Chapter 2
Chapter 2
Civil Service Appointments
2.1
Maintaining a workforce of civil servants who are dedicated to their
duties, committed to the rule of law, and being objective and impartial in the
discharge of duties is of vital importance to the effective governance of the
Government. As a backbone of the HKSAR Government, all civil servants
are duty-bound to observe and implement “One Country, Two Systems”.
Civil Service appointment has therefore to be highly selective to ensure that
only the most suitable and meritorious are appointed and recruited into the
Civil Service.
2.2
In 2021, the Commission considered and tendered advice on 1 379
submissions. Of them, 1 350 were appointment-related and the remaining
29 were related to conduct and discipline. These submissions were the
result of the hard work of B/Ds. Altogether, 157 recruitment and 742
promotion exercises were conducted to fill new vacancies and replenish
the manpower needs of B/Ds. Behind these two figures are hundreds and
thousands of applicants and candidates whose applications for appointment
and claims for promotion have to be meticulously assessed. In addition,
the Commission advised on 26 submissions concerning extension of service
or re-employment after retirement. Of these, 25 further employment
cases were put up under the adjusted mechanism promulgated by CSB in
June 2017. Another 247 submissions involved extension or termination of
officers appointed on probation or trial service. The remaining 178 were
other appointment-related cases.
2.3
Apart from tendering advice and observations on case-specific
submissions, the Commission also works closely with CSB to provide
comments on new appointment policy, to improve and streamline appointment
procedures and to propose subjects for review where appropriate. An
account of the Commission’s work is detailed in this Chapter.
Civil Service Recruitment
2.4
Recruitment to the Civil Service is undertaken by CSB and individual
B/Ds which may take the form of an open recruitment or in-service
appointment or both. Where submissions are required to be made to
the Commission5, we will need to be satisfied that objective selection standards and proper procedures are adopted in the process. B/Ds are
required to consult the Commission in advance on the introduction of any
new shortlisting criteria in a recruitment exercise to ensure that they are
appropriate and fair. We also advise B/Ds on measures to enhance the
efficiency and effectiveness of the recruitment process so that offers can be
made to successful candidates as early as possible.
5
They refer, for the purpose of recruitment, to ranks attracting a maximum monthly salary not less
than the amount specified at Master Pay Scale Point 26 ($53,500 as at end-2021) or equivalent, but
exclude (a) the basic ranks of non-degree entry and non-professional grades; and (b) judicial service,
the Independent Commission Against Corruption and the disciplined ranks of the Hong Kong Police
Force which are specifically outside the purview of the Commission.
2.5
In 2021, the Commission advised on 157 recruitment submissions involving
the filling of 1 597 posts, of which 1 545 posts (in 150 exercises) were
through open recruitment and 52 posts (in seven exercises) by in-service
appointment. A statistical breakdown of these appointments and a
comparison table showing the number of recommendees in 2021 and that of
the past four years are provided at Appendix IV. Some specific observations
made by the Commission on the recruitment submissions advised in the
year are provided in Chapter 3.
Basic Law Test
2.6
Since September 2008, BL knowledge assessment has been included in
the recruitment process for all civil service positions. Applicants for civil
service positions requiring academic qualifications at or above completion
of secondary education level must sit for the BL Test, the result of which
will carry an appropriate weighting in a candidate’s overall assessment. To
promote the learning and deepen the understanding of the BL, CSB has
reviewed and decided to require a pass result in the BL Test as an entry
requirement for these positions in all civil service recruitment exercises
advertised on or after 6 August 2021. Regardless of the performance of
the candidates in other parts of the assessment, applicants for the civil
service posts concerned must obtain a pass in the BL Test to qualify for
consideration of appointment. The Commission is in full support of setting
knowledge of the BL as a mandatory requirement for entry into the Civil
Service. Looking ahead, CSB has undertaken to review and update the
assessment content of the BL Test to include the Law of the People’s Republic
of China on Safeguarding National Security in the HKSAR in the scope of
the assessment to reflect the requirements of the jobs under application.
The Commission looks forward to offering our views in the course of the
CSB review.
Civil Service Promotion
2.7
The role of the Commission in advising the Government on promotions6 in the
Civil Service is to ensure that only the most suitable and meritorious officers
are selected to undertake the higher rank duties through a fair and equitable
promotion system. In examining promotion submissions from B/Ds, the
Commission will need to be satisfied that proper procedures have been
followed and that the claims of all eligible officers have been fairly and fully
considered regardless of their terms of appointment against the criteria of
ability, experience, performance, character and prescribed qualifications,
if any. The Commission also makes observations on the conduct of
promotion exercises and matters relating to performance management with
a view to bringing about improvements where inadequacies are identified
and enhancing the quality of the overall Civil Service promotion system as
a whole.
6
Under the purview of the Commission, recommendations on promotion to middle and senior ranks, i.e. those
attracting a maximum monthly salary not less than the amount specified at Master Pay Scale Point 26 or equivalent,
are required to be submitted to the Commission for scrutiny and advice. The judicial service, the Independent
Commission Against Corruption and the disciplined ranks of the Hong Kong Police Force are outside the purview
of the Commission.
2.8
In 2021, the Commission advised on 742 promotion submissions involving
the recommendations of 9 634 officers for promotion or acting appointment.
Promotions have to be earned and based on merits. In a great majority of
cases, competition is keen. The recommendations of a promotion board have
therefore to stand up to scrutiny and the relevant board has to answer the
queries raised by the Commission and provide justifications and objective
evidence to support them. A numerical breakdown of these submissions and
a comparison with those in the past four years are provided at Appendix V.
Some specific observations made by the Commission on these submissions
are provided in Chapter 4.
Declaration of interest in recruitment and promotion exercises
2.9
To guard against any real or perceived conflict of interest in Civil Service
appointments, the Government has established a well-tested declaration
of interest mechanism governing the conduct of Civil Service recruitment
and promotion exercises. The chairman and members of a recruitment/promotion board are required to declare, before the board meeting, whether
their relationship with any of the eligible candidates would constitute
or may be perceived as having a conflict of interest. The Appointment
Authority (AA) will, after taking into account the degree of closeness of the
relationship involved and the associated real/perceived conflict of interest,
decide on an appropriate course to take. The AA may direct changing the
composition of the board, or requesting the board chairman/members to
withdraw from the board temporarily, or to abstain from assessing the claim
of the declared candidate.
2.10
In consultation with the Commission, CSB conducted and completed
a review in November 2021. The declaration mechanism is streamlined
such that if a board chairman or member declares an interest with a
candidate, and the relationship so declared has been considered by the same
AA in a previous exercise, it is not necessary to submit the declaration again
provided that there is no change in the details of the declaration and that
no mitigating action (such as withdrawing from the board temporarily or
abstaining from assessing the claim of the declared candidate) is required to
be taken. The Commission supports the refinement and considers it sensible
to strike a balance between safeguarding the integrity of the mechanism and
minimising bureaucratic red tape. CSB has also taken the opportunity to
remind B/Ds to impress officers appointed to be chairmen and members of
promotion boards on the importance to exercise prudence and judgement in
making declarations.
Extension of Service of Civil Servants
2.11
Pursuant to the Government’s policy decision announced in January
2015 to extend the service of civil servants, an adjusted mechanism for
further employment beyond retirement age for a longer duration than final
extension of service (hereafter referred to as “FE”) was fully implemented
from June 2017 after consulting the Commission.
The FE scheme
2.12
Under the FE scheme, eligible officers may be considered for FE
through a selection process, which has been institutionalised by making
reference to the modus operandi of promotion and recruitment boards. The
Commission’s advice is required for FE if the posts concerned are under our
purview. In 2021, 25 FE submissions were put up to consider applications for extension of service. With the support of the Commission, the service
of 126 officers were extended for a period ranging from about four months
to 4.5 years in aggregate. A breakdown of the number of extension of
service or re-employment after retirement cases advised by the Commission
in 2021 and a comparison with those in the past four years are provided at
Appendix VI.
2.13
In 2021, CSB completed a review of the FE scheme as planned. The review
results reaffirmed that the FE scheme has provided B/Ds an avenue to
retain experienced civil servants to sustain the services of B/Ds. It has also
served to meet short-term manpower gaps and facilitate succession planning
particularly for grades which are experiencing severe bunching of retirement
at certain ranks. In light of the experience gained in implementing the
scheme, CSB has fine-tuned some arrangements in respect of applications for
final extension of service (up to 120 days)7. With effect from September
2021, irrespective of whether the final extension is to take effect upon
attaining the retirement age or after the completion of FE of the officer
concerned, all applications henceforth will be processed and approved in
accordance with CSB Circular No. 2/2016 and the approving authority is
the same as that set out in Civil Service Regulation (CSR) 276(4). The
advice of the Commission on these applications is no longer required.
CSB has assured us that the total duration of the FE period(s) and the
final extension of service to be granted for an officer will be capped at a
maximum of five years under the present policy. The Commission is pleased
to note that applications for FE were considered and approved with full
regard to the approval criteria thereby safeguarding the interests of serving
officers with no undue promotion blockage caused as a result of the FE.
The Commission will continue to monitor the operation of the FE scheme
and provide feedback to CSB as necessary.
7
In accordance with CSR 276(4), the relevant HoDs/Heads of Grade or the Secretary for the Civil Service
(for cases of HoDs) may approve applications for final extension of service of civil servants for a
maximum period of 120 days (exclusive of leave earned during the extension) on operational or
personal grounds beyond retirement age.
Management of Officers on Probation/Trial
2.14
The purpose of requiring an officer to undergo a probationary/trial
period is manifold. They include –
(a)
providing an opportunity for the appointee to demonstrate his suitability
for further appointment in the Civil Service;
(b)
allowing the AA to assess the performance and conduct of the appointee
and be satisfied that he is fit for continuous employment; and
(c)
giving the appointee time to acquire any additional qualifications or pass
any tests prescribed for further appointment.
To uphold the proper administration of the probation/trial system, HoDs/Heads of Grade (HoGs) have the overall responsibility of overseeing the management of officers on probation/trial including the provision of necessary training, coaching and counselling to help them fit into their jobs. Continual monitoring and regular feedback on their performance aside, B/Ds are required to take timely action to address any problems that may surface during the probationary or trial period.
To uphold the proper administration of the probation/trial system, HoDs/Heads of Grade (HoGs) have the overall responsibility of overseeing the management of officers on probation/trial including the provision of necessary training, coaching and counselling to help them fit into their jobs. Continual monitoring and regular feedback on their performance aside, B/Ds are required to take timely action to address any problems that may surface during the probationary or trial period.
2.15
To maintain a robust workforce, HoDs/HoGs should adopt stringent
suitability standards in assessing the performance and conduct of officers
on probation/trial to ensure that only those who are suitable in all respects
are allowed to pass the probation/trial bar. According to the guidelines
promulgated by CSB and as provided for under CSRs, termination of an
officer’s probationary/trial service is not a punishment. If at any time during
the probationary/trial period, an officer on probation/trial is found to have
failed to measure up to the required standards of performance/conduct or
has shown attitude problems and displayed little progress despite having
been given guidance and advice by their supervising officers and/or the GM,
the HoD/HoG concerned should take early and resolute action to terminate
his service under CSR 186/200 without the need to wait until the end of
the probationary/trial period or recourse to disciplinary proceedings.
2.16
Extension of probationary/trial period should not be used as a substitute for
termination of service or solely for the purpose of giving an officer more
time to prove his suitability. In accordance with CSR 183(5)/199(3), a
probationary/trial period should normally be extended only when there have
not been adequate opportunities to assess the officer’s suitability for passage
of the probation/trial bar because of his absence from duty on account of
illness or study leave; or when there is a temporary setback on the part of
the officer in attaining the suitability standards or acquiring the prescribed
qualifications for passage of the probation/trial bar beyond his control. It
is only in very exceptional circumstances where the officer, though not
yet fully meeting the suitability standards, has shown positive and strong
indication to be able to achieve the standards within the extension period
that an extension of his probationary/trial period should be granted. Besides,
the period of an extension should not be decided arbitrarily. Rather, B/Ds
should fully consider the circumstances and merits of each case and assess
the time required by the management to come to a view on whether the
officer concerned should be allowed to pass the probation/trial bar.
2.17
In 2021, the Commission recorded a total of 69 cases requiring the
termination of probationary/trial service of the officers concerned.
It represents a 165% increase from 26 cases in 2020. Among them,
56 cases were related to unsatisfactory performance/conduct, and the rest
were related to probationers who failed/refused/neglected to comply with
the requirement to sign a declaration to uphold the BL, bear allegiance
to the HKSAR, be dedicated to their duties and be responsible to the
HKSAR Government8. There were another 178 submissions involving
extension of probationary/trial service in the year. Most of these extensions
were needed to allow time for the officers concerned to demonstrate their
suitability for permanent appointment/passage of trial bar on grounds of
a temporary setback in performance, minor lapses in conduct or absence
from duty for a prolonged period due to the officers’ health conditions, or
pending the acquisition of requisite qualifications prescribed for continued
appointment. A statistical breakdown of these cases and a comparison with
those in the past four years are provided at Appendix VII.
8
In October 2020, CSB required all civil servants who joined the HKSAR Government on or after
1 July 2020 to declare that they would uphold the BL, bear allegiance to the HKSAR, be dedicated
to their duties and be responsible to the HKSAR Government. In January 2021, CSB extended
the declaration requirement to all civil servants who were appointed to the civil service before
1 July 2020.
Assessment of suitability for passage of probation/trial bar
2.18
B/Ds have in general been vigilant in applying a stringent standard in
assessing an officer’s suitability for passage of the probation/trial bar. In some
cases, however, the Commission has noted inadequate supervision on the part
of frontline managers. In examining a termination case, the Commission
was concerned that the multiple and prolonged acts of misconduct of a
probationer only came to light through investigation of a complaint lodged
with the department. Had the supervising officer conducted regular checks instead of just relying on telephone communications and weekly
verbal reports, proactive management action to terminate the service of
the probationer would have been taken earlier. The case has highlighted
the need for B/Ds to adjust and innovate their management strategy in
exercising staff supervision especially over those working in outposts. The
Commission has advised the department to review its existing practice and
consider the adoption of new technologies to facilitate supervising officers
to better discharge their supervisory duties. While public complaint can
serve as a feedback, proactive monitoring and quality service assurance must
remain a prime responsibility of the management.
Performance management of officers on probation/trial
2.19
Appraisal is an integral part of the performance management system. It is
a tool with which staff performance is monitored and assessed. It is
also a means to provide feedback for staff development. For officers on
probation/trial, timely feedback is all the more important as they need to
know how they have been performing and be given the chance to improve
their shortcomings. In an extension case of the trial service of an officer,
the Commission was disappointed to find that out of six appraisal reports
written during the trial period, three were completed late with one late for
14 months. Moreover, the written assessment of all the three reports was
almost identical. Such practice defeats the very purpose of performance
appraisal as a tool to assess an appraisee’s progress or otherwise over a
specified period of time. The Commission has advised the GM to draw
from this case and remind its grade members to perform their performance
management duties diligently and properly.
Timely submission
2.20
As required under CSR 186(4)/200(4), recommendations involving
extension or termination of probationary/trial service which fall under the
purview of the Commission should as far as practicable be submitted to the
Commission at least two months before the end of the probationary/trial
period. The Commission considers it most undesirable if such cases could
not be processed in time for the officers concerned to be informed of the
management’s decision before the end of their probationary/trial periods.
2.21
In a case seeking to defer the passage of probation bar of an officer who
was under on-going investigation by a law enforcement agency, the department concerned submitted its recommendation to the Commission for advice after
the expiry of the date for passage of the probation bar. While the GM was
fully aware that the officer was under investigation and should have alerted
the appointments section of the department, it was not done until close to
the end of the probationary period. The Commission considers that had
there been closer communication and better co-ordination between the two
sections, the case could have been dealt with earlier for timely submission
to the Commission. The Commission has invited the department to review
its internal processing procedures and enhance its reporting and monitoring
mechanism in this regard.
2.22
In another case, the probationary period of an officer on continuous sick
leave had to be extended on account of the sick leave taken and the subsequent
period during which only light duties were performed. The extension was
intended to allow the department to thoroughly assess the officer’s fitness
to perform his principal duties based on the advice to be obtained from a
further medical board. However, the department concerned had overlooked
the need to secure the medical board advice promptly within the extended
period. As a result, a further extension had to be sought. As arranging a
medical board is a critical task in the process, the Commission has advised
the department to factor it in when considering an appropriate period for
extension. The administrative work of having to seek a further extension
could be saved.
Extension of probationary/trial period due to the issue of verbal/written warning
2.23
According to CSB Circular No. 5/2015, the probationary period of an
officer issued with a verbal or written warning9 should be extended for six
months and one year respectively with financial loss10. As the extension is to take effect from the end date of the original probationary period
regardless of when the warnings were issued, management action to seek
the advice of the Commission should be initiated immediately thereupon
without waiting until the end of the probationary period. However, belated
follow-up actions to seek extensions on warnings issued to probationers were
still observed during the year.
9
A verbal or written warning is a form of summary disciplinary action which is taken in cases of
minor acts of misconduct (e.g. occasional unpunctuality) committed by a civil servant. Such
summary disciplinary action allows B/Ds to tackle and deter isolated acts of minor misconduct
expeditiously. The Commission’s advice is not required in such cases. A verbal or written warning
would debar an officer from promotion or appointment for a period of time.
10
If an officer’s probationary period is extended with financial loss, the officer will receive no increment
during the extension and his incremental date will be deferred for the same duration permanently.
At the end of the period, the officer will be considered for confirmation to the rank subject to his
satisfactory performance and the AA’s satisfaction that he fully meets the requirements of the grade
for confirmed appointment in the long term.
2.24
In an extension case, the advice of the Commission was sought one
year after the warning was issued. As formal notice of extension is given
to officers issued with warnings only after the Commission has advised,
the Commission is concerned that the punitive and deterrent effect of
the warning might be weakened with the lapse of time. In our view, the
officer should be told of the consequence of extension as close to the issue
of warning as possible. Noting that this was not the only case coming from
the same department, the Commission has invited its senior management
to review its internal processing procedures and address the Commission’s
concern at a systemic level. We have also asked CSB to offer assistance
as necessary.
Other Civil Service Appointment Matters
2.25
In 2021, the Commission advised on 178 other appointment cases. They
cover cases of renewal, non-renewal or extension of agreement; retirement
in the public interest under s.12 of the PS(A)O; secondment11; opening-up
arrangement12 ; review of acting appointment and updating of Guide to
Appointment13. A statistical breakdown of these cases and a comparison
with those in the past four years are provided at Appendix VIII.
11
Secondment is an arrangement to temporarily relieve an officer from the duties of his substantive
appointment and appoint him to fill another office not in his grade on a time-limited and
non-substantive basis. Normally, a department will consider a secondment to fill an office under its
charge if it needs skills or expertise for a short period of time and such skills or expertise are only
available from another Civil Service grade.
12
Under the opening-up arrangement, positions in promotion ranks occupied by agreement officers are
opened up for competition between the incumbent officers and eligible officers one rank below.
This arrangement applies to both overseas agreement officers who are permanent residents and are
seeking a further agreement on locally modelled conditions, and other agreement officers applying
for a further agreement on existing terms.
13
The Guide to Appointment (G/A) is an official document prepared by departments for individual
ranks to specify the qualification, requirements and the terms of appointment for recruitment
or promotion to respective ranks. B/Ds are required to update the entry requirements, terms of
appointment, and job description of grades under their purview in the respective G/As on an ongoing
basis for CSB’s approval.
Retirement in the public interest under s.12 of the PS(A)O
2.26
Retirement in the public interest under s.12 of the PS(A)O is not a form
of disciplinary action or punishment but pursued as an administrative
measure in the public interest on the grounds of –
(a)
persistent substandard performance when an officer fails to reach the
requisite level of performance despite having been given an opportunity to
demonstrate his worth; or
(b)
loss of confidence when the management has lost confidence in an
officer and cannot entrust him with public duties.
An officer who is required to retire in the public interest may be granted retirement benefits. In the case of a pensionable officer, a deferred pension may be granted when he reaches his statutory retirement age. In the case of an officer under the CSPF Scheme, the accrued benefits attributable to the Government’s Voluntary Contributions will be payable in accordance with the rules of the relevant scheme.
An officer who is required to retire in the public interest may be granted retirement benefits. In the case of a pensionable officer, a deferred pension may be granted when he reaches his statutory retirement age. In the case of an officer under the CSPF Scheme, the accrued benefits attributable to the Government’s Voluntary Contributions will be payable in accordance with the rules of the relevant scheme.
2.27
During the year, the Commission advised on 73 cases of retirement in
the public interest under s.12 of the PS(A)O. Except for one case invoked
on the ground of persistent substandard performance, all the other
cases were invoked on the ground of loss of confidence arising from the
officers’ failure/refusal/neglect to comply with the requirement to sign a
declaration to uphold the BL, bear allegiance to the HKSAR, be dedicated
to their duties and be responsible to the HKSAR Government. Insofar as
cases involving persistent substandard performance are concerned, apart
from the case in which s.12 action was invoked (as mentioned above) and
completed, four officers who were put under close observation during the
year had subsequently been taken off the watch list due to the retirement in
public interest of one officer under s.12 on the grounds of loss of confidence
and the suspension of s.12 action for three others due to health grounds. As
at the end of 2021, three officers remained under close observation due to
their persistent substandard performance.
2.28
The Commission will continue to draw B/Ds’ attention to potential s.12 cases
in the course of scrutinising staff appraisal reports in connection with promotion
submissions. We will also closely monitor the readiness and timeliness of
departmental managements in pursuing such administrative action.
![Back to Top Back to Top](images/icon_b2t.png)