Human Resource Management Diagnostic Instrument …siteresources.worldbank.org/.../HRM_AGI_Section_III_Revised_04Augu… · Human Resource Management Diagnostic Instrument Actionable

Human Resource Management Diagnostic Instrument

Actionable Governance Indicators

Module A: Civil Service Labor Regime

Section III: HRM System Performance

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August 4, 2010

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. Attracting and retaining staff with needed skills 2. Ensure fiscally sustainable wage bill 3. Ensure meritocratic, depoliticized CSM 4. Ensure performance-focusing CSM 5. Ensure ethical behavior by civil servants 6. 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 seeks to measure the HRM system performance, as it relates to the six core objectives of civil service management, plus redress as a horizontal issue: 1. Attracting and retaining staff with needed skills 2. Ensure fiscally sustainable wage bill 3. Ensure meritocratic, depoliticized civil service management 4. Ensure performance-focusing civil service management 5. Ensure ethical behavior by civil servants 6. Ensure effective working relationships with other cadres 7. Redress Background Information

1. Country name:

2. Categories of civil servants within the civil service labor regime:

Please provide a brief description (e.g., title, grade, etc.) of the range of civil service

positions within each of the categories identified below; i.e., describe the highest and

the lowest ranking titles that you would consider to fall within each of the categories

within your country’s civil service.

If a given category of civil servants is not part of the civil service labor regime, please

type '-777' (for 'Not applicable') in the box.

When answering questions relating to categories of civil servants, throughout the three

sections of the instrument, please answer on the basis of the examples you have

provided below.

Overview – Section III: Performance

*

High level managers

Middle level managers

Professional staff

Technical staff

Administrative and clerical

staff

Skilled and semi-skilled

manual laborers

Unskilled workers

1.1. Attracting Staff with Needed Skills

3. Is information on the average number of qualified (long-listed) applicants per

advertised civil service position monitored?

(If the answer is 'No', please go to Q. No. 8)

4. For what categories of civil servants is this information collected and monitored?

(check all that apply)

5. With what frequency is this information collected and monitored? (check one)

1. Attracting and Retaining Staff with Needed Skills

Yes

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No

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Total (no breakdowns available by category)

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High level managers

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Professional staff

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Technical staff

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Administrative & clerical staff

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Skilled & semi-skilled manual laborers

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Unskilled workers

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Continuously

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Weekly

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Monthly

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Quarterly

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Semi-annually

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Annually

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Irregularly

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6. What is the value for this indicator for the last two years i.e., the average number of

qualified (long-listed) applicants per advertised civil service position during the most

recent full calendar year as well as during the previous full calendar year?

7. What is the value for this indicator for the last two years for entry level civil service

positions i.e., the average number of qualified (long-listed) applicants per advertised

entry level civil service position during the most recent full calendar year as well as

during the previous full calendar year?

Value for the most recent

full calendar year

Period covered (from- to)

Value for the previous full

calendar yeaar

Period covered (from -to)

Value for the most recent

full calendar year

Period covered (from- to)

Value for the previous full

calendar yeaar

Period covered (from -to)

Post secondary education means more than 12 years of formal education.

8. On average, what percentage of each of the following sets of civil servants have

completed at least some post-secondary education? Please enter percentage for each

category below. Please enter "-888" if you don't know the answer and "-999" if available

information is not collected.

9. On average, what percentage of each of the following sets of civil servants have

completed a post-secondary degree program? Please enter percentage for each

category below. Please enter "-888" if you don't know the answer and "-999" if available

information is not collected.

1.1. Attracting Staff with Needed Skills (2)

High level managers

Middle managers

Professional staff

Technical staff

High level managers

Middle managers

Professional staff

Technical staff

Average 3-year retention rate is a ratio, expressed in percentage points, of staff recruited within the last three calendar years that were still employed within the civil service at the end of that three-year period

10. Is information on average 3-year retention rate for recently recruited civil servants

collected and monitored?

(If the answer is 'No' please go to Q.15)

11. For what categories of civil servants is this infomation collected and monitored

12. With what frequency is this information collected and monitored? (check one)

13. What is the current/most recent value of this indicator i.e., the average 3-year

retention rate among recently recruited civil servants in the following categories:

1.2. Retaining Staff with Needed skills

Yes No

a. Entry level civil servants nmlkj nmlkj

b. Mid-career civil servants nmlkj nmlkj

Total (no breakdowns

available by category)

High level manager


Professional staff

Technical staff

Administrative & clerical

staff

Skilled & semi-skilled

manual laborers

Unskilled workers

Yes

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No

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Continuoulsy

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Weekly

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Monthly

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Quarterly

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Semi-annually

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Annually

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Irregularly

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14. How did the the average 3-year retention rate (in percent) among each of these

categories of civil servants compare to the previous three-year retention rate for that

same category? (e.g. 2005-2008 rate compared to 2004-2007 rate)

Higher than earlier 3-year

retention rate

Same as earlier 3-year

retention rate

Lower than earlier 3-year

retention rateInformation not available


available by category)nmlkj nmlkj nmlkj nmlkj

High level manager nmlkj nmlkj nmlkj nmlkj

Middle level managers nmlkj nmlkj nmlkj nmlkj

Professional staff nmlkj nmlkj nmlkj nmlkj

Technical staff nmlkj nmlkj nmlkj nmlkjAdministrative & clerical

staffnmlkj nmlkj nmlkj nmlkj


manual laborersnmlkj nmlkj nmlkj nmlkj

Unskilled workers nmlkj nmlkj nmlkj nmlkj

Fiscally sustainable wage bill is a wage bill that a country's public sector can reasonably expect to be able to finance for the forseeable future. Evidence on the fiscal sustainability of the wage bill is normally captured through data on the wage bill relative to GDP and the wage bill relative to total recurrent expenditures. The former ratio sheds light on whether a government is likely to be able to afford the bill. The latter ratio sheds light on whether wage expenditures may be "crowding out" other non-wage recurrent expenditures. "General Government" is the GFS Manual 2001 definition of "General Government" ; "the general government sector consists of all government units and all nonmarket NPIs (non-profit institutions) that are controlled and mainly financed by government units." "Wage bill" is the total expenditure on "compensation of employees", as defined in GFS Manual 2001. "Total recurrent expenditures" are the sum of "Compensation of employees" (GFS Manual 2001) and "Use of goods and services" (GFS Maual 2001).

15. Please provide the following information :

Please enter "-888" if you don't know the answer and "-999" if available information is

not collected.

2. Fiscally Sustainable Wage Bill

1. Wage bill/GDP for civil

service

2. Wage bill/GDP for

general government

3. Wage bill/total recurrent

expenditures for civil

service

4. Wage bill/total recurrent

expenditures for general

government

Average quarterly turnover rates is the percentage of civil servants who have left the civil service each quarter, averaged across the relevant sets of quarters within that three-year interval.

16. Is information on average quarterly turnover rates collected and monitored?

17. If the answer to Q.16 is a 'Yes', for the most recent three calendar years, please

provide the following data on average quarterly turnover rates for the following:

If certain types of turnover rate information is not being collected, please write "-999" (for Not

collected). If an event such as change of government, etc. did not take place in the last three

years, please write "-777" (for Not Applicable).

3. Meritocratic, Depoliticized, Civil Service Management

Average quarterly turnover rate for civil servants over the full three-year period:

Average quarterly turnover rate for politically appointed officials over the same full three-year period:

Average quarterly turnover rate for civil servants only for quarters in which or immediately after which the ruling

party or coalition changed within that same three-year period:

Average quarterly turnover rate for politically appointed officials only for quarters in which or immediately after

which the ruling party or coalition changed within that same three-year period:

Average quarterly turnover rate for civil servants only for quarters in which or immediately after which the head of

Government changed without a change in the ruling party or coalition within that same three-year period:

Average quarterly turnover rate for politically appointed officials only for quarters in which or immediately after

which the head of Government changed without a change in the ruling party or coalition within that same three-

year period:

Yes

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No

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Average quarterly transfer rates is the percentage of civil servants who are transferred between organizational units each quarter, averaged across the relevant sets of quarters within a three-year interval.

18. Is information on average transfer rates collected and monitored?

19. If the answer to Q.18 is a 'Yes', for the most recent three calendar years, please

provide the following data on average quarterly transfer rates among civil servants for

the following:

If certain types of transfer rate information is not being collected, please write "-999" (for Not

collected). If an event such as change of government, etc. did not take place in the last three

years, please write "-777" (for Not Applicable).

3. Depoliticized, Meritocratic Civil Service Management (2)

Average quarterly transfer rate for civil servants over the full three-year period:

Average quarterly transfer rate for civil servants only for quarters in which or immediately after which the ruling

party or coalition changed within that same three-year period:

Average quarterly transfer rate for civil servants only for quarters in which or immediately after which the head of

Government changed without a change in the ruling party or coalition within that same three-year period

Yes

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No

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4.1. Performance Appraisal Practices and their Consequences

20. Is information on formal annual performance appraisals collected and monitored?

(If the answer is 'No', please go to Q.23)

21. For what categories of employees is this information collected and monitored?

22. What is the current/most recent value of this indicator i.e., the percentage of civil

servants in the following groups who received a formal annual performance appraisal

during the most recent round of annual performance appraisals?

4. Performance-focused Civil Service Management

Yes No


available by category)nmlkj nmlkj

High level manager nmlkj nmlkj

Middle level managers nmlkj nmlkj

Professional staff nmlkj nmlkj

Technical staff nmlkj nmlkjAdministrative & clerical

staffnmlkj nmlkj


manual laborersnmlkj nmlkj

Unskilled workers nmlkj nmlkj

Average for civil service

High level managers

Middle managers

Professional staff

Technical staff

Administrative and clerical

staff


manual laborers

Unskilled workers

Yes

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No

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23. How many performance rating scoring options are permitted on the annual

performance appraisal form?

24. During the most recent round of annual performance appraisals of civil servants,

what % of civil servants received each of the following possible ratings?

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

4.1. Performance Appraisal Practices and their Consequences (2)

Percent receiving highest possible rating:

Percent receiving second highest possible rating:

Percent lowest possible rating:

Percent second lowest possible rating:

2

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3

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4

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5

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>5

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Information not available

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No rating options are permitted

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Absenteeism is failure to report to work on a given work day (work days exclude holidays and vacation days). The reason for absenteeism (e.g., illness, family emergency, etc.) should be ignored when calculating absenteeism rates. An absenteeism rate is the average % of civil servants who fail to report to work each work day within a given period, such as daily, weekly, monthly, quarterly or annually.

25. Is information on absenteeism rates collected and monitored?


26. With what frequency is this information collected and monitored

(check one)


(Check all that apply)

4.2. Absenteeism

yes

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No

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Continuoulsy

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Weekly

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Monthly

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Quarterly

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Semi-annually

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Annually

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Irregularly

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High level manager

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Professional staff

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Technical staff

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Unskilled workers

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28. What is the current/most recent value of this indicator i.e., during the most recent

quarter for which estimates are available, what were average absenteeism rates (in

percentages) among civil servants across the following types of civil service positions?



High level manager


Professional staff

Technical staff


staff


manual laborers

Unskilled workers

29. Is information on the percentage of civil servants who are disciplined with a

disciplinary action recorded in their personnel file monitored regularly?


30. With what frequency is this information collected and monitored?


5. Ethical Behavior by Civil Servants

Yes

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No

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Continuoulsy

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Weekly

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Monthly

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Quarterly

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Semi-annually

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Annually

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Irregularly

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High level manager

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Professional staff

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Technical staff

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Unskilled workers

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32. What is the current/most recent value of this indicator; i.e., during the most recent

full calendar year, what percentage of civil servants in each of the following categories

were disciplined were disciplined with a disciplinary action recorded in their personnel

file?

33. During the most recent full calendar year, what percentage of civil servants in each

of the following categories were dismissed for disciplinary reasons?



High level manager


Professional staff

Technical staff


staff


manual laborers

Unskilled workers



High level manager


Professional staff

Technical staff


staff


manual laborers

Unskilled workers

No indicators currently included for this section

6. Working Relationships with Other Cadres (2)

34. Redress timeliness: What is the average length of time between the filing of a

grievance by a civil servant and a decision being issued by the first instance redress

agent?

If you do not know an answer, please write "-888" and write "-999" (for Not Collected) if

information is not being collected.

35. Redress appeals: Please provide estimates of the following indicators relating to

appeals of decisions of 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

7. Redress

Number of days

Number of first instance decisions that were appealed to a second instance redress agent within the

most recent full calendar year

Percent of such appeals in which the first instance redress agent's decision was upheld

Percent of such appeals in which the second instance redress agent's decided in favor of the civil

servant

Thank You!

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Human Resource Management Diagnostic Instrument …siteresources.worldbank.org/.../HRM_AGI_Section_III_Revised_04Augu… · Human Resource Management Diagnostic Instrument Actionable