ASSESSMENT TOOL FOR HUMAN RESOURCES Tool for Human Resources Management Records and Information ... Resource Management Records and Information Systems ... of project appraisal and ...

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  • Assessment Tool for Human Resources Management Records and Information Systems

    Jurisdiction Assessed

    Purpose of Assessment Date Assessed Name and Office of Assessor

    1 Version 14 February 2003

  • Assessment Tool for Human Resource Management Records and Information Systems

    Contents Introduction Organization of the Assessment Tool How to Use this Assessment Tool Assessment Tool Section 1: Public Service Overview [this section may be removed]

    1 Scope of the Public Service 2 Public Service Employment Legislation 3 Public Service Employment Numbers and Wage Bill 4 Public Service Management Structure 5 Public Service Reform Priorities

    Section 2: Management Environment

    6 Legal and Institutional Framework for Managing Records and Information 7 Responsibilities for Records and Information Management 8 Records and Information Management Policies and Standards, Procedures, and Facilities and

    Maintenance 9 Training and Competencies 10 Information Technology (IT) Systems

    Section 3: Functions and Processes

    11 Controlling and Tracking Posts and Numbers of Employees 12 Recruitment, Promotion, and Transfer 13 Career Paths and Training 14 Payroll Administration 15 Individual Performance Management 16 Service Standards and Measurement 17 Enforcement and Disciplinary Issues

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  • 18 Downsizing 19 Pension Arrangements

    Glossary of Records and Information Management Terms

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  • Introduction Accurate records are vital to support the rule of law, strengthen democracy, and promote economic and social development. Within human resource management systems, records underpin accountability and transparency, and they provide the essential information that enables the public service to operate effectively and public sector employees to be managed fairly and effectively. Human resource records are essential for the proper management of resources and the promotion of anti-corruption strategies, and to demonstrate good governance in the use of human resources. A range of legal, political, economic, and cultural factors shape the administrative arrangements for payroll and personnel management in World Bank client countries. The companion case studies prepared as part of the Evidence-Based Governance in the Electronic Age project provide examples of the different systems that can be found. What is considered best practice in one country may not be a good fit in another. There can be no single or right way of performing human resource management functions, although there may be agreement on the broad objectives including, for example, correcting fiscal imbalances, improving pay and career structures, and improving governance and service delivery. Similarly, there are many different ways of creating, gathering, organizing, storing and retrieving the information and records needed to support human resource management functions. This assessment tool does not prescribe a single approach to managing personnel and payroll-related information and records. Rather it draws upon the broad principles that need to be followed to support effective and efficient administration of the human resource management function. Where relevant, references are made in the tool to the appropriate principle or standard as defined in International Standard ISO 15489-1: Information and documentation Records management (2001). This approach to assessing the human resource management function leaves room for many different ways of managing personnel and payroll records and information, while at the same time providing a methodology for determining whether systems in particular countries are consistent with general principles and serve the needs of good human resource management. The results of this assessment can then feed into wider institutional analyses that provide the basis of dialogues between client country governments, donors, and civil society. To support wider institutional analysis, this assessment tool has been designed to work with the Administrative and Civil Service Assessment Tool and Preparing for Civil Service Pay and Employment Reform: A Primer [full bibliographic reference]. Organization of the Assessment Tool The assessment tool is divided into three sections. The first section, Public Service Overview, focuses on the scale, scope, and structure of the public service in question, in order to guide the assessor in gathering the contextual information needed to

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  • evaluate records and information systems properly and design effective improvements. The second section, Management Environment, deals with the overall framework of laws and regulations, policies, and systems that determine how records and information should be managed, and the resources and capacity needed to manage them. The third section, Functions and Processes, focuses on the actual human resource management functions that are supported by records and information systems. Within these three sections, the tool is subdivided as follows: Section 1: Public Service Overview [this section may be removed] 1 scope of the public service 2 public service employment legislation 3 public service employment numbers and wage bill 4 public service management structure 5 public service reform priorities Section 2: Management Environment 6 legal and institutional framework for managing records and information 7 responsibilities for records and information management 8 records and information management policies and standards, procedures, and facilities and maintenance 9 training and competencies 10 information technology (IT) systems

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  • Section 3: Functions and Processes 11 controlling and tracking posts and numbers of employees 12 recruitment, promotion, and transfer 13 career paths and training 14 payroll administration 15 individual performance management 16 service standards and measurement 17 enforcement and disciplinary issues 18 downsizing 19 pension arrangements. How to Use this Assessment Tool This assessment tool is designed to be flexible. For example, it does not have to be completed in full at one time. Instead, it can be used in a number of different ways by World Bank or client country officials engaged in public sector reform initiatives, or by records professionals who conduct evaluations of records and information systems. As well as assessing the strengths and weaknesses of records and information systems, the tool can also be used to inform project planning and design, and to improve the quality of project appraisal and evaluation. The tool may be used at different levels of the project cycle. It can be used, for example, to: support country assessments

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  • diagnose the strengths and weaknesses of organizational units and systems guide consultants, vendors, and project managers in project design and implementation enable agencies to monitor and evaluate the records and information aspects of projects. The tool may also be used at different levels of government. It can be used, for example, by: a national government a government department a state government a local government. The questions that make up the tool can be used selectively, depending on the purpose of the assessment. For example: a selection of questions can be answered to provide a quick assessment of the capacity of a client countrys information

    and records systems to sustain planned public service reform initiatives questions concerning a specific human resource management function, such as individual performance management, can

    be completed to provide an assessment of the capacity of a client countrys information and records systems with respect to a specific issue or area of reform

    the assessment tool can be used to assess information and records systems supporting the management of a particular

    category of public sector employee, such as those working in a single ministry/department, those from a specific sub-group of the civil service (eg, teachers or accountants), or those at a specific level within the civil service (eg, managers or lower grades)

    The section on IT systems can be used to assess the capability of computerized systems to meet requirements for

    managing electronic records over time.

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  • The Sources of Information column includes suggestions for the staff or office to whom questions should be directed. The wider the range of persons questioned (senior administrators, human resource managers, IT staff, records managers, and so on) the more comprehensive the assessment. It is recognized, however, that the assessors time may be limited. Therefore the form shows in bold the principal office or person to whom the question should be directed. The tool is intended to be applicable to paper-based, electronic, and hybrid paper/electronic systems. The Reply to Questions column allows in certain cases for separate replies to be made depending on whether the particular function is electronic, manual or hybrid. Unless otherwise stated, however, the questions in the tool may be applied to manual, computerized, or hybrid systems.

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  • ASSESSMENT TOOL FOR HUMAN RESOURCES MANAGEMENT RECORDS AND INFORMATION SYSTEMS

    Section 1: Public Service Overview Questions (Primary questions in bold)

    Rationale for Questions

    Sources of Information (Principal source in bold)

    Reply to Questions

    1 Scope of the Public Service [this section may be removed]

    1.1 Definition of the Public Service

    1.1.1 Which of the following categories of worker are defined legally as being public servants:

    Senior Administrator

    [head of public service]

    (a) core public service administrators

    (b) teachers (c) health workers (d) police (e) armed forces (f) local government

    workers (g) employees of

    public enterprises (h) employees of

    budget-dependent agencies

    Different countries define the public service differently. For example, in some countries, contract workers are considered to be public servants, while in other countries they may work for government departments but do not form part of the public service. The status of each type of worker should be determined as part of the assessment exercise.

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  • Questions (Primary questions in

    Rationale for Questions

    Sources of Information

    Reply to Questions

    bold) (Principal source in bold)

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    (i) daily paid or work-charged workers

    (j) contract workers

    (k) other

    1.1.2 Which of the above categories of workers will be included in this assessment

    It is not necessary to evaluate the records and information systems supporting human resource management for all categories of public sector workers as part of this assessment exercise.

    At the discretion of the Assessor

    1.2 Source of Funding

    1.2.1 Which category of workers are paid indirectly through a budget subvention to a government department (ie, a department with responsibility for human and financial management in a running cost model), another level of government or a publicly funded agency, as opposed to directly:

    It is important to identify those categories of workers who are paid indirectly, as their salaries and benefits will impact upon the public sector wage bill. Often, however, the controls that would help to contain the wage bill are weakest where pay and benefits are received indirectly.

    Senior Administrator [head of public service]

  • Questions (Primary questions in

    Rationale for Questions

    Sources of Information

    Reply to Questions

    bold) (Principal source in bold)

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    (a) core public service administrators

    (b) teachers (c) health workers (d) police (e) armed forces (f) local

    government workers

    (g) employees of public enterprises

    (h) employees of budget-dependent agencies

    (i) daily paid or work-charged workers

    (j) contract workers

    (k) other

  • Questions (Primary questions in

    Rationale for Questions

    Sources of Information

    Reply to Questions

    bold) (Principal source in bold)

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    2 Public Service Employment Legislation

    2.1 Public Service Laws

    2.1.1 Is there at least one employment law in place that sets out the rights and responsibilities (distinct from those of the standard labor code) of all public servants?

    The purpose of this question is to gain an understanding of the legal framework of the public service. In some countries, the legal framework is set out in a single act or code, while in other countries, the legal framework is highly fragmented with each category of worker operating under a different piece of legislation.

    Senior Administrator [head of public service]

  • Questions (Primary questions in

    Rationale for Questions

    Sources of Information

    Reply to Questions

    bold) (Principal source in bold)

    2.1.2 Are there different sets of laws applicable only to specific categories of public servants (eg, teachers, health workers)? Please specify

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    The purpose of this question is to gain an understanding of the legal framework of the public service. In some countries, the legal framework is set out in a single act or code. In other countries, each category of worker operates under a different piece of legislation.

    Senior Administrator [head of public service]

    2.1.3 What percentage of public service employment laws have been introduced or substantively amended in the past five years?

    In many countries, the legislative framework governing the public service has become outdated and requires revision. This question will provide some indication of whether this is the case in the jurisdiction being assessed.

    Senior Administrator [head of public service]

  • Questions (Primary questions in

    Rationale for Questions

    Sources of Information

    Reply to Questions

    bold) (Principal source in bold)

    2.1.4 Are copies of public service employment laws easily accessible to all staff?

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    In some countries, particularly where the legislative framework of the public service is highly fragmented, it can be difficult to easily obtain current copies of relevant laws and regulations governing public service employment. This question will provide some indication of whether this is the case in the jurisdiction being assessed.

    Senior Administrator [head of public service]

  • Questions (Primary questions in

    Rationale for Questions

    Sources of Information

    Reply to Questions

    bold) (Principal source in bold)

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    3 Public Service Employment Numbers and Wage Bill

    3.1 Numbers of Employees by category

    3.1.1 What are the employment figures in each of the following categories for each of the past five years: (a) core public

    service administrators

    (b) teachers (c) health workers (d) police (e) armed forces (f) local

    government wo...

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