Functional Safeguards - Staff Management
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- Segregate duties as far as possible (e.g. recruitment, performance supervision, wage payment)
- Require HR department to maintain up-to-date personnel records with access restricted to authorised staff only
- Include in employment contracts a clause requiring compliance with the company’s Code of Conduct, and issue a copy to each staff member upon appointment
- Organise conduct and corruption prevention training for staff with ICAC’s assistance
- Set out duties and core competency requirements for each post
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- Require staff involved in recruitment to declare any conflict of interest (e.g. personal relation with candidates) and take appropriate mitigating measures (e.g. refraining from handling relevant duties)
- Lay down job descriptions, qualifications and experience required, and seek senior management approval as necessary
- Conduct open recruitment exercises as far as practicable
- Require HR department to vet all candidates’ applications against basic requirements before shortlisting for interviews
- Pre-determine selection criteria and prohibit modifications during the interviewing process
- Appoint a recruitment panel (comprising managerial staff from user and HR departments) to conduct interviews, assessments and selection
- Where employee referrals are accepted, prohibit staff from accepting advantages from candidates and require declaration of relationship at the outset
- Document each candidate’s assessment, preferably using a standard form
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- Require requests for temporary staff to be approved by managerial staff at appropriate level with justification and endorsed by HR department as necessary
- Set standard hourly or daily rates for temporary jobs
- Where regular demand is anticipated, maintain a pool of suitable candidates recruited through proper procedures and allocate work on a fair share principle
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- Establish a fair and transparent system for allocating duties with extra earnings (e.g. overtime) or are onerous in nature
- Require overtime work to be approved by managerial staff at appropriate level with justification and estimation of hours required
- Maintain a staff duty roster to facilitate monitoring and fair allocation
- Produce periodic reports on overtime duties allocated for management review as necessary
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- Use electronic attendance recording systems (e.g. mobile devices, smart card access, biometric recognition) to record staff attendance
- Place attendance recording devices in open areas and assign supervisors to monitor recording at the beginning and end of each shift
- Retain attendance records for a reasonable period to facilitate checking
- Require managerial staff to conduct surprise checks on attendance, including night duties and remote sites
- Assign an independent unit (e.g. accounting or HR) to review overtime claims
- Analyse and compare periodically the output of units, man-hours and overtime worked to identify unusual trends for scrutiny
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- Lay down salary ranges or rates for each post, and require any offer exceeding the limit to be approved by senior management
- Establish criteria and mechanisms for salary adjustments and non-standard payments (e.g. year-end bonus, sales commissions)
- Make known to staff all available benefits (e.g. housing loans, subsidies, travel allowances), eligibility criteria and application procedures
- Require senior management approval for salary adjustments, non-standard payments and other benefits
- Adopt a fair allocation mechanism (e.g. ballot or scoring system based on years of service) if staff benefits are subject to quota (e.g. staff quarters)
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- Make known to all staff the core competency requirements and performance standards for each post
- Design standard appraisal forms based on established competencies and performance standards
- Require appraisal reports to be made by immediate supervisors and counter-signed by more senior staff or department heads
- Allow staff to read their appraisal reports and provide opportunity for interview with supervisors or senior staff as necessary
- Establish and communicate promotion assessment criteria based on core competencies and performance standards
- Appoint a panel to assess eligible candidates for promotion and properly document assessments and deliberations
- Establish procedures for disciplinary actions involving senior management, lay down disciplinary actions for misconduct or breaches of discipline and make the policy known to all staff; and ensure fairness in taking disciplinary actions
