E. Supplementary Notes - Human Resources Management

Quick Checklists related to Human Resources and Personnel Matters

(i)

 Staff Recruitment

Entry Requirements 

• Clearly define the minimum entry requirements of the post (e.g. academic and professional qualifications, years of relevant experience, aptitude and any special skills), and seek approval from the SMC/IMC.

Advertisement of Job Vacancies

• Advertise job vacancies in newspapers and on the website of the organization/ school to enhance transparency.

• State clearly in the advertisement the job description, entry requirements and other essential information, such as the application deadline, any written test, the correspondence address (and email address if any), and the enquiry telephone number if available.

Receipt of Applications

• Record all applications received in a register or file all applications properly date stamped upon receipt to prevent tampering of applications.

• Receive late applications only with the approval of the designated authority (e.g. senior managerial staff) and document the justifications.

• Require all staff involved in the selection process to declare any potential or actual conflict of interest and refrain from participating in the process if a conflict has been declared (e.g. a candidate is a relative or personal friend).

Arrangement of Written Test (if applicable)

• Arrange a written test as required and draw up a question paper with model answers and a marking scheme (in consultation with the user section if appropriate) for the management’s approval.

• Ensure the question paper is kept securely before the test to prevent leakage.

• Arrange an invigilator to supervise the test and to collect the question and answer papers at the closing time.

• Assign competent staff to mark the answer papers according to the model answers.

• Record the marks scored by individual candidates for further screening.

• Vet all applications to ensure the candidates meet the entry requirements.

• Keep the screened out applications for review or audit.

• Appoint a selection panel comprising representatives from the functional committees or subject panels as appropriate to interview the short-listed candidates.

• Design an assessment form showing the attributes for assessment and the corresponding marks or weightings, and require individual panel members to give marks on their own.

• Record the combined scores of each candidate after the interview and the comments of the panel members on the form.

• Prioritize the candidates according to their scores (if the first candidate does not accept the offer, the offer should go to the next on the priority list and so on to ensure fairness).

• Make recommendations for selection to the management for approval, giving justification if the highest scoring candidate is not recommended for selection.

• Arrange a second interview by the management if necessary.

• Designate the authority to approve the panel’s recommendation and document the decision properly, in particular the reason if the panel’s recommendation is not accepted.

• Verify the academic qualifications and working experience of the successful candidate(s) before offer of appointment.

• Attach to the appointment letter the terms of employment, including the remuneration package.

• Include explicit contractual obligations and penalties (e.g. termination of employment) in relation to corruption and misconduct in the employment contract.

• Record all refusals of offer and ensure subsequent offers are made to candidates according to their priority.

Under SBM, DSS schools are held accountable to their stakeholders and the community for the use of public funds. They are required to establish a proper and transparent mechanism to determine the staff’s remuneration packages and ensure that the mechanism is implemented properly with sufficient checks and balances. They are also required to ensure that the remuneration packages are fair and justifiable. The criteria such as qualifications, experience, performance and expertise, and the approving authority for determining the remuneration package of an appointee and any subsequent salary adjustment have to be clearly set out.

As staff remuneration constitutes a major part of school’s expenses, comparison with the remuneration of civil servants at comparable ranks should be made when determining the appropriateness of remuneration packages for senior positions. It is advisable to observe the "modest and conservative" principle at all times.

• Determine the salary scales and fringe benefits for each rank of staff or post.

• Lay down the criteria and approving authority for determining the remuneration package of individual appointees, taking into account his/her qualification, working experience and expertise as well as the market rate.

• Require the responsible staff to seek approval from the SMC/IMC for any offer which deviates from the remuneration package.

• Specify the criteria and formula for calculating pay adjustments and non-standard payments (e.g. performance bonus or duty allowance).

• Require any adjustment of salaries, benefits, and non-standard payments to be approved by the senior management.

• Pre-determine and make known to all staff the core competencies and performance standards of each rank or post.

• Devise for each rank or post a standard form covering all relevant core competencies to be assessed.

• Define clearly the duties of the appraisee, appraising officer, counter-signing officer and reviewing officer, and specify the staff for the respective duties at the beginning of the appraisal period.

• Form a review panel to moderate the performance ratings of the appraisal reports if the SMC/IMC deems necessary.

• Establish a channel for handling appeal for review lodged by appraisees.

• Record all comments on the performance of an appraisee using a standard performance appraisal form.

• Allow the appraisees to read and acknowledge the comments made in their appraisal reports, and ensure the management will follow up the appraisees’ comments, if any.

• Lay down and make known to all staff the eligibility criteria for promotion.

• Announce the timing of a promotion exercise to the staff concerned.

• Appoint a promotion board to assess all eligible candidates for promotion based on the pre-determined criteria, with reference to their appraisal reports for a certain period of time (e.g. three to four years).

• Establish the interview procedures and design an assessment form for use by the board members if a promotion interview is conducted.

• Provide a review channel for unsuccessful candidates.

• Require all members of the promotion board to declare and record any conflict of interest, and refrain from participating in the process if a conflict is declared (e.g. the candidate under consideration is a relative or personal friend).

• Prepare a report on the candidates recommended for promotion, in order of priority, for approval by the specified level of authority.

• Announce the promotion results as soon as possible to avoid speculation.

• Lay down and make known to all staff the circumstances warranting different forms of disciplinary actions and the procedures that will be taken in the case of misconduct or breach of regulations.

• Ensure fairness and consistency in taking disciplinary actions by involving the SMC/IMC.

• Maintain proper records of disciplinary actions taken.

• Publicize the channels and adopt user-friendly procedures for lodging staff complaints.

• Reassure the complainants that all information given will be handled in strict confidence.

• Assign a staff member, at the appropriate rank and not the subject of the complaint, to investigate the complaint.

• Record and follow up on all complaints promptly.

• Escalate the investigating authority in case of repeated complaints.

• Maintain a proper record of the investigation details of each complaint.

• Submit an investigation report to a designated authority for consideration and recommendation of disciplinary action, if applicable.

• Endorse by an appropriate level of authority before closure of a complaint case.

• Inform the complainant of the outcome after investigation.

• Any full-time staff who wish to take up employment outside the school must seek the prior written approval of the approving authority as prescribed by the SMC/IMC.

• The approving authority should consider whether the outside employment would give rise to a conflict of interest with the staff’s duties or the interest of the school.

• Lay down the leave application procedures and requirements for granting paid or no-pay leave (including sick leave, casual leave, maternity leave, annual leave, special TB leave, leave for injury at work, etc.) by taking into account of the requirements of the Employment Ordinance.

• Maintain proper staff leave records.

• Lay down the criteria and approving authority for granting staff leave. Recommended approving authorities are tabulated below:

    (b) for a term for not less than 6 months, shall be approved by the majority of the

         managers of the school.

    (b) for a term for not less than 6 months, shall be approved by the majority of the

         managers of the school at a meeting of the management committee or incorporated 

         management committee (as may be appropriate). 

School Administration Guide (SAG) – Chapter (ch.) 7 on Personnel Matters (for reference only)

http://www.edb.gov.hk/en/sch-admin/regulations/sch-admin-guide/index.html

Guide to Salary Assessment for Aided Primary Schools and Guide to Salary Assessment for Aided Secondary Schools (Salary Guides)

http://www.edb.gov.hk/en/sch-admin/admin/about-sch-staff/salary-assessment/guides.html

The Selection and Appointment of a School Principal issued by EDB

http://www.edb.gov.hk/attachment/en/teacher/qualification-training-development/development/cpd-principals/EN_Guide_2011(revised)_2014.pdf

(i)

Guidelines on Handling Complaints, EDB

http://edb.gov.hk/en/sch-admin/admin/pilot-scheme/index.html

SAG – Ch. 4.4 on Strategies for Handling Complaints (for reference only)

http://www.edb.gov.hk/en/sch-admin/regulations/sch-admin-guide/index.html

SAG – Ch. 7.9 on Handling Staff Complaints (for reference only)

http://www.edb.gov.hk/en/sch-admin/regulations/sch-admin-guide/index.html

EDBC No. 1/2006 on Granting of Leave in Aided Schools

http://applications.edb.gov.hk/circular/upload/EMBC/EMBC06001E.pdf

ER - Regulation 64 on Accounts

The management authority of every school shall-

(a) keep proper accounts;

(b) make the accounts and any vouchers relating to the accounts available at all reasonable

     times for inspection by the Permanent Secretary or any inspector of schools; and

(c) retain the accounts and vouchers for a period of not less than 7 years.

On the principle of school-based management, DSS schools may exercise discretion to formulate its record retention and disposal policy. Nonetheless, schools should comply with the provisions in the Personal Data (Privacy) Ordinance and refer to the Code of Practice on Human Resources Management issued by the Office of (PCPD), which should be properly documented.