 Cases may however exceptionally arise where it was not anticipated that a suitablecandidate for a shortage post would emerge from this competition, or the need arose after thecompetition had begun. In such a case an exception may be made to permit an applicantreaching an appropriate standard in one competition to be placed in a shortage post. Use ofthe procedure described in paragraph 2.29 should ensure that use of this exception is rare.

Disabled candidates2.31 The Order in Council contains special provision for the recruitment of disabled people.Departments and agencies may choose to offer encouragement and assistance in the processof selection to disabled applicants which are not available to other candidates. For example,they may guarantee an interview, or modify other selection arrangements used for non-disabledapplicants in the same competition by substituting the use of short answer tests orcompetence-based recruitment criteria for educational qualifications.

2.32 The definition of a disabled person to be used in this context is that of the 1995Disability Discrimination Act:

a person who, has a physical or mental impairment which has a substantial andlong-term adverse effect on his or her ability to carry out normal day to dayactivities.

For Civil Service purposes this means that:

a. the disability must last or be expected to last for at least 12 months;

b. conditions which have a slight effect on day-to-day activities, but are expectedto become substantial, are covered;

c. eligibility is based on self-declaration on the part of the applicant. In otherwords the applicants must themselves indicate that they have such a disability.

2.33 Further information on guaranteeing interviews for disabled people and on using theEmployment Service disability symbol is available from Development and Equal OpportunitiesDivision, Cabinet Office (OPS).



Exceptions reserved for the Commissioners2.34 All exceptions relating to appointments to the Senior Civil Service must be approvedby the Commissioners apart from appointments of less than 12 months. In addition theCommissioners alone may exercise discretion solely in relation to senior appointments under twofurther categories of exception. Use of both exceptions is expected to be very rare and decisionswould be taken collectively by the Commissioners and recorded in their annual report.

2.35 The first exception permits a permanent appointment (or for more than 5 years) to bemade if it can be justified for exceptional reasons relating to the needs of the Service and theproven distinction of the person. The second allows an appointment of a qualified candidateto be made after fair and open competition but not in order of merit. Further advice on theprocedures to be used for these exceptions is available in the separate guidance on Commissionersrecruitment to senior posts, available from the Office of the Civil Service Commissioners.



1.1 Annex A: Civil ServiceCommissioners Recruitment CodeAppendix to Part II

PUBLIC BODIES

The following is a list of Public Bodies as at 1 September 1992 which employed some staffeligible to respond to inter-departmental trawls.

Royal Commissions etc.

Commonwealth War Graves Commission

Countryside Commission

Meat and Livestock Commission

Monopolies and Mergers Commission

Racial Equality, Commission for

Royal Commission on the Ancient and Historical Monuments of Scotland

Royal Commission on the Ancient and Historical Monuments in Wales

Royal Commission on the Historical Monuments of England

Royal Commission on Historical Manuscripts

Rural Development Commission

Museums, Galleries and Libraries

British Library

British Museum

Imperial War Museum

National Army Museum

National Gallery

National Galleries of Scotland

National Library of Scotland

National Maritime Museum

National Museum of Science & Industry (Science Museum)

National Museums of Scotland

National Portrait Gallery

Natural History Museum

Royal Air Force Museum

Royal Armouries

Tate Gallery

Victoria and Albert Museum

Wallace Collection



Research Councils

Agricultural and Food Research Council (now part of Biotechnology and Biological SciencesResearch Council)

Economic and Social Research Council

Natural Environment Research Council

Science and Engineering Research Council (now part of Engineering and Physical ResearchCouncil and Particle Physics and Astronomy Research Council)

Public Boards and Authorities

Gaming Board for Great Britain

Northern Lighthouse Board

Others

Commonwealth Institutes London and Edinburgh

Countryside Council for Wales

English Nature (Nature Conservancy Council for England)

Historic Buildings and Monuments Commission (now English Heritage)

House of Commons

House of Lords

Metropolitan Police Office

National Curriculum Council (now part of School Curriculum and Assessment Authority)

Police Complaints Authority

Polytechnics and Colleges Funding Council (now part of Higher Education Funding Councilfor England)

Royal Botanic Gardens, Kew

Schools Examinations and Assessment Council (now part of School Curriculum and AssessmentAuthority)

Scottish Natural Heritage

Scottish Sports Council

Trinity House

Universities Funding Council (now part of Higher Education Funding Council for England)



1.1 Annex A: Civil ServiceCommissioners Recruitment CodePart III: Information to be Published

Introduction

3.1 The Civil Service Order in Council 1995 authorises the Commissioners to requiredepartments and agencies to publish summary information about their recruitment and theuse of permitted exceptions to the principles of fair and open competition and selection onmerit. This code, which is mandatory, sets out the minimum information to be published.

3.2 The aim of the requirement is to express and focus departments and agencies accountabilityfor the application of the key principles of fair and open competition and selection on meritand to make their recruitment processes more transparent, in the same way as the annualreports made by the Civil Service Commissioners do for senior recruitment. The vehicle forpublication is for departments and agencies to decide: they may wish to use their annual reportsor other annual public documents or they may choose to make the information availablethrough a Parliamentary Question. A copy of the information published should be sent to theCommissioners.

Minimum information to be published

3.3 The minimum requirements for publication are set out below. The information shouldrelate to all appointments including senior appointments subject to the Commissioners approval.The requirements are:

a. a statement that there are systems in place in the department or agency toensure that recruitment is carried out on the basis of fair and open competitionand selection on merit and in accordance with the recruitment code laid down bythe Civil Service Commissioners and that they are subject to internal check;

b. to provide context for the items which follow, numbers appointed at each level(in terms which make sense for the department or agency concerned);

c. the proportion of women, ethnic minorities and disabled people successful ateach level;

d. the number of occasions on which the permitted exceptions to fair and opencompetition and selection on merit have been used at each level (except forappointments of up to twelve months), divided into the following categories:

extensions of appointments of up to 12 months up to a maximum of 24months (with reasons);

recurrent short term appointments;

short term appointments where highly specialised skills required;

extensions of short term appointments beyond the initially publicised period,including conversions to permanency (with reasons);

secondments;

extensions to secondments (with reasons);

re-appointments of former civil servants;

transfers of staff with their work (not under TUPE);



transfers of staff from other public services without work (unless from apublic body staffed exclusively by civil servants);

appointments of surplus acceptable candidates to shortage posts;

appointments of disabled candidates under modified selection arrangements;

any use of the exceptions reserved for the Commissioners (i.e. appointmentson the basis of the proven distinction of the individual and appointmentsnot in order of merit).



1.1 Annex B: Civil ServiceNationality Rules1.1 ANNEX B: CIVIL SERVICENATIONALITY RULES

Statutory Basis

There is a statutory prohibition in the Aliens Restriction (Amendment) Act 1919 on the employmentof foreigners in the Civil Service but there are three legal exceptions. In 1991, the EuropeanCommunities (Employment in the Civil Service) Order (SI 1991/1221) enabled nationals of otherEuropean Community (EC) Member States and certain non-EC family members to be employedin many Civil Service posts. The European Economic Area (EEA) Act 1993 enabled nationals ofMember States of the European Free Trade Area (EFTA), except Switzerland and Liechtenstein,to be employed in the Civil Service, together with certain non-EFTA family members, on the samebasis as the nationals of EC Member States under SI 1991/1221. There is also a provision that,in exceptional circumstances, foreigners, other than EEA nationals and non-EEA family membersmentioned above, may be employed with an Aliens Certificate under the Aliens Employment Act1955. In addition, under the Civil Service Order in Council dated 15 March 1995 and the DiplomaticService Order in Council dated 5 February 1991, the Minister for the Civil Service and the Secretaryof State for Foreign and Commonwealth Affairs may make nationality rules governing recruitmentto the Home Civil Service and Diplomatic Service respectively. This annex summarises the statutoryposition and sets out rules in both cases. The Race Relations Act 1976 preserves the validity ofnationality rules governing eligibility for employment in the service of the Crown and certainprescribed public bodies.

Definitions

UK national is as defined in the UK Declaration on nationality for EC purposes madewith effect from 1 January 1983. These are: British citizens, British subjects under Part IVof the British Nationality Act 1981 having the right of abode in the UK, and BritishDependent Territories citizens acquiring their citizenship from connection with Gibraltar.The Declaration also notes the reference in connection with the Channel Islands and theIsle of Man, that any citizen of the UK and Colonies is to be understood as referringto any British citizen.

Commonwealth citizen means any person who has the status of a Commonwealth citizenunder the British Nationality Act 1981. This includes British citizens, British subjects withthe right of abode in the UK, British Dependent Territories citizens and British Overseascitizens. A further category British National (Overseas) was added in 1986.

British protected person means a member of any class or person declared to be Britishprotected persons by Order in Council under the 1981 Act, or by virtue of the SolomonIslands Act 1978.

EC Member States (besides the UK) comprise Member States of the European Community,i.e. Austria, Belgium, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg,Netherlands, Portugal, Spain and Sweden.

EFTA Member States, in this context, comprise the following European Free Trade AreaMember States: Iceland and Norway, from 1 January 1994 and Liechtenstein from 1 May 1995.

EEA national means a national of an EC or EFTA Member State as defined above.

Issue 1.1: June 1996 Civil Service Management Code 1/21

1.1 Annex B: Civil Service Nationality Rules

Family member means a specified family member of an EEA national who has movedto the UK from another EEA Member State for an approved purpose; the categories offamily member are:

the EEA nationals spouse;

a descendant of the EEA national or the spouse who is under 21 years of age or is theirdependant; or

a dependent relative in the ascending line of the EEA national or the spouse.

Notes

Applicants with dual nationality will be eligible for the Home Civil Service provided that oneof the nationalities meets the requirements.

Applicants from some countries may be subject to immigration control.

A period of residence in the UK is also required for certain posts under 3 and 4 below.

The Rules

1. Posts in the Home Civil Service where special allegiance to the state is required are reservedfor UK nationals. Most posts, however, are not in the reserved category and do not thereforerequire such special allegiance; they are additionally open to: Commonwealth citizens (whichincludes British Dependent Territories citizens, British Nationals (Overseas) citizens and BritishOverseas citizens); British Protected persons; EEA nationals of other Member States; andcertain non-EEA family members. Where a vacancy is in the non-reserved category allowingapplications from these groups, the recruitment publicity accompanying the application formshould say so.

2. Very exceptionally someone who falls outside the above groups may be considered for anappointment in the non-reserved category for up to 5 years under the Aliens Certificatearrangements in circumstances where it appears to the Minister for the Civil Service and tothe Minister of the employing department or agency that no suitably qualified person meetingthe relevant nationality criteria is available or that the individual has exceptional qualificationsor experience for the appointment.

3. For posts in HM Diplomatic Service and Home Civil Service posts under the Foreign andCommonwealth Office (except the Overseas Development Administration) you will be eligibleonly if:

a. you are a British1 citizen; and

b. the Secretary of State for Foreign and Commonwealth Affairs is satisfied thatyou are so closely connected with the United Kingdom, taking into account suchconsiderations as upbringing and residence, that you may properly be appointed.

4. For certain appointments under the Minister for the Civil Service, the Secretary of State forDefence or the Secretary of State for Foreign and Commonwealth Affairs, other than appointmentsin the Diplomatic Service, the relevant criteria above may apply or particular requirements maybe prescribed.

1 If you hold dual nationality (i.e. you are a British citizen and also a national of anothercountry), you should check whether holding that second nationality could cause anyproblems. If you want guidance on this, contact the Head of Recruitment, Foreign andCommonwealth Office (PMD), London SW1E 5HE.

1/22 Civil Service Management Code Issue 1.1: June 1996

1.1 Annex B: Civil Service Nationality Rules

1.2 Working Arrangements1.2 Working Arrangements1.2.1 Departments and agencies have authority to determine for their own staff part-time orother working arrangements, as alternatives to full-time permanent appointments, subject tothe following conditions.

Conditions

1.2.2 Departments and agencies must ensure that:

a. recruitment is in accordance with Section 1.1;

b. they consult Civil Service Pensions Division, Cabinet Office (OPS) to determinewhether and how the Principal Civil Service Pensions Scheme applies;

c. they take legal advice about such matters as letters of appointment and whethercontinuity of service is likely to be established; and

d. terms and conditions (including pay) for part-time staff are in proportion tothose for full-time staff.

Casuals

1.2.3 Casual staff have temporary appointments to meet short term needs. Such appointmentsmay be made only where there is a genuine need to employ people for a short period, andmust be for less than 12 months. In exceptional circumstances a casual appointment may beextended for a period up to a maximum of 24 months.

1.3 Probation1.3 Probation1.3.1 Departments and agencies have authority to determine whether staff (other than recruitsto the Fast Stream Development Programme) should be required to serve a period of probationand the terms of that probation. Any period of probation must not exceed 2 years.

1.4 Letters of Appointment andInformation on Pensions1.4 Letters of Appointment andInformation on PensionsLetters of appointment

1.4.1 Sections 1 to 7 of the Employment Rights Act 1996 give most employees, includingcivil servants, the right to receive a written statement of their main terms and conditions withintwo months of starting work. Departments and agencies must therefore provide such a statementto staff covered by the Act. The contract fulfils this need for members of the Senior CivilService.

1.2 Working Arrangements

Issue 1.1: September 1996 Civil Service Management Code 1/23

Information on Pensions

1.4.2 New entrants must be provided with copies of the following explanatory booklets abouttheir pension position (preferably with their letter of appointment and within two months ofstarting work):

a. Your Pension Scheme benefits explained; and

b. Your Pension, setting out the available choices:

membership of the Principal Civil Service Pension Scheme (PCSPS); or

opting out of the PCSPS in favour of the State Earnings Related PensionScheme or personal pension arrangements.

1.4.3 New entrants must be made aware on or prior to entry of the time limits governingtransfers of their existing pension rights into the PCSPS by providing them with a copy ofthe booklet Transferring your Pension Rights into the Principal Civil Service Pension Scheme.The fact and the date of the provision of this information must be noted on the officerspersonal file.

1.5 Fast Stream DevelopmentProgramme1.5 Fast Stream DevelopmentProgramme1.5.1 The Administrative, European, Economist, Statistician, and Science and EngineeringFast Stream Development Programmes provide training and development for people who canbe expected to achieve rapid promotion off the programme (in accordance with departmentsown grading procedures) and have the potential to progress to at least the entry level of theSenior Civil Service before they retire.

Methods of entry and qualifications for appointment

1.5.2 Entry is by open recruitment or in-service nomination (Administrative, European, andScience and Engineering Fast Streams only). Departments and agencies may also assess internalcandidates for selection to the Fast Stream Development Programme through proceduresapproved by the Cabinet Office (OPS).

Central scheme: open recruitment

1.5.3 The minimum requirement to compete in the Administrative, European and Economist(Cadet Economist) Fast Stream schemes is a Second Class Honours Degree or equivalentqualification. This requirement is waived for serving staff who have attained at least juniormanagement level or its equivalents, and who have passed their period of probation.

1.5.4 The minimum requirement for the Statistician, Economist (Economic/Senior EconomicAssistant, Economic/Senior Economic Assistant Europe), and Science and Engineering FastStream schemes is a Second Class Honours Degree in a relevant subject. For the Science andEngineering scheme this requirement is waived for serving staff who have attained at leastjunior management level or its equivalents, and who have passed their period of probation.This waiver does not apply to the Statistician and Economist Fast Stream schemes.

1.5 Fast Stream Development Programme


Central scheme: in-service nomination

1.5.5 Serving staff may enter under the in-service nomination arrangements for theAdministrative, European, and Science and Engineering Fast Streams provided they arenominated by their department or agency which can provide an annual report or equivalentaid to assessment.

1.5.6 Nominees for the Administrative Fast Stream are exempt from the normal degreerequirement and the pre Civil Service Selection Board stages but are normally expected tohave completed two years service. Nominees for the Science and Engineering Fast Stream neednot fully meet the educational requirements if they have at least two years service. Candidatesfor the European Fast Stream must have a degree (of any class) in order to meet the degreerequirements of the European Institutions.

Departmental or agency assessment

1.5.7 Departments and agencies may assess internal candidates for the Administrative FastStream. In the interests of ensuring consistent standards, departmental and agency assessmentprocedures must be checked and approved by Fast Stream and European Staffing Division,Cabinet Office (OPS) as being equivalent in thoroughness and standard to the central assessment.

Age limits for the European Fast Stream

1.5.8 With minor exceptions, candidates for the European Fast Stream must be 31 or underin order to allow for the age limits imposed by the European institutions.

Appointment

1.5.9 Departments and agencies are responsible for determining the pay and grading of theirFast Stream recruits - with the exception of the European Fast Stream where responsibilityrests with the Cabinet Office (OPS). Appointments to the central scheme are made on therecommendation of the Final Selection Board. Candidates for the Administrative Fast Streamwho demonstrate that they can undertake a range of responsibilities at the level to which FastStream appointees would normally expect to be promoted may exceptionally be recommendedfor appointment at that level. In the European Fast Stream this is possible only for qualifiedlawyer candidates.

1.5.10 Fixed term appointments are not appropriate for members of the Fast StreamDevelopment Programme.

Probation

1.5.11 Recruits to the Fast Stream Development Programme must serve a probationary periodset by their department or agency (usually 2 years). Fast Stream and European Staffing Division,Cabinet Office (OPS) must be consulted before determining the probation period of EuropeanFast Streamers.

1.5.12 Where an external appointee no longer demonstrates the potential for early promotionoff the programme - and ultimately to the entry level of the Senior Civil Service - departmentsand agencies may terminate the appointment, or offer an appointment at another level providedthat the normal standard of entry to that level is met. Internal appointees who fail the probationperiod will revert to their former status or, if appropriate, be employed at any other level for

1.5 Fast Stream Development Programme


which the normal standards of entry are met in line with the relevant pay and gradingarrangements. Departments and agencies should ensure that recruits are advised on appointmentof the consequences of failing probation.

Failure to reach the standard for promotion

1.5.13 Places on the Fast Stream Development Programme are time limited. Appointeeswho pass their probation but fail within 4 years of completing probation, to demonstratethe potential for which they were selected should be removed from the Fast StreamDevelopment Programme. Only in exceptional circumstances (e.g. where secondment hastaken staff out of the Civil Service reporting system, or where no vacancies for promotionhave arisen) should anyone continue on the Fast Stream Development Programme for morethan 4 years after completion of probation. Departments and agencies must ensure thatrecruits are advised on appointment of the consequences of failing to reach the standardfor promotion.

1.6 Appointment and Management ofSpecialists1.6 Appointment and Management ofSpecialists1.6.1 In some areas, Heads of Profession, supported by central management units, have beenappointed by the Head of the Home Civil Service to supervise the well-being of their respectiveservices, to provide central management of the individuals within them, and to ensure thatthe Civil Service obtains maximum benefit from its employment of specialists. Departmentsand agencies may choose to participate in these arrangements when appointing relevantprofessional staff. If they do, they must agree with the appropriate central management unithow the recruitment and career development of such staff will be handled.

1.7 Re-appointment: Reinstatementand Re-employment1.7 Re-appointment: Reinstatementand Re-employment1.7.1 Departments and agencies have authority to determine arrangements for there-appointment of staff following an earlier period of employment in the Civil Service whichsatisfies article 6(1)(d) of the Civil Service Order in Council 1995 (see Introduction, AnnexA), and paragraphs 2.18 to 2.20 of the Commissioners Recruitment Code (see Section 1.1Annex A), subject to the following conditions.

Conditions

1.7.2 Unless specified at the date of resignation, there is no entitlement to re-appointment.Specific arrangements apply to staff who return:

a. after service with the European Institutions (Section 10.4);

b. after service with HM Forces. In this case arrangements would be based on theReserve Forces (Safeguard of Employment) Act 1985; or

c. following Parliamentary candidature (Section 4.4).

1.7 Re-appointment: Reinstatement and Re-employment


1.7.3 Departments and agencies must ensure that:

a. applicants were selected for their former appointments in accordance with CivilService recruitment procedures operating at that time;

b. where an applicant was previously retired on medical grounds, the approval ofthe OHSA is obtained; and

c. the Paymaster is notified when a civil service pensioner is re-appointed.

1.7.4 Former civil servants serving on Government committees but doing no other civil servicework must be treated as office holders and not as re-appointments to the Civil Service.

1.8 Conditional (Health)Appointments1.8 Conditional (Health)Appointments1.8.1 Departments and agencies

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Civil Service Management Code-UK

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