human resource management diagnostic instrument -...

Human Resource Management Diagnostic Instrument

Actionable Governance Indicators

Module A: Civil Service Labor Regime

Section II: Organizational Capacities

This module of the Human Resource Management Actionable Governance Indicators (HRM AGI) diagnostic instrument is designed to facilitate assessment of the civil service labor regime in a given country’s public administration.

Four separate modules are designed to assess four distinct categories of public employees:- Civil servants (Module A) - Service delivery professionals (Module B) - Contract workers (Module C) - Politically appointed officials (Module D)

Each module consists of three sections that focus on a broad dimension of human resource management (HRM) institutions and practices: (i) institutional arrangements, i.e. the legal framework (laws, decrees and other forms of subsidiary legislation) and in-practice features such as rules, procedures and assignment of responsibility; (ii) organizational capacities, i.e. whether the agents assigned various HRM responsibilities have adequate capacities to carry out their functions with respect to the core objectives of HRM, and (iii) HRM system performance, i.e. the extent to which core HRM objectives are being achieved.

Core Objectives for Civil Service Management (CSM)

Overall, there are six core objectives posited for management of the civil service cadre. The three sections assess the following core objectives as they relate to 'institutional arrangements', 'organizational capacities' and ' HRM system performance', respectively:

1. Attract and retain required human capital 2. Ensure fiscally sustainable wage bill3. Ensure depoliticized, meritocratic CSM4. Ensure performance-focusing CSM5. Ensure ethical behavior by civil servants6. Ensure effective working relationships with other cadres

Definitions:

The civil service labor regime is the set of rules governing the management of civil servants. Those rules may be established in the country’s Constitution, laws or subsidiary legislation, such as regulations, Government decrees or other legal instruments with legal standing (e.g., Presidential decrees or orders, Ministerial decrees or orders, etc.)These rules give greater due process protection to civil servants than are available under that country's private sector labor law.

Civil servants are a particular subset of public employees, defined in that legal framework.Civil servants are distinguished from other public employees primarily be being afforded greater due process protections than apply under the country’s private sector labor law.

Module A: Civil Service Labor Regime

This section contains questions related to the following topics:

1. Policy-setting agents’ capacity 2. Oversight agents’ capacity 3. Management agents’ capacity 4. Redress agents’ capacity

Definitions

Adequate capacities mean that agents assigned each of the four core HRM functions within civil service labor regime - i.e., policy setting agents; civil servant management agents; oversight agents; and redress agents - have the capacity to effectively meet their mandates.

In other words, they have:

(i) Authority: officially recognized legal status and clearly defined roles and responsibilities;(ii) Resources: financial and human resources, as well as information and technological capacity, required to undertake their roles and responsibilities:

1. Please enter country name in the space below

Overview – Section II: Organizational Capacities

*

Policy-setting agent is an agent with responsibility for designing civil service management policies; i.e., for

(i) proposing such policies for Cabinet’s approval when such is required, and

(ii) establishing such policies when Cabinet approval is not required (i.e., for specifying policy details within the framework established by the relevant legislation and Cabinet decisions).

2. In the space below, please provide name(s) of the policy-setting agent(s) in your country:

1. Policy-setting Agents' Capacity

3. During the most recent full fiscal year, how much of the budget for the policy-setting agent(s), expressed as a % of total remuneration expenditures, was spent on staff training?

4. During the most recent full fiscal year, what was the cost of externally financed staff training (i.e., the training that was financed from sources other than the budget), expressed as a % of total remuneration expenditures for the policy-setting agent(s)?

5. During the most recent full fiscal year, how much of the training provided to staff of the policy-setting agent(s) focused on:

1. Policy-setting Agents' Capacity (2)

Most Some Little None Don’t know

Professional knowledge and skills (e.g. economics, law, engineering, etc.) nmlkj nmlkj nmlkj nmlkj nmlkj

Operation of your public administration’s HR systems, including rules and procedures nmlkj nmlkj nmlkj nmlkj nmlkj

Rules and procedures governing country’s public administration nmlkj nmlkj nmlkj nmlkj nmlkj

General HRM knowledge and skills nmlkj nmlkj nmlkj nmlkj nmlkj

Analytical skills nmlkj nmlkj nmlkj nmlkj nmlkj

IT skills nmlkj nmlkj nmlkj nmlkj nmlkj

Communication skills nmlkj nmlkj nmlkj nmlkj nmlkj

Interpersonal skills nmlkj nmlkj nmlkj nmlkj nmlkj

Managerial skills and knowledge nmlkj nmlkj nmlkj nmlkj nmlkj

0%

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more than 0%, but <1%

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5% or more

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Information not available

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6. During the most recent full fiscal year, how much money was budgeted for the policy-setting agent(s) in the following categories of expenditure (in thousands of domestic currency units): The data should be based on the standard classification prescribed by the Government Finance Statistics (GFS) Manual issued by the International Monetary Fund (IMF). Please enter the number; enter "-999" if information is not being collected or insufficient to answer this question, and "-888" if you do not know the answer

7. During the most recent full fiscal year, how much money was actually expended by the policy-setting agent(s) in the following categories of expenditure (in thousands of domestic currency units): The data should be based on the standard classification prescribed by the Government Finance Statistics (GFS) Manual issued by the International Monetary Fund (IMF). Please enter the number; enter "-999" if information is not being collected or insufficient to answer this question, and "-888" if you do not know the answer


Compensation of employees (GFS code 21)

Use of goods and services (GFS code 22)



8. To what extent does the policy-setting agent(s) rely on the following technologies in its daily operations and business processes?

9. In order to fulfill its functions, a policy-setting agent(s) requires various types of information. Which of the following legal instruments require organizational units to provide the policy-setting agent the information that it needs?


Always Often Sometimes Rarely Never Don’t know

Manual or paper-based records/processes nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

IT-based records/processes nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other, please specify nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Yes No Don't know

Reporting obligation imposed in a law or the Constitution nmlkj nmlkj nmlkj

Reporting obligation imposed in subsidiary legislation issued by Cabinet/Council of Ministers nmlkj nmlkj nmlkj

Reporting obligation imposed through a legal instrument subsidiary to a Cabinet action nmlkj nmlkj nmlkj

Other source of authority, please specify nmlkj nmlkj nmlkj

Please provide a reference to the relevant provisions of applicable laws/rules

10. Are these reporting requirements mandatory?

11. Does the regulatory framework define any sanctions for not meeting information requirements?

12. How frequently are each of the following devices used to facilitate reporting by organizational units to the policy-setting agent(s)?


Most frequently

usedUsed often Used sometimes Rarely used Never used Don't know

Standardized electronic reporting forms/templates nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Standardized paper reporting forms/templates nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Reporting guidelines without standardized

forms/templatesnmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Specific requests for particular information nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj


Yes

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No

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Don't know

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Please provide a reference to the relevant provisions of the applicable laws/rules

Yes

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No

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Don't know

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If the answer is 'Yes', please provide a reference to the relevant provisions of the applicable laws/rules

An oversight agent has responsibility for overseeing implementation of civil service management policies; i.e., for

(i) reviewing implementation of civil service management policies and (ii) ensuring civil service management actions are consistent with both the letter and the spirit of the legal framework governing civil service management.

13. In the space below, please provide name(s) of the oversight-agent(s) in your country:

2. Oversight Agents' Capacity

14. During the most recent full fiscal year, how much of the budget for oversight agent(s), expressed as a % of total remuneration expenditures, was spent on staff training?

15. During the most recent full fiscal year, what was the cost of externally financed staff training (i.e., the training that was financed from sources other than the budget), expressed as a % of total remuneration expenditures for the oversight agent(s)?

16. During the most recent full fiscal year, how much of training provided to staff of the oversight agent(s) focused on :

2. Oversight Agents' Capacity (2)



Operation of your public administration’s HR systems, including rules and

proceduresnmlkj nmlkj nmlkj nmlkj nmlkj








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17. During the most recent full fiscal year, how much money was budgeted for the oversight agent(s) in the following categories of expenditure (in thousands of domestic currency units): The data should be based on the standard classification prescribed by the Government Finance Statistics (GFS) Manual issued by the International Monetary Fund (IMF). Please enter the number; enter "-999" if information is not being collected or insufficient to answer this question, and "-888" if you do not know the answer

18. During the most recent full fiscal year, how much money was actually expended for the oversight agent(s) in the following categories of expenditure (in thousands of domestic currency units): The data should be based on the standard classification prescribed by the Government Finance Statistics (GFS) Manual issued by the International Monetary Fund (IMF). Please enter the number; enter "-999" if information is not being collected or insufficient to answer this question, and "-888" if you do not know the answer

2. Oversight agents' capacity (3)





19. To what extent does the oversight agent(s) rely on the following technologies in its daily operations and business processes?

20. In order to fulfill its functions, an oversight agent(s) requires various types of information. Which legal instruments requires organizational units to provide the oversight agent the information that it needs?


Always Often Sometimes Rarely Never Don't know



Other (please specify) nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Yes NoDon't

know

Reporting obligation imposed in a law or the Constitution nmlkj nmlkj nmlkj

Reporting obligation imposed in subsidiary legislation issued by Cabinet/Council of Ministers nmlkj nmlkj nmlkj

Reporting obligation imposed through a legal instrument subsidiary to a Cabinet action nmlkj nmlkj nmlkj

Other source of authority, please specify nmlkj nmlkj nmlkj


21. Are these reporting requirements mandatory?

22. Does the regulatory framework define any sanctions for not meeting information requirements?

23. How frequently are each of the following devices used to facilitate reporting by organizational units to the oversight agent(s)?


Most frequently

usedUsed often Used sometimes Rarely used Never used Don't know

Standardized electronic reporting forms/templates nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Standardized paper reporting forms/templates nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Reporting guidelines without standardized

forms/templatesnmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Specific requests for particular information nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj


Yes

nmlkj

No

nmlkj

Don't know

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Yes

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No

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Don't know

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If the answer is 'Yes', please provide a reference to the relevant provisions of the applicable laws/rules

A management agent has a responsibility for directly managing civil servants.

24. Who directly manages civil servants?

25. In the space below, please provide name(s) of management agents in your country:

3. Management Agents' Capacity

One or more central agencies

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Line ministries, departments and agencies (MDAs)

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Responsibility is shared between central agencies and line MDAs

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Other

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Don't know

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Other (please specify)

26. During the most recent full fiscal year, how much of the budget for the management agent(s), expressed as a % of total remuneration expenditures, was spent on staff training?

27. During the most recent full fiscal year, what was the cost of externally financed staff training (i.e., the training that was financed from sources other than the budget), expressed as a % of total remuneration expenditures for the management agent(s)?

28. During the most recent full fiscal year, how much of the training provided to staff of the management agent(s) focused on:

3. Management Agents' Capacity (2)












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29. Please provide estimates of financial resources that were budgeted for the management agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): The data should be based on the standard classification prescribed by the Government Finance Statistics (GFS) Manual issued by the International Monetary Fund (IMF). Please enter the number; enter "-999" if information is not being collected or insufficient to answer this question, and "-888" if you do not know the answer

30. Please provide estimates of financial resources that were actually expended by the management agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): The data should be based on the standard classification prescribed by the Government Finance Statistics (GFS) Manual issued by the International Monetary Fund (IMF). Please enter the number; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer






31. To what extent does the management agent(s) rely on the following technologies in its daily operations and business processes?






32. How many organizations headed by cabinet members in which civil servants are posted or employed have dedicated Human Resource Management units? If information is not being collected, please enter "-999" in the box(es)


Number of organizations with dedicated HRM units

Percentage of organizations with dedicated HRM units

A redress agent has responsibility for adjudicating complaints or challenges to civil service management actions; i.e., for settling first instance challenges to the legality of civil service management actions.

A first instance redress agent adjudicates challenges to any actions based on their merits. They provide the first opportunity for plaintiffs to challenge a given civil service management action.

A second instance redress agent adjudicates appeals of first instance decisions. Their role is to ensure that the first instance adjudication process was properly conducted rather than adjudicating the merits of the case.

4. Redress Agents' Capacity

33. In the space below, please provide names of both first and second instance redress agents:

4. Redress Agents' Capacity (2)

34. During the most recent full fiscal year, how much of the budget for the redress agent(s), expressed as a % of total remuneration expenditures, was spent on staff training?

35. During the most recent full fiscal year, what was the cost of externally financed staff training (i.e., the that was financed from sources other than the budget), expressed as a % of total remuneration expenditures for the redress agent(s)?

36. During the most recent full fiscal year, how much of the training provided to staff of the redress agent(s) focused on :













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37. Please provide estimates of financial resources that were budgeted for the redress agent(s), over the most recent full fiscal year, on the following categories of expenditure (in thousands of domestic currency units) The data should be based on the standard classification prescribed by the Government Finance Statistics (GFS) Manual issued by the International Monetary Fund (IMF). Please enter the number; enter "-999" if information is not being collected or insufficient to answer this question, and "-888" if you do not know the answer

38. Please provide estimates of financial resources that were actually expended by the redress agent(s), over the most recent full fiscal year, on the following categories of expenditure (in thousands of domestic currency units): The data should be based on the standard classification prescribed by the Government Finance Statistics (GFS) Manual issued by the International Monetary Fund (IMF). Please enter the number; enter "-999" if information is not being collected or insufficient to answer this question, and "-888" if you do not know the answer






39. Case Load: Please provide estimates of the following indicators of the case load handled by the first instance redress agents within the most recent full calendar year: Please enter the number for each category below; enter "-999" if information is not being collected or insufficient to answer this question, and "-888" if you do not know the answer

40. Case Dispositions: Please provide estimates of the following indicators of the nature of the decisions redressed by the first instance redress agents within the most recent full calendar year: Please enter the number for each category below; enter "-999" if information is not being collected or insufficient to answer this question, and "-888" if you do not know the answer


Number of cases initiated within the most recent full calendar year

Number of cases decided within the most recent full calendar year

Number of decisions that ruled in favor of the civil servant or applicant for a civil service position within the most

recent full calendar year

Percent of decisions that ruled in favor of the civil servant or applicant for a civil service position within the most

recent full calendar year

41. To what extent does the redress agent(s) rely on the following technologies in its daily operations and business processes?






Thank You!

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