Lagos State Government Human Resources … the views of the Department for International Development. Lagos State Government Human Resources Operational Guidelines October 2013 2 Contents

Lagos State Government Human Resources Operational Guidelines

October 2013

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The opinions expressed in this report are those of the authors and do not necessarily represent the views of the Department for International Development.

Lagos State Government Human Resources Operational Guidelines

October 2013

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Contents Abbreviations and Acronyms ..................................................................................................... 3

Executive Summary .................................................................................................................... 4

Section 1: Introduction and Background ................................................................................... 6

Objective of the Assignment .................................................................................................. 6

Scope of Work ........................................................................................................................ 6

Approach and Methodology .................................................................................................. 7

Overview of the Assignment .................................................................................................. 7

Section 2: Summary of Work Done ............................................................................................ 9

Workforce planning ............................................................................................................... 9

Recruitment, selection and appointment .............................................................................. 9

Deployment.......................................................................................................................... 10

Appraisal .............................................................................................................................. 10

Promotion ............................................................................................................................ 10

Discipline - Misconduct and Serious misconduct ................................................................ 10

Discipline - Poor performance ............................................................................................. 10

Grievance ............................................................................................................................. 11

Leave - Maternity leave ....................................................................................................... 11

Leave - Paternity leave ......................................................................................................... 11

Oracle/nominal roll/payroll reconciliation .......................................................................... 11

Development and training needs analysis ........................................................................... 11

Exit - Retirement (Voluntary, Compulsory and Statutory) .................................................. 11

Resignation/ Withdrawal ..................................................................................................... 12

Diversity, gender and social inclusion .................................................................................. 12

Section 3: Implementation Plan – Next steps .......................................................................... 13

Period of implementation .................................................................................................... 13

Timing of implementation ................................................................................................... 13

Capacity building .................................................................................................................. 13

Process of implementation .................................................................................................. 14

Tracking and Evaluating Progress ........................................................................................ 14

Appendix 1: Revised TOR ......................................................................................................... 15

Appendix 2: HR Guidelines Template ...................................................................................... 20

Appendix 3: Working Group TOR ............................................................................................. 21

Appendix 4: HR Operational Guidelines and Accompanying Tools ......................................... 23

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Abbreviations and Acronyms

CS Civil Service

CSC Civil Service Commission

HOD Head of Department

HOS Head of Service

HR Human Resources

HRD Human Resource Development

HRM Human Resource Management

HRMIS Human Resource Management Information System

LSG Lagos State Government

LASPEC Lagos State Pensions Commission

MDAs Ministries, Departments and Agencies

METP Ministry of Establishment Training and Pensions

OHOS Office of the Head of Service

OOT Office of Transformation

PDP Personal Development Plan

PS Public Service

PS Permanent Secretary

PSO Public Service Office

PMB Personnel Management Board

SMART Specific, Measurable, Achievable, Realistic and Time bound - objectives

SPADEV Staff Performance Appraisal Development and Evaluation

SPARC State Partnership for Accountability, Responsiveness and Capability

TOR Terms of Reference

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Executive Summary Short summary The Human Resource (HR) guidelines are working tools that document elements of good practice and Lagos State Government (LSG) regulatory procedures for people management within the state public sector. They codify current and standardised HR practices in day to day HR operations. They are not a final picture of good professional Human Resource Management (HRM) practice and will change as HRM develops in LSG. Full summary The assignment seeks to identify standardised procedures for the performance of select HR activities in Lagos State Government. It comes as a next step to the pilot of HR roles and processes conducted in six MDAs and the guidelines are an interim step in implementation at the eventual roll out. They neither replace the generic guidance presented in the HRM Resource 2013, nor substitute for the Civil Service (CS) Rules. The procedures whilst incorporating elements of good practice also reflect existing regulatory provisions within the CS/Public Service (PS) Rules. So, to fully understand the current procedures and protocols within the state, six LSG officers that participated in the pilot were selected to support the consultant in the documentation. These officers were selected based on participation in the pilot and working knowledge of some of the HR guidelines to be documented. In documenting the guidelines, consideration was given to professional HRM practices, the subsisting state regulations on people management, the roles and responsibility matrix for HR activities in the ‘central’ HRM ministries1 and provisions within the newly designed HR policies... The guidelines spell out the steps carried out, the timelines for completion of individual steps and the parties responsible for each step in a number of HR processes. Some of the guidelines also have accompanying tools to assist the HR Officer in following the steps. The HR activities covered in the scope of work and highlights of good practice and/or improvements in the respective processes documented are:

Recruitment, selection and appointment – the use of workforce plans and merit as a basis for recruitment;

Deployment – is primarily driven by the needs of Ministries, Departments and Agencies (MDAs) and career development;

Appraisal – includes one on one discussion between appraiser and subordinate;

Promotion – is performance based and MDAs are involved in preparing exam questions;

Discipline – explicit guidelines on misconduct, serious misconduct and poor performance;

1 The central HRM ministries comprise the Civil Service Commission (CSC), Ministry of Establishment Training

and Pensions (METP) and Public Service Office (PSO) of the Office of the Head of Service (OHOS) in which the roles and responsibilities continue to be clarified.

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Grievance – the aggrieved employee has the first right of choice whether to resolve the grievance formally or informally;

Leave; ‒ Maternity leave – pre and post leave meeting covering absence and re-entry

held with employee. ‒ Paternity leave – activated on production of a valid birth certificate

registering the officer’s name as father of the child.

Oracle/nominal roll/payroll reconciliation – an interim procedure to address the errors that exist in employee data held in MDAs and central agencies;

Development and training needs analysis – driven by the MDAs identified skills and competencies gaps and emphasises using internal sources of capacity building such as job rotation, coaching, deployment, etc.;

Exit; ‒ Retirement – clear timelines to reduce processing time. ‒ Resignation – clear timelines to reduce processing time.

Diversity, gender and social inclusion – a periodic service-wide activity to monitor trends in HR activities and resolve anomalies;

Workforce planning – based on strategic direction and a requisite for recruitment and key to people development activities.

Six of the 14 guidelines listed above, namely Grievance, Paternity leave, Oracle/nominal roll/payroll reconciliation, Development and training needs analysis, Diversity, gender and social inclusion and Workforce planning are recent introductions to the service. The HR officers will require technical capacity building to effectively perform Development and training needs analysis, Diversity, gender and social inclusion and Workforce planning. Further revisions to the guidelines may be necessary based on findings during implementation. The operational processes are backed further by an HRM Resource Suite 2013 launched in June 2013 to all State Partnership for Accountability, Responsiveness and Capability (SPARC) states and being considered for adoption and adaptation by Lagos State.

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Section 1: Introduction and Background

Objective of the Assignment The assignment sets out to provide a suite of guidelines for HR management operational activities in the state civil/public service that will hopefully result in a high level of standardisation across MDAs and improve the effectiveness of MDAs in managing the workforce. The guidelines are also to support the effective implementation of the revised CS/PS rules and newly drafted HR policies in the MDAs.

Scope of Work To achieve the objective of the assignment, the Terms of Reference (TOR) required that the consultant select, lead and manage a team of LSG officials to document the guidelines for selected HR activities and prepare a plan for their implementation. The initial TOR for this assignment identified nine HR activities within the scope of work. These were:

Recruitment, selection and appointment;

Career development; ‒ Appraisal. ‒ Secondment. ‒ Promotion.

Discipline;

Grievance;

Appeals;

Leavers;

Learning and development.

However, during the initial assignment briefing meeting SPARC identified the need to revise and extend the scope of work to cover the under listed 12 HR activities was drafted. These were:


Deployment;

Appraisal;

Promotion;

Discipline;

Grievance;

Leave; ‒ Maternity leave. ‒ Paternity leave.

Oracle/nominal roll/payroll reconciliation;

Development and training needs analysis;

Exit; ‒ Retirement. ‒ Resignation.

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Diversity, gender and social inclusion;

Workforce planning (is not in the TOR but as work in progress under SPARC was agreed as one of the activities to be documented).

The revised TOR are at Appendix 1.

Approach and Methodology To carry out the assignment effectively, the consultant held several initial meetings with SPARC to understand the scope of work, agree the best approach to accomplishing the set tasks, and obtain the input documents. The consultant went on to design the template for the guideline documentation (see Appendix 2) and prepare the TOR for the LSG officials including the Office of Transformation (OOT) that were to work on the documentation (see Appendix 3 for the names of the team members in the working group and the TOR). The TOR and template were agreed with SPARC. Ten LSG officials were selected based on their participation in the HR pilot and hands on experience in the HR areas to be covered in the guidelines. This approach was adopted in consideration of the peculiar nature of government activities. The intention was that the team would provide insight on the existing procedures and protocols and problem areas to ensure that the output was not only aligned to good practice but practicable within the context of Lagos State Government. The consultant held an initial briefing meeting with the LSG team to share and explain the team TOR, agree on the best template format, assign tasks to individuals and agree on the working days. At the end of the meeting, the team was further split into two-person sub teams to enable synthesis of ideas and work continuity in the likelihood that some team members would be unavailable during the scheduled times. It was agreed that the team would meet for three days over a 4-week period. Although eight persons were selected for the team, due to work commitments, only six participated. The team also requested for formal recognition of their participation. This was communicated to the SPARC team and they accepted that some form of recognition will be given to the team. The team had access to the newly developed HR policy document, the revised CS/PS rules (currently awaiting approval), the revised HRM responsibility matrix, a prior draft of HR guidelines and information on HR best practices and with guidance from the consultant was expected to use all these sources to develop the guidelines2. The work was done at the Lagos State Government Digital Village for easy access to computer systems and the internet. At the commencement of documentation, the team collectively documented the guidelines for maternity leave to help everyone begin with a comparable level of understanding of the documentation process and the template.

Overview of the Assignment The documentation of HR guidelines is part of a body of interventions by SPARC in Lagos State public service management. It is following after the HR pilot exercise in which new HR roles were tested out and participants made recommendations to address various

2 In parallel an HRM Resource Suite 2013 was developed and launched at a workshop for all SPARC states in

2013. Senior LSG staff are now committed to taking this forward.

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challenges in the current and proposed people management practices. Some of these challenges were considered in documenting the guidelines. In further advancement of the professionalisation of HRM, HR policies and principles were developed to set the benchmark for good HR practice. The HR guidelines are derived from both the HR policies and CS/PS service rules. They provide step by step directions, timelines and responsibilities for the performance of current and transitional HR operational activities.

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Section 2: Summary of Work Done Over a period of 30 days the team documented the step by step guidelines and accompanying tools (see Appendix 4) for the following HR activities:

Workforce planning;


Deployment;

Appraisal;

Promotion;

Discipline; - Misconduct and gross misconduct. - Poor performance.

Grievance;

Leave; - Maternity leave. - Paternity leave.

Oracle/nominal roll/payroll reconciliation;

Development and training needs analysis;

Exit; - Retirement (Statutory, Voluntary and Compulsory). - Resignation/Withdrawal.

Diversity, gender and social inclusion.

Workforce planning Workforce planning is a new concept within the service. Previously, the practice has been the use of annual establishment plans mainly for the purpose of recruitment. The guideline for workforce planning compels HR practitioners to plan strategically for the workforce both in the short and long term. It also recognises that workforce needs can be met using capacity building measures such as training, deployment, coaching, job rotation and recruitment.

Recruitment, selection and appointment The guideline for recruitment, selection and appointment covers the activities from the point where an MDA commences the process of filling a planned vacancy identified in the approved MDA workforce plan or an unplanned vacancy approved by the Permanent Secretary (PS)/Head MDA to the induction of the new employee into the CS, the MDA and to his/her specific duty post. Key points in this guideline are (a) the use of workforce plan as the underpinning rationale for recruitment policies and (b) the extension of employee induction to both the MDA and job level. A workforce plan should limit the incidence of ad hoc and non-strategic recruitment, while induction will promote easy integration of the new employee into a new work environment.

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Deployment Currently, deployment appears to be a thorny issue within the service. The guideline has recognised the need for deployment to be based primarily on the capacity needs of MDAs and capacity building needs to fulfil the potential of individuals as identified in their performance review rather than by individual discretion or whim. So, whilst PSO may be currently responsible for the main operational activities within deployment, their actions will be MDA demand driven, make reference to individual development needs and also be in consultation with the parent MDA of the pool staff.

Appraisal The appraisal guidelines highlight the need for one-on-one meeting between the appraiser and the subordinate to make explicit the requirements of the job and the job holder, to discuss the job holder’s performance on the job and also plan for future performance and career. To guard against fears for undue subjectivity in reviews, it retains the role of the Personnel Management Board (PMB) in moderating performance ratings.

Promotion The guidelines on promotion preserve most of the existing procedures in the service and the provisions of the revised CS/PS rules. However, to strengthen these provisions, it includes two major controls that should guard against manipulations of the interview outcomes. Firstly, each CSC representative is required to prepare a written report on the interviews for the PS, CSC so this can be reviewed against the PMB report. Secondly, rather than only the PS, all interview PMB members must endorse the final recommendations for promotion sent by the MDA to the CSC. It is important to note that the emphasis in the revised CS/PS rules on tenure as a condition for eligibility, though included in the guidelines, does not promote high performance and ultimately leads to inefficient utilisation of resources. Only staff eligible for promotion should be considered. The available vacancies identified in the MDA workforce plan and individual performance on the job should be the core criteria for promotion if LSG is to have a high performing workforce.

Discipline - Misconduct and Serious misconduct The guideline stipulates informal and formal steps that should be taken in addressing issues of misconduct. It states the informal actions the offender’s supervising officer is expected to take at the initial stage of misconduct. It also reflects the formal provisions in the revised CS/PS rules for addressing issues of misconduct and serious misconduct, such as interdiction or suspension.

Discipline - Poor performance This guideline details the steps to be taken in addressing poor performance on the job. The supervising officer or line manager is expected to not just identify instances of poor performance but with support from HR, proactively support the staff in addressing these issues through setting improvement targets and agreeing improvement actions. These steps are an addition to the CS/PS rules provisions for termination of appointment in the case of poor performance on the job and three attempts at the promotion process. Ideally poor performers should not be considered for the promotion exam.

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Grievance As with workforce planning, grievance resolution is a new concept within the CS but is included in the revised CS/PS rules. The documented guidelines are divided into two main sections – informal and formal resolution. The HR officer is expected to encourage employees to resolve their grievances informally, but the employee retains the right to pursue a formal resolution if he/she so chooses.

Leave - Maternity leave In addition to ensuring that any staff entitled to maternity leave gets to go on leave, the guideline states explicitly the need for HR to ensure that the employee’s line manager plans for adequate cover during the period of absence and also ensures a smooth assimilation for the employee when she returns to work.

Leave - Paternity leave Paternity leave is another recent introduction yet to commence in the CS. The guidelines require the expectant father to give at least a two-month notice before the expected due date so that provisions for duty relief can be made during his period of absence. However, he can only proceed on leave after submitting a valid birth certificate recognising him as the father.

Oracle/nominal roll/payroll reconciliation This guideline is an interim measure to address the inconsistency that currently exists in employee data housed in the MDAs and service-wide MDAs. It details steps for sharing employee data between MDAs, and central agencies to enhance data accuracy and completeness. However, the proposed activation of the Oracle Human Resources Management Information System (HRMIS) at the MDAs should eliminate the need for this procedure as employee data entry and access will become real time, accurate and reliable.

Development and training needs analysis One of the key elements in this guideline is the role of MDAs as the primary identifier of development needs through the conduct of detailed development and training needs analysis. The training needs draw from the strategic needs of the MDA and individual performance reviews and are categorised at various levels such as individual, team, department, cadre etc. The output from this guideline will inform the service-wide training calendar rather than what currently exists where service-wide training is predetermined without adequate input from the MDAs.

Exit - Retirement (Voluntary, Compulsory and Statutory) The steps in the documented retirement guideline are largely similar to the existing procedures and the provisions in the revised CS/PS rules. It includes steps from the point of notification to retire, to post service support to retirees. However, CSC will now be the single source of notification of commencement of statutory retirement from the state rather than both CSC and PSO as previously. The highpoint of this procedure is the introduction of timelines to the processing of retirement benefits to ensure more efficient service delivery.

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Resignation/ Withdrawal The high level of similarity in the procedure for resignation and withdrawal of service informed the decision to include withdrawal of service in the guidelines though it was not stated in the TOR. As with retirement, the documented guidelines closely match the existing procedures. Similarly, the timelines provided enhance the effectiveness of the documented steps.

Diversity, gender and social inclusion Diversity, gender and social inclusion are mentioned briefly in the CS/PS rules with regards to recruitment but are explicitly captured in the HR policies. The guideline focuses on monitoring the incorporation of these concepts within HR activities. It looks at calculating trends over a period of time and following up on anomalies that are noted in analysis. It is highly dependent on the accuracy and completeness of employee data from HR activities and so may be ineffective in a poor data environment.

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Section 3: Implementation Plan – Next steps

Period of implementation These guidelines are intended for implementation at the roll out of HR in the MDAs but are yet to be tested. As with any new initiative, there may be need for revisions to the guidelines particularly with regards to timelines for completion of certain steps or activities. If not already planned, it is advisable that the implementation is done in select MDAs including both individual and service-wide MDAs. Issues during implementation should be captured for improvements to the guidelines. However, it is important to note that though the guidelines seek to standardise service quality, the intention is not to stifle initiative but provide a minimum level of performance expected.

Timing of implementation Specific commencement times within the state government calendar year have been stipulated for some of the guidelines for two major reasons. Firstly, the output(s) of some of guidelines e.g. development and training needs analysis are major inputs into other activities e.g. budget preparation. The cost for these activities must be included in the budget if they are to be implemented. Secondly, to eliminate ad hoc reactions and improve resource utilisation, some guidelines are scheduled to commence at particular points in the year. For example, in the maternity leave guideline, the HR department sends out notices to all staff in January and July requiring the relevant officers to commence the processing of their maternity leave. In both instances, it is advised that the steps within the guidelines that are period specific commence as stated but intermediate steps that are not period specific can be incorporated into the current system.

Capacity building Some of the guidelines are straight forward and are already part of the existing system; a few are recent introductions requiring sound technical know-how. Therefore, the officers who will be responsible for them need to be trained to carry them out effectively. This training will include workshops, classroom training to cover HR concepts that are entirely new to the Service, and where possible, work exchange (internal and external). The OHOS should also establish a community of practice for HR staff to provide peer support and knowledge sharing opportunity. The table below shows the guidelines that can commence immediately and those that require training.

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Table 1 – Guidelines to commence immediately and those that require training for HR officers

HR Guidelines Immediate Requires training

Workforce planning x

Recruitment, selection and appointment x x

Deployment x x

Appraisal x x

Promotion x x

Discipline - Misconduct and Gross misconduct x

Discipline - Poor performance x

Grievance x

Leave - Maternity leave x

Leave - Paternity leave x

Oracle/nominal roll/payroll reconciliation x

Development and training needs analysis x

Retirement (Statutory, Voluntary and Statutory) x

Resignation/Withdrawal x

Diversity, gender and social inclusion x

Process of implementation Workforce planning, Grievance, Paternity Leave, Diversity, Gender and Social Inclusion are entirely new processes and will need to be endorsed by LSG for implementation to commence. The Oracle/nominal roll/payroll reconciliation guideline is an interim arrangement to address the challenge of personnel data inaccuracy. The steps outlined in the guidelines should become unnecessary once MDAs have real time access on Oracle to update personnel data. This will mean revising all processes to reflect the real time interactions with Oracle. However, the physical reconciliation should continue over the short term until the data output from Oracle is confirmed accurate and reliable. The process of using tenure rather than performance on the job as a basis for selecting staff eligible for promotion exams and subjecting staff who are performing well on the job but have failed promotion exams to Disciplinary PMB is not in line with professional HRM practices and cannot be endorsed by SPARC. There needs to be further revision to the CS/PS rules on Promotion and Discipline, and a subsequent update to the guidelines to reflect good practice.

Tracking and Evaluating Progress METP as custodians of the HR policies and CS Rules should be responsible for tracking the implementation of these processes with the support of the HR and Administration Department. The HR and Administration department are to document the challenges faced in implementing the processes so that METP can recommend solutions which are appropriate, these may include educating parties involved in the process execution, revisions to processes or revisions to existing policies and rules.

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Appendix 1: Revised TOR

SPARC TOR: LAG PSM 22 C

A. Related Activity Description (AD) Details

1. AD Title: 2. AD Version 3. AD Work Planning Period

LAG PSM 22 Human Resources Management v2 - 23.8.12 2012-13

4. AD Milestones to be Delivered

Quarter. Milestone

1 HRM training curriculum agreed by METP, PSSDC and CIPM(N)

2 G&SI-sensitive HRM policies agreed by HoS and Body of Perm Secs

3 HRM Unit structure agreed; All States Share Fair – managing HR Resource

4 HRM cadre proposal presented for EXCO decision

B. Terms of Reference

5. Version 6. Start Date 7. End Date

3 23.04.13 1.12.12 31.3.13

8. Lead Consultant: Sheena Matthews

9. Supporting Consultants: Chioma Obi-Osuji

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10. Introduction

Please see the Activity description attached

Corporate Planning in MDAs has drilled down below mandates and is, in turn, exposing the limitations of central procedures for recruitment, job classification, progression and promotions as increasingly unfit for purpose in the MDAs which HOS and others will be asked to address. The creation of new cadres for procurement and planning and envisaged for HRM is driving a wedge into the traditional administrative cadre and prising open MDA needs for more professional staff and potentially redundant roles/jobs in e.g. DFA departments. HoS is backing the professionalisation of HRM and has asked that Corporate Planning be rolled out to all MDAs.

A priority for 2012-13 will be supporting the HOS in the transition to professional HRM through pilot incubator units in selected MDAs. 3 tiers of HRM roles will be tested and relevant information and a data on the HR function will be systematically gathered. Staff will be trained for the HR roles, and the PSSDC training curriculum developed in conjunction with the CIPM (N) will be accessible to other States. A suite of HRM policies has been accepted in principle and following the HRM Unit pilots will be tabled for adoption and adaption as appropriate. Proposals for an HR cadre to implement these will be put to EXCO.

In parallel workforce planning in LSG is seen as ‘critical’. A plan to address state wide workforce planning should replace the centrally-collated establishment plan and provide LSG with the wherewithal to save posts and forecast more accurately the capability it needs. The work on PSM 22 and 23 will need to be skilfully coordinated.

There is considerable overlap in HR functions in the 3 central ministries which will need to be resolved if the HR Units are to function properly.

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11. Specific Milestones

(Including Milestones under [4])

12. Deadline 13. Int' Days

14. Nat' Days

15. Activities 16. Responsibility

G&SI-sensitive HRM policies agreed by HoS and Body of Perm Secs

- Read current HR processes and HR policy work to date

- Scope operational guidelines in support of priority HR Policies

- Select, lead and manage a team from LSG (central MDAs and OOT);

- Draft operational manual and operational guidelines for LSG with implementation plan

- Produce SPARC report

31.3 12

1

4

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4

Familiarise self with:

the SPARC HR Policy document to be submitted to LSG by 31.12.12

with the HR processes identified in the CP work in METP, PSO and CSC and

LSG revised CS Rules

Convene a working group of CS from OOT, PSO, METP and CSC [talented others?] selected from staff who have completed and understood the HR Pilot activities ( Zia Paul Birabi and Chioma Giwa-Amu will advise) Agree TOR for the working group Draft new operational guidelines in support of the priority HR policies Priority processes to include:

Recruitment, selection and appointment

Career development (appraisal, secondment and

Chioma Obi-Osuji tbc

Supported by OOT designated staff and Chioma Giwa Amu – STO, PSM

Chika Uwadi TCM PSM and Zia Paul Birabi HR consultant

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11. Specific Milestones

(Including Milestones under [4])

12. Deadline 13. Int' Days

14. Nat' Days

15. Activities 16. Responsibility

promotion)

Discipline, grievance and appeals

Leavers

Learning and development

Diversity gender and social inclusion

(A Workforce audit and review of workforce planning will be done in parallel and if agreed should be incorporated in 2013-14) Draft an action plan for LSG to adopt the Guidelines, setting out actions for the central MDAs that own the specific HR processes. With SPARC communicate progress monthly to HOS and HC METP

1. Stage reports quarterly 2. Final report

Totals: 30

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17. Reporting

In addition to the outputs listed above, each consultant is required to submit the following reports (delete as appropriate):

Visit report at the end of each visit (including for use in updating SPARC M&E MIS).

Final report at the end of assignment.

Note: These reports should be prepared in accordance with associated SPARC reporting templates and guidance. Final payment will be made upon receipt and approval of final report by the TSL/SPM.

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Appendix 2: HR Guidelines Template

Overview

Operating Procedure

Tasks/Instructions Timeline Responsibility (Officer/Dept)

{Insert section heading 1}

1.

2.

3.

4.

5.


6.

7.


8.

9.

10.

11.

{Insert Section Heading 1}

- Write the high level steps involved in bullet points


- Write the high level steps involved in bullet

points


- Write the high level steps involved in bullet

points

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Appendix 3: Working Group TOR

TERMS OF REFERENCE

Lagos State Government Human Resources Operational Guidelines Working Group

1. Name: HR Operational Guidelines Working Group

2. SPARC Work stream: Public Sector Management:

Human Resource Management (HRM) (PSM 22)

Members Mr. Bisan - MEPB

Mrs. Olatokun - Works

Miss Oguntona - MEPB

Miss Korode Sadiq - PSO

Miss Vincent - PSO

Mr. Dosunmu - METP

Mrs. Fasasi - METP

Miss Ogundunsi - CSC

Mr. Rufai Olalekun – OOT

Mrs. Ogunmola - CSC

6. Overall HRM Goal & Strategy

The overall goal of the HRM work stream is to professionalise HRM and to establish effective HRM and HRD capability in LSG public service organisations.

In particular there is a desire to reflect HR best practice, within the constraints of a national policy and regulatory framework, and for MDAs to be more responsive to the particular needs of their MDA and their staff. It has been proposed that this work be completed by the end of 2014.

To achieve this it is proposed HR Departments are established in select MDAs which have a clear remit and are staffed with capable and trained personnel. These new Departments will be staffed by pooled HR Administration generalists as well as professional HR Managers and Strategists who are trained and have the authority and information they need to do their jobs properly. These HR Departments will support more effective delivery of the overall LSG strategy for improvements in the public service, be respected and give professional advice and guidance, free from political interference.

7. HR Operational Guidelines

After the HRM Unit pilot, a suite of HRM policies was developed and has been accepted in principle and is now with the HoS for EXCO approval. The next step is to produce a set of HRM

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operational guidelines which LSG agrees is required to provide practical guidance for officers on the day to day administration of the HRM policies from Workforce planning and recruitment to exit from the service. The guidelines will spell out step by step instructions and approvals required in performing the HR processes.

For the purpose of this piece of work, the following areas have been selected as priorities

‒ Recruitment, selection and appointment ‒ Deployment ‒ Performance management- Appraisal and promotion ‒ Employee relations- Discipline and grievance ‒ Leave– Maternity and paternity leave ‒ Oracle/nominal roll/ payroll reconciliation ‒ Development and training needs analysis ‒ Exit – Exit & Resignation ‒ Diversity gender and social inclusion

8. HR Operational Guidelines Working Group Activities

Initial briefing meeting with Consultant and SPARC

Review new HRM policies, revised CS rules, other relevant documents and subsisting operational guidelines/procedures relating to the priority areas

Research materials on best practice HR operational guidelines for the above listed priority areas

Develop and document new HR operational guidelines for these priority areas

Periodic meetings to discuss progress

Final draft of HR guidelines developed for validation

8. Timelines

The team is expected to work 3 days a week for one month (4 weeks) and produce a consolidated output

9. Communication and Reporting

The working group chair will be appointed at the inaugural meeting and will primarily be responsible for convening meeting and disseminating information to team members with the assistance of the secretary.

A secretary will also be appointed and will be responsible for taking notes of discussions during general team meetings and ensure action points are documented and circulated to team members by the end of the following day.

Nevertheless, all team members are expected to report directly to the Consultant in preparing their outputs and provide on-going update on their work to the Consultant.

Meetings will be scheduled as required but team members should expect to receive at least 1 day notice before general team meetings.

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Appendix 4: HR Operational Guidelines and Accompanying Tools 1. Workforce planning 2. Recruitment, selection and appointment 3. Deployment

Sample Deployment Checklist 4. Appraisal 5. Promotion 6. Discipline

a. Misconduct and Gross misconduct b. Poor performance

7. Grievance 8. Leave

a. Maternity leave b. Paternity leave

9. Oracle/nominal roll/payroll reconciliation 10. Development and training needs analysis 11. Exit

a. Retirement (Statutory, Voluntary and Statutory) Retirement Checklist

b. Resignation/Withdrawal Resignation Checklist

12. Diversity, gender and social inclusion

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Workforce planning3 Overview

Operating Procedure

Tasks/Instructions Timeline Responsibility (Officer/Dept/MDA)

Prepare workforce gap analysis

1. Review Government agenda, MTSS, MDA priorities and planned internal changes in the MDA (e.g. mandate, structure, core functions and processes, technology) to determine the future workforce demand in terms of competencies, number and mix

Within a 4 week period of

commencement4

MDA HR

2. Meet with individual HoDs to validate the projected demand

MDA HR

3. Determine the profile of the current workforce, particularly their competencies, number and mix

MDA HR & Dept. Heads

4. Analyse the environment to determine its impact on the future supply of labour (including current staff)

MDA HR

5. Compare the current workforce demand against the future workforce demands and identify gaps

MDA HR & Dept. Heads

6. Identify the best methods for filling these gaps e.g. training, deployment, contracting, recruitment, and prioritise based on effectiveness and budget

MDA HR

7. Prepare a formal workforce plan that analyses the findings from Steps 1 – 6 and makes recommendations. Review and/or prepare Job Descriptions and Schedules for the roles. Forward the

MDA HR

3 To be finalised once the workforce planning methodology has been agreed by LSG; the process will be annual

4 The output of this process and subsequent reviews should feed into the MDA budget and so the process

should commence with sufficient time to complete before budget preparation

Prepare a workforce gap analysis

- Determine current and future workforce demands

- Determine current and future workforce supply

- identify gaps and make recommendations

Present recommendations

- Present recommendations to MDA mgt

- Prepare workforce plan based on approved recommendations

- Forward workforce plan to METP

- METP reviews and approves workforce plan

25


same to the Perm Sec/Head of MDA and request for a meeting to present analysis to Perm Sec, HoDs and Heads of units. Revise the establishment plan

NB. The plan should include data and analysis on workforce demand and supply and the estimated staffing budget along with proposals on closing capability gaps. The JDs will take into account required qualifications as outlined in the Schemes of Service.

Present recommendations

8. Receive and review workforce plan, against strategic MDA priorities. Approve the meeting request.

Within 3 days5 of receipt

Perm Sec/Head of MDA Review with D HRM & A (as author of the draft plan)

9. Forward written notification of the meeting to Perm Sec/Head of MDA, HoDs and Heads of units attaching a copy of the workforce plan for review and comment

Within 2 days of receipt

MDA HR

10. Hold the meeting to present, review/refine/endorse the workforce plan

As stated on the notice

Perm Sec/Head of MDA, HoDs and Heads of units and MDA HR

11. Revise and Forward a copy of the approved workforce plan to METP, Establishment department

Within 3 days of final approval

MDA HR

12. Review the workforce plan to ensure it is in line with the government’s strategic direction. Meet with the relevant MDA to discuss any issues. Approve as appropriate and forward approved copy to MDA.


METP, Establishment Dept6

13. Receive approved copy and implement as appropriate

As stated in the plan MDA HR and Senior management

5 ‘Days’ in the process refers to working days not calendar days

6 Currently the department with designated responsibility for state wide workforce planning

26

Recruitment, Selection & Appointment Overview

Operating Procedure


Recruitment planning

1. Based on the Workforce plan or exits, determine available vacancies for the year from the workforce plan and hiring plan or from unplanned but Perm Sec approved new recruits

NB. The Perm Sec/Head of MDA is responsible for the decision to recruit for unplanned vacancies that arise. The person specification must not be prejudiced to gender, ethnicity or physical ability except where the peculiar demands of the job clearly make it so.

Within 5 days

MDA HR

2. Revise or develop the job description for each vacancy with support from the relevant line manager and forward with a request to constitute a Recruitment PMB

MDA HR

3. Review the job description and approve request


Perm Sec/Head of MDA

4. Send a written notification to the PMB members attaching the job description

Within 1 day of receipt

MDA HR

5. Hold the PMB to discuss the vacancies and accompanying job descriptions with reference to the workforce plan and Personnel budget to determine if internal

As stated in the notice

PMB members

Recruitment planning

- Determine planned & unplanned vacancies

- Develop the accompanying JDs and hold recruitment PMB

- Request approval for dispensation

- Request approval to recruit

Place adverts and shortlist

- Develop and place adverts using job descriptions

- Receive and shortlist candidates

Organise selection tests & interviews

- organise tests and select

- organise interview PMB for selected candidates

- recommend candidates for appointment

Appoint successful candidates

- Inform successful candidates

- Receive candidates' acceptance letter

- scan acceptance letter unto Oracle

Resumption and Induction

- Collect and upload candidates ' personal details

- Conduct service-wide, MDA & job induction

- Provide working space & tools

27


redeployment or deployment may be suitable for any of the positions. If internal redeployment or deployment is suitable, see Guidelines on Deployment for required procedure

6. Prepare a report of the outcome of the PMB and forward to the Perm Sec/Head of MDA for endorsement, with justification based on MDA’s strategic objectives

Within 2 days of the PMB

MDA HR

7. Review the PMB report and endorse the relevant vacancies to be advertised.



8. Forward the endorsed vacancies and accompanying job descriptions to METP, CSC or OHoS depending on the level of hire, (1-6 METP, 7-14 CSC, 14 and above, CSC or OHoS)with a request for approval of dispensation


MDA HR

9. Review request for dispensation against the approved MDA workforce plan and job description and approve


METP/CSC/OHoS HR officer

10. Forward a copy of the approval to recruit with the job descriptions to CS Commission and a copy of the approval to the requesting MDA

Within 1 day of approval

METP

Place Advert and shortlist

11. Develop job advert using the relevant job description and person specification for each vacancy and place on MDA notice boards, state government website, national newspapers NB. Headhunting or engaging the services of recruitment agencies may be used for senior positions or positions where skills are scarce in the labour market


Commission/METP/ MDA

12. Receive written applications from candidates weed out those that are not compliant7 and shortlist based on the person specifications in the job description8

Within 10 days of the deadline

Commission/METP

7 Candidates are asked to supply specific information such as any current convictions, past CS employment and

financial embarrassment 8 Good practice suggest a ratio of 5-8 candidates for each vacancy depending upon job complexity

28


- All employment engaged in, reasons for leaving the employment and any contractual obligations to present employer

Organise selection tests and interview PMB

13. Organise generic selection tests and/or job/MDA specific tests for shortlisted candidates, set the performance standard and pass rate required

On the date approved for the test

Commission/METP

14. Compute the test scores and identify the candidates who reach/exceed the standard and pass mark

Within 5 days of the test

Commission/METP/OHoS

15. Post the test scores of all candidates on the MDA notice board and the state website

Within 3 days of approval

Commission/METP

16. Forward list of successful candidates to each MDA requesting to recruit, with a notification of scheduled interview dates and venue; notify unsuccessful candidates

Commission/METP

17. Write to invite successful candidates informing them of the interview date and requirements9

At least 15 days before the interview date

Commission/METP

18. Receive the notification of interview dates and approve the constitution of an Interview PMB, based on the level of officer being recruited and skills requirements outlined in JD10



19. Send written notification to PMB members


MDA HR

20. Prepare interview questions and assessment criteria based on the job description and person specification and forward to the Perm Sec/Head of MDA for approval

NB. The interview questions must be kept confidential from the stage of drafting. Copies should only be given to the interviewers at the venue and collected at the end of the interviews

Within 7 days of receiving list of successful shortlisted candidates and degree of urgency

MDA HR

9 Common practice is to interview 3-4 candidates for each vacancy

10 Some highly specialist or technical jobs will require similar competence on the interview panel to be able to

judge the suitability of candidates for the job

29

21. Review and approve the interview questions



22. Hold selection interviews, score candidates and identify the 1st, 2nd and 3rd choice candidates for each vacancy, based on requirements of job outlined in job description and specification of prospective job holders

NB. Commission, METP, PSO representatives to provide significant input here.

As stated in the notice

PMB members

23. Prepare a report of the interview PMB stating the justification for each proposed appointment/rejection. Forward to the Perm Sec/Head of MDA for approval

Within 3 days of PMB

MDA HR

24. Review the report and approve recommendations



Appoint successful candidates

25. Forward recommendations for appointment to Commission for GL7-17+, and Perm Sec Commission and HoS for GL1-6

N.B. Additional approvals required by Commission if:

- Candidate has been convicted of criminal offence - Has previously been employed in Service and dismissed or called upon to retire


MDA HR

26. Receive the recommendations for appointment and inform successful candidates in writing stating the need to accept the appointment in writing, date of joining, documents to submit and any other conditions in the CS rules to be met for joining


Commission/OHOS/METP/MDA

27. Receive and scan candidates acceptance letter into Oracle and forward a copy of the letter to the requesting MDA and PSO


Commission/ OHOS

28. Receive the letter of acceptance and prepare a plan for new appointee(s) joining instructions, terms and conditions of employment and induction

PSO, Service Matters

30

Resumption and induction of successful candidates

29. Collect candidates’ documents on joining and complete the record of service with required information. Forward a copy of the record of service to the requesting MDA, METP, the Pension Fund Administrator/Lagos State Pensions Commission and other relevant Offices/Departments



30. Update Oracle with the personal details provided.

PSO, Service Matters/ MDA HR officer

31. Conduct the service wide and administrative induction and provide candidates with relevant documents guiding their appointment

Within 10 days of joining


32. Send a list of inductees to the relevant agencies they have been appointed to.

By the last day of induction


33. The list of inductees and have each inductee Receive sign an Oath of Secrecy Form. File the signed form with the copy of the record service

Within 5 days of joining


34. Organise the MDA specific induction and job induction to familiarise them with the MDA and the specific requirements of their role. Give each inductee a copy of their job description.

MDA HR

35. Write a letter of introduction formally introducing the inductees to their respective HoDs after the induction. Follow-up with the HoD to ensure the inductee is provided a working space and tools, and assigned to their roles.

By the last day of MDA induction

MDA HR

31

Deployment Overview

Operating Procedure


Deployment of pool staff to fill vacancies identified as part of workforce planning process

1. Review MDA workforce plan and

- Identify vacancies and the required skills competence to fill the vacancy

- Compare the skills competence against the JD

- Determine if vacancy can be filled by deployment, if not see recruitment guidelines

- identify to Parent MDA any staff vacancies to be filled by deployment or receive request from the Head of Department (HOD) to fill unplanned vacancy e.g. resignations/withdrawal/death

NB. The workforce plan should have identified planned vacancies due to retirement and the MDAs strategic direction. Officers within 12 months of retirement are not generally deemed eligible for deployment

First working week of LSG calendar year

MDA HR Officer

2. Review the completed Staff Performance Appraisal Development and Evaluation (SPADEV) forms of eligible staff (within the MDA) for the preceding year against the job descriptions of the vacancies to determine suitability.

NB: An employee becomes eligible for

MDA HR Officer

Deployment for vacancies

-Review MDA workforce plan for deployment vacancies

- Make deployment recommendations using set criteria

- Approve deployment recommendations

- Notify staff

- Update nominal roll and Oracle

- initiate guidelines on Discipline - Serious misconduct for defaulting staff

General deployment

- Make general deployment recommendations using set criteria

- - Approve deployment recommendations

- Notify staff

- Update nominal roll and Oracle

- initiate guidelines on Discipline - Serious misconduct for defaulting staff

32

deployment after a minimum of two years and maximum of 4 years in the same post. Suitability is based on meritorious job performance, demonstrated skill and experience and potential.

3. Prepare and forward, for the Perm Sec’s endorsement, a request a) for internal deployment of suitable

Parent staff within the MDA to the vacant duty posts AND/OR

b) for external deployment from other MDAs, outlining required skills

MDA HR Officer

4. Meet with the HR Manager to review the request and ensure it is aligned to the MDA’s strategic plan and need. Endorse the reviewed request


Perm Sec/Head MDA

5. Receive endorsed request and forward with job description for each vacancy to the relevant Parent MDA


MDA HR Officer

6. a. Review endorsed requests for internal deployment from all MDAs against the relevant job descriptions b. Ensure staff recommended to fill vacancies are suitable based on the JDs; if they are, forward to Perm Sec for approval. If not, notify the MDA to review the request


Parent MDA HR Officer

7. Review endorsed requests for external deployment from all MDAs against the relevant job descriptions

8. Identify suitable staff from other MDAs where there are suitable and available staff to fill the vacancies. Prepare a deployment list and forward to the Perm Sec for approval. Otherwise, notify the initiating MDA to commence guidelines on Recruitment, Selection & Appointment.


9. Receive and approve the reviewed internal deployment request and/or external deployment list


Parent MDA Perm Sec/Head of MDA

10. Receive approval. For internal deployment – send written notification to the initiating MDA; for external deployment – send written notification to the initiating MDA and MDA of staff to be deployed



33

11. Receive notice and forward to affected staff, copying their HOD.

NB. Staff deployed within an MDA and across MDAs should resume at new duty post within 10 days allowing for proper handover of responsibilities.


Initiating MDA HR Officer and MDA HR Officer of deployed staff

12. Pause salary payment on Oracle (except for staff with valid reason for defaulting) and update the Nominal roll

NB. MDA HR officer to ensure the Oracle is updated as valid reasons for default include absence from the office due to ill-health, leave or official duty and the reasons should be communicated to the receiving and Parent MDAs.

At the close of the deadline for resumption

MDA HR Officer of deployed staff

13. Forward a letter of release to the initiating MDA. The letter should state the reason for absence of staff away from the office officially.


14. Receive the letter of release and activate salary payment on Oracle for staff who have reported to their initiating MDA and update the Nominal roll

Within 1 day after the deadline for staff resumption

Initiating MDA HR Officer

15. Send confirmation of staff resumption or deployment to Parent MDA HR and officers who have not resumed work in the new MDA.



16. Review the confirmation and update deployed staff details with new duty post. Send notice to the MDA of defaulting staff to initiate guidelines on Discipline – Serious Misconduct.



34

General deployment of pool staff

17. Prepare and forward a list of deployment recommendations of other eligible staff11 in the MDA that is in line with their career path and based on the following graduated criteria i. Roles/specific skills gaps identified

within the MDA which need to be filled as part of workforce planning process

ii. meritorious job performance iii. development needs identified in

SPADEV iv. Officers who are critical to

succession planning of MDA who should not be deployment due to retirement date etc.

v. number of years on current duty post/MDA

vi. individual request NB. The list should state the justification for each recommendation (a sample Deployment list is attached)

On-going activity or at least twice a year to

coincide with bi-annual deployment exercise by central

MDAs?

MDA HR Officer

18. MDA HR Head to review, endorse and forward the deployment recommendation list

MDA HR Head

19. Parent MDA HR officer receives and reviews deployment recommendations from all MDAs, once they have been internally approved/endorsed by their respective HR Dept Heads



20. Prepare a general deployment list of other eligible Pool staff stating the reason for each individual deployment and on the basis of the graduated criteria above (see attached sample Deployment list)


21. Review the deployment list and forward to the Perm Sec/Head of MDA for approval

Parent MDA HR Manager

22. Receive and approve the deployment list


Perm Sec/Head of Parent MDA

11

Other eligible staff refers to eligible staff who have not been deployed within the year to fill vacancies

35

23. Forward approved deployment list to all MDAs with staff being deployed and request for written confirmation of staff deployment within 7 days



24. Receive the approved list and a) post on all staff notice boards in the

MDA b) prepare letter of notification and

forward to relevant staff c) prepare a list per department where

staff are being deployed from or to and forward to the HODs

d) Forward a letter of release to the receiving MDA. The letter should state the reason for absence of staff away from the office officially.

NB. Letters of notification should state that deployments are with immediate effect, staff are expected to report to their new duty post within 10 days and any complaints on the deployment should be forwarded to the Parent MDA from the new duty post.



25. Pause salary payment on Oracle (except for staff with valid reason for defaulting) and update the Nominal roll

NB. MDA HR to ensure that Oracle is updated. valid reasons include absence from the office due to ill-health, leave or official duty.

At the close of the deadline for resumption and before the payroll cut off for the relevant month


26. Receive the letter of release and activate salary payment on Oracle for staff who have reported to their initiating MDA and update the Nominal roll


HR Officer of receiving MDA

27. Send confirmation of staff resumption or deployment to Parent MDA HR



36

28. Review the confirmation and against Oracle to ensure completeness and accuracy. Send notice to the MDA of defaulting staff to initiate guidelines on Discipline – Serious Misconduct. HR officer to ensure that the officer being deployed had adequate plans for handover of duties and issue the release letter on completion of handover



37

DEPLOYMENT LIST YEAR: ___________ Parent MDA: Sub MDA:

S/N Name Current Sub-MDA/Department

Current Post

No. of Years on Current Post

Proposed Sub-MDA/Department

Proposed Post Justification

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

38

Appraisal Overview12

Operating Procedure


Performance Review

1. HR officer to Prepare, provide and forward to all MDAs SPADEV forms for all staff and a notice stating the timelines for the following performance management activities in the year:

- One-on-one discussion(s) between supervisor and subordinate to review past performance and give feedback

- Formally documenting appraisal discussion in SPADEV form, including agreed areas for development to help officer reach their full potential

- Agreeing, documenting and submitting forward looking Specific Measurable Achievable Realistic/Relevant and Time bound (SMART) objectives for assessment during the next SPADEV round

- Developing and submitting personal development plans (PDPs) as recommended by the HR officer

NB -The deadlines must comply with the timelines provided in the career

Not later than three weeks from the beginning of LSG work calendar year

HR officer (forms Available Online; www.lagosstategov.ng)

12

Good practice performance appraisal and performance management would capture the job objectives and expectations at the beginning of the performance review cycle on SPADEV or its equivalent as well as recording progress at mid-year and at the end of the cycle. Templates and further guidance are in the HRM Resource Suite 2013

Performance Review

- Forward SPADEV forms and timeline for performance managment activities

- Conduct periodic performance reviews and complete SPADEV forms

- Discuss and give provisional appraisal scores

Performance Planning

- Set individual SMART performance objectives

- Prepare Personal Devlopment Plans (PDP)

Moderate performance review assessments

- Compile appraisal scores and justifications

- Hold Appraisal moderation PMB

- Approve PMB report

- Notify high perfomng staff and poor performing staff

- Endorse and forward originals to relevant MDAs

39


development policy and CS rules. Reporting and countersigning officers should be held accountable for meeting these deadlines. The HR officer/manager to regularly review and monitor performance of the officer

2. Using the reporting cycle timelines, plan when named appraisal activities should take place within the MDA during the appraisal round e.g. - internal appraisal training by HR officers for appraising managers (including how to write an appraisal, give feedback including positive and difficult messages and write SMART objectives) - distribution of SPADEV forms to HODs and unit/team heads - distribution of self-appraisal SPADEV forms to officers - appraisal preparation by appraising manager (i.e. documenting examples of good performance and areas for development, collecting evidence of quality of work delivered etc.) - request by appraising managers for feedback from colleagues/peers of the named officer being appraised - setting of provisional appraisal grades by appraising managers for discussion and review by HR officer s and HODs/team heads - face-to-face appraisal meetings - submission and collection of appraisal forms - review of appraisal forms N.B: HR officer to ensure officers provide specific evidence of performance against set objectives.


MDA HR Officer

3. Communicate appraisal timeline, key activities, responsibilities and SPADEV forms to all staff and forward the notice to HODs

MDA HR Officer

40

4. Conduct internal appraisal training for appraising managers (including how to write an appraisal, give feedback including positive and difficult messages and write SMART objectives)

As needed (timed to fit the appraisal cycle)

MDA HR Officer

5. Receive the notice and schedule a time to discuss provisional appraisal grades with appraising officers and staff


Heads of Unit/HODs13

6. Distribute SPADEV forms to HODs and unit/team heads

Within 2 days of sending out the

timelines

MDA HR Officer

7. Distribute self-appraisal SPADEV forms to officers

HODs and unit/team heads

8. Appraisal preparation by appraising manager (i.e. documenting examples of good performance and areas for development, collecting evidence of quality of work delivered etc.)

On going Appraising manager

9. Request for feedback from colleagues/peers of the named officer being appraised

As per timelines given and within the

annual budget planning cycle

Appraising managers

10. Hold face-to-face appraisal meetings N.B. HR officer to meet with dept head/line manager monthly to provide adequate coaching support to help managers communicate different messages

Appraising managers

11. Set provisional appraisal ratings for discussion and review by HR officers and HODs/team heads

Appraising managers

12. Review all provisional appraisal grades for Dept/Unit with HR officer and draw up a list of eligible officers taking into consideration length of service, grade level and cadre before final approval

HODs/MDA HR Officer

13. Collect appraisal forms MDA HR Officer

14. Review appraisal forms and identify - development needs at MDA,

individual , Dept, team level - officers who may require

performance management/discipline for poor performance

MDA HR Officer

13

Though HODs will only be required to review the performance of their unit heads and any other direct report, they are principally responsible for the performance review and so must make their own comments and countersign all SPADEV reports of staff in their department.

41

- officers who may benefit from a PDP or more active talent management as part of wider succession plan etc.

15. Develop an action plan for each department based on the items identified and discuss and agree with each Dept Head

MDA HR Officer

Performance Planning

16. Make a copy of the MDA strategic plans, departmental plans available to each staff to help them to begin to draft SMART objectives

As per OoT timelines

HODs

17. Hold scheduled face-to-face discussions with officer being appraised to: 1) discuss past performance over the last 6 months, 2) discuss areas of strength and improvement, 3) agree forward looking SMART performance objectives The following must apply: - performance objectives are aligned

with organisational goals/plans - targets are stretching but achievable - direct report understands what is

required to achieve the agreed objectives Before the stated

deadline in the SPADEV appraisal

notice

Appraising managers, Heads of Unit/HODs and direct reports

18. Fill the agreed performance objectives in the relevant sections of the SPADEV form and forward the completed form to Head of Unit/HOD to sign. NB. The completed SPADEV form should be forwarded to the HOD to counter sign where the Head of Unit is the direct supervisor

Heads of Unit/HODs

19. Receive and review the completed form ensuring the appraisal grades and information therein is as previously agreed. If same, sign and forward to the HOD. Otherwise, meet with the staff to update appropriately

Heads of Unit/HODs

20. Receive and review signed SPADEV form. Counter-sign and forward to staff

HOD

42

21. Receive and sign the SPADEV form ensuring that the relevant signatures are appended.

Staff

22. Submit a copy to the HR Officer On or before the deadline in the OoT notice

Staff

23. Receive and review a sample of completed SPADEV forms for completeness and consistency. Where there are errors, notify the staff concerned to correct the errors

Within 3 days of the deadline in the OoT notice

MDA HR Officer

24. File the copies of the SPADEV forms in the personnel file N.B. officers who fall within the field of selection for promotion exercise shall be considered except those under discharge proceedings, however, performance would be top criteria

MDA HR Officer

Moderate performance review assessments

25. Compile individual provisional scores with reviewers’ justification and forward to the Perm Sec/Head of MDA with a request to constitute an Appraisal moderation PMB

Within 5 days of receiving dully signed SPADEV

MDA HR Officer

26. Receive and approve request for the constitution of PMB



27. Receive approval and forward written notification to PMB members

NB. PMB to hold not later than 3 days from the day of approval


MDA HR Officer

28. Hold Appraisal moderation PMB to review the provisional scores and reviewer’s justification. Moderate where justification does not reflect the scores awarded

NB. PMB members may review original SPADEV forms, especially where scores and their justification vary.

On the date stated in the PMB notice

PMB members

29. Prepare report on the recommendation of the PMB and forward to Perm Sec/Head of MDA with all original SPADEV forms for endorsement.

Not later than 1 day MDA HR Officer

43

30. Receive, review and approve PMB recommendations.

Within 14 days after the end of the

reporting period


31. Where the approved recommendation is to revise the reviewer’s score, write own comments and the revised score in the concerned staff’s SPADEV form


32. Prepare letter of recognition of exceptional performance for staff assessed as exceptional performers and notification of poor performance stating required improvements for staff assessed as poor performers. Write own comments in the SPADEV form of all poor performers and exceptional performers14


33. Endorse and forward all SPADEV forms and letters.


34. Receive letters and forward to staff. Receive endorsed SPADEV forms, forward to each staff, file copies and forward originals to relevant MDAs stated in the CS rules.

Within 30 days after the end of the reporting period

MDA HR Officer

14

LSG should consider identifying the exceptional performers to test further their capability. Performance in the current job may not guarantee performance at a higher grade but high performance plus potential is a strong foundation for a talent strategy which might include special projects, fast-tracking/ accelerated promotion, managed job and career moves.

44

Promotion15

Overview

Operating Procedure


Prepare eligibility list

1. Coordinate and compile eligibility list of staff for promotion to known vacancies16 based on the following criteria: ‒ Confirmation of Appointment

(where applicable)

January

MDA HR officer

15

Current practice and good HR practice are at odds here. It is important to note that the emphasis in the revised CS/PS rules on tenure as a condition for eligibility, though included in the guidelines, does not promote high performance and ultimately leads to inefficient utilisation of resources. Only staff eligible for promotion should be considered. The available vacancies identified in the MDA workforce plan and individual performance on the job should be the core criteria for promotion if LSG is to have a high performing workforce. The process of using tenure rather than performance on the job as a basis for selecting staff eligible for promotion exams and subjecting staff who are performing well on the job but have failed promotion exams to Disciplinary PMB is not in line with professional HRM practices and cannot be endorsed by SPARC. There needs to be further revision to the CS/PS rules on Promotion and Discipline, and a subsequent update to the guidelines to reflect good practice. 16

With reference to the MDA Establishment Plan and the Workforce Plan

Prepare eligibility list

- Prepare eligibility list, seniority list for MDA based on set criteria

- Compile eligibility list for pool staff

Process eligibility list

- Forward call circular for eligibility list, seniority list, nominal roll & exam slips.

- Forward eligibility list, seniority list, nominal roll & endorsed exam slips

- Review all against set criteria

Conduct exam & interview PMB

- Approve exam date/venue/time

- Inform staff

- Prepare candidate briefs

- Conduct exams

- Conduct Promotion PMB

Process promotion list

- Release interview scores & exam scores

- Compute final scores and make recommendations

- Defend recommendations

- Prepare and forward letters to successful and unsuccessful candidates

45


‒ Absence of Disciplinary cases ‒ Completion of required number of

years on grade level17 and performance in the job

‒ Required number of completed SPADEV forms.

‒ No more than 2 failed attempts to pass the last promotion exams

2. List the names of the eligible staff based on ength of service, grade level, cadre

MDA HR

3. Forward the eligibility list of pool staff to their respective Parent MDAs

MDA HR

4. Receive eligibility list and review against own database for completeness and accuracy

Parent MDA HR

5. Compile the reviewed eligibility list and seniority list of own pool staff from all MDAs

Parent MDA HR

6. 18 see footnote

Process eligibility list

7. Forward Call circular indicating the submission date of nominal roll, eligibility list and seniority list. Attach formats of exam slips for completion by eligible staff in the MDAs.

Last week in January Commission, Career Mgt Dept

8. Receive and reproduce exam slip format and forward a copy each to all eligible staff to fill in their details, affix passport photographs. Request for submission within 72hours. Post a copy of the circular on the notice board


MDA HR

9. Forward all duly completed exam slips to Head of HR for endorsement.

MDA HR

17

This is subject to change following recent EXCO discussion and rising concerns that promotion is too slow for talented staff in comparison to other employers in the State 18

At this point staff selected from the list of potentially eligible staff should be put forward as candidates recommended for promotion. The list should be influenced by the anticipated number of posts to be available in various grades and cadres as set out in the State and MDA Workforce Plan(s). Lagos State is interpreting eligibility to include all staff who meet the criteria at item 1. This means that too many people will sit the exam (and probably take time off to prepare for it); the exam and interview processing time will be longer than necessary, too many interviews will take place taking up valuable PMU and CSC time and the defence process will be protracted. Without a Workforce Plan and the means of sifting out eligible candidates for promotion the risks are that candidates could be awarded promotion when there is no job for them at the new grade and talented staff will not be identified as part of succession planning.

46


10. Forward the endorsed exam slips of pool staff to their respective Parent MDA

Within 3 days of endorsement

MDA HR

11. Forward the endorsed exam slips, nominal roll, eligibility list and seniority list of non-pool staff to the Commission

MDA HR

12. Receive and review the details on the exam slips of own pool staff against the compiled eligibility list for completeness and accuracy


Parent MDA HR

13. Forward reviewed eligibility list and seniority list of own pool staff and their completed exam slips to the commission

Parent MDA HR

14. Receive eligibility list, compare against promotion criteria as listed in step one; nominal roll, seniority list, and completed exam slips from MDAs and Parent MDAs.

Within 15 days of receipt.

Commission, Career Mgt Dept.

15. Review the exam slips against the eligibility list, seniority list, nominal roll and staff’s secret files to ensure the meet the criteria set in Step 1 above.


Conduct examinations and oral interview PMB for nominated eligible officers

16. Seek necessary approval for proposed examination dates, time and venue

As stated in Commission work plan

Perm Sec Commission

17. Receive approval and forward to Commission, Career Mgt Dept


Perm Sec Commission

18. Prepare circular stating approved examination dates, time and venue, attaching the formats of Candidates’ Briefs and Score sheets for use at oral interview. Assign examination numbers to all exam slips and forward with circular to MDAs

NB. The format for the candidate’s brief should include record of job posts/duties held and copies of the SPADEV forms for the years under review...



19. Send copies of the circular to all departments and post a copy of the circular on the notice board


MDA HR.

47

20. Prepare Candidates’ Briefs and blank score sheets for all eligible staff and forward those for pool staff to their Parent MDA.

MDA HR.

21. Conduct promotion examinations with support from the MDA HR in preparing the questions to ensure questions assess knowledge of current and more importantly the requirements of the job/role/level being considered for

As stated in the circular

Commission, Career Mgt Dept

22. Request approval for proposed interview dates

Within 2 days of completion of exams


23. Review and approve proposed interview dates

Within 2 days of receipt of request

Perm Sec Commission

24. Prepare and forward circular containing details of approved interview dates to MDAs

Within 2 days of receipt of approval


25. Send copies of the circular containing the names of eligible staff and interview dates to all departments and post a copy on the notice board


MDA HR

26. Forward request for the constitution of Promotion interview PMB to the Perm Sec/Head of MDA

MDA HR

27. Review and approve request for constitution of PMB



28. Send written notification of the PMB meeting to approved PMB members attaching the Candidates’ Briefs

Within 2 days of approval or 48hours before PMB meeting (whichever is earlier)

MDA HR

29. Hold PMB to interview candidates and record scores on own Brief and the general score sheet. Interview questions should be standardised but seek to determine demonstrated ability to perform in the position/ level/ role to be filled

As stated in the notice PMB Members

30. Prepare a report of the PMB proceedings and submit to the Perm Sec of the Commission

Within 2 days of conclusion of PMB

Representative of Commission at PMB

31. Receive report of PMB proceedings and forward a copy to Commission, Career Mgt Dept


Perm Sec Commission

32. Give approval to forward exam scores to MDA

Perm Sec Commission

48

Process promotion list

33. Receive the exam scores and request for approval from the Perm Sec/Head of MDA to set up a committee to consider all the evidence on individual performance, exam scores and available vacancies as per workforce plan, and recommend staff for promotion

NB. The committee members must be

members of the Promotion PMB and include the CSC representative.


MDA HR

34. Receive approval and inform committee members


MDA HR

35. Hold the committee meeting and make recommendations based on all evidence including SPADEV ratings, the exam scores and interview scores

As stated in the notice of meeting

Committee members

36. Include the recommendations in the PMB Minutes and forward to all PMB members for endorsement

Within 2 days of conclusion of committee meeting

MDA HR

37. Review minutes for completeness and accuracy and endorse

On receipt PMB members

38. Forward duly endorsed Minutes of PMB meeting to the PS for approval and then to METP if level 1-6, and the relevant Commission if level 7-16

Within 2 days of all endorsements

MDA HR

39. Review the PMB recommendations and prepare list of successful and unsuccessful candidates and forward for approval

Within 5 days of conclusion of all MDA defence

Relevant Commission/METP

40. Receive, review, approve and forward list


Perm Sec Commission/METP

41. Receive approved list. Prepare and forward promotion letters of successful candidates and unsuccessful candidates for signing


Commission/MDA HR for level 1-6

42. Forward signed letters of successful and unsuccessful candidates to MDAs.or staff if level 1-6


Commission/MDA HR,

43. Receive promotion letters of successful and unsuccessful candidates on level 7 and above and forward to relevant staff.


MDA HR

49

44. If unsuccessful candidates have failed the same exam on three or more consecutive attempts, see guidelines on Discipline – Poor Performance for next steps.

Within 2 days of receipt.

MDA HR

45. Update Deployment list and Nominal rolls and forward copies to Audit and Accounts depts.

Within 2 days of forwarding all letters

MDA HR.

50

Discipline – Misconduct & Serious Misconduct Overview

Operating Procedure


Address case of alleged misconduct informally

1. Receive a complaint of alleged misconduct or identify an act of misconduct by a member of staff. If the alleged misconduct is serious, follow the steps for formal address below. Otherwise, speak with the staff if own direct report or notify the staff’s HOD if not.

Within 1 day HOD/MDA HR

2. Discuss the details of the alleged misconduct with the staff. If the staff’s response shows he/she is not culpable, set aside the complaint, otherwise give verbal warning and advice

NB. If after three verbal warnings the misconduct continues, follow the steps for formal address outlined below.

Within 2 days of notification

HOD

Process complaint of persistent misconduct/alleged serious misconduct

3. Identify an act of persistent misconduct or alleged serious misconduct against a member of staff. Forward a query to the staff (copying HR) stating the details of the persistent misconduct or alleged misconduct and request for a written representation within 3 days.

NB. HR dept is copied in the query to the staff to ensure HR follows-up on the matter

Within I day HOD

Process complaint

- Receive complaint

- Query alleged offender

- Respond to query

- Decide whether he/she is not culpable, to be subject to a warning or disciplinary procedure

Hold disciplinary PMB

- receive report of alleged offence & guilt

- Send alleged offender on interdiction where necessry

- Consitute disciplinary PMB

- Hold PMB & decide on guilt and sanction

Approve PMB decisions

- Review and approve PMB decisions

- Notify alleged offender

- implement approved decisions

51

4. Receive the written query and forward written representation copying HR dept


Staff

5. Receive and review the written representations and if the Staff: a) is sufficiently absolved of any

wrongdoing, write to inform the Staff b) is not sufficiently absolved but is not

deserving of sanction, write him/her a letter of advice which should be acknowledged

c) is not sufficiently absolved and should be sanctioned, write a report in this regard to the Perm Sec/Head of MDA in line with the CS Rules and with support from HR

NB. HR dept should be copied in all letters for information and adequate follow-up (including local mediation/ advice to PMB)


HOD

6. Review the report and recommendations and where the alleged offender’s presence at his/her duty post may affect investigation, instruct for a change of duty post or a placement on interdiction. Approve the constitution of a Disciplinary PMB.



7. Receive the Perm Sec/Head of MDA instructions and send a written notification to the alleged offender. Where the staff is to change duty post or proceed on interdiction, inform his/her HOD and request for immediate handover of duties. Forward a letter of notification to the HOD of the receiving department in the case of change of duty post.


MDA HR

8. Forward a brief of the disciplinary case and the date scheduled for deliberation to the approved PMB members and the alleged offender.

MDA HR

Hold Disciplinary PMB

9. Hold PMB meeting to consider the report; independently investigate allegation of wrongdoing and decide on the case in line with the provisions of the CS Rules.

As stated on notice PMB members

52

NB.PMB decision on GL1-6 is for Commission information; GL7-12 for Commission ratification; GL13-17 endorsed by HoS for Commission ratification.

10. Prepare a report on the decision/recommendations of the PMB and forward to the Perm Sec/Head of MDA


MDA HR

Approve PMB decision

11. Review and approve the report and forward to HR.



12. Receive the approved report. If decision is on GL1-6, write to inform the staff of the PMB decision. Forward approved report for GL1-12 to Commission, reports on GL1-6 to other relevant agencies to effect PMB decisions and GL13-17 for HoS endorsement.


MDA HR

13. Receive PMB report on GL13-17, review, endorse and forward to Commission


HoS

14. Review report and if it concerns GL7-17, conduct further investigation where necessary and ratify the decision. Forward final decision to the MDA of the alleged offender

Within 7 days Commission HR

15. Receive Commission decision and notify the alleged offender in writing. If guilty, state the grounds for disciplinary action, the specific offence, rules/regulations broken and penalty. Forward decisions on dismissal, withholding or deferment of salary, increment or reduction in rank, to relevant agencies to effect, as appropriate

Within 4 days of receipt or deadline given in the Commission’s approval

MDA HR Officer

53

Discipline – Poor Performance Overview

Operating Procedure


Manage poor performance informally

1. Identify areas of poor performance in subordinate’s work and meet with him/her to discuss evidence and reasons for poor performance, agree and document practical solutions and timescale for improvement. Forward a copy to the subordinate.

NB. Where the issues affecting the staff member’s performance are outside his/her control (e.g. family commitments) some of the practical solutions may include flexible working hours for a definite period, special leave or change of duty post within the department. The timescale given should be realistic and sufficient for the improvement expected. However, it should not be more than one calendar month.

On a need basis Supervising Officer

2. Provide coaching and support to the poor performer. Meet to review performance and give feedback. Document outcome of performance reviews and forward a copy to the poor performer

On-going within the one month period

Supervising officer supported by HR Officer

3. If after the one month period he/she continues to underperform, send a written notification of poor performance to HR stating the steps already taken to address it and attaching copies of documented outcomes from informal performance discussions.

Within 3 days of the last review date

MDA Head of HR

Manage Poor Performance Infomally

- Notify staff with repeated poor performance

- Agree improvement targets

- Provide support and review progress

- Notify HR if no improvement

Manage Poor Performance with HR

- With HR, agree improvement targets and support

- HR provides and monitors support

-Review progress with HR

- Request for PMB if no improvement/failure of exams on 3 consecutive attempts

Hold Discipline PMB

- Constitute PMB

- Meet to investigate allegations of poor performance

- Forward decision to Commission for approval

- Review and approve PMB decision

54

Manage poor performance with HR

4. Receive written notification of poor performance and schedule performance meeting with the Supervising Officer and the staff to discuss reasons for poor performance, agree SMART performance objectives, action plan and review dates.

NB. Review dates should be at least fortnightly.


MDA HR

5. Document the outcome of the meeting stating the performance issues, improvement required and timescales for achievement, the review dates and agreed support, including training that will be provided. Forward a copy each to the superior officer and the staff, as well as the agreed SMART objectives

Within 2 days of holding the meeting

MDA HR

6. Provide the agreed support from HR and follow-up with the Superior Officer to ensure he/she provides own support

On-going MDA HR

7. Meet with the Superior Officer and staff to review progress.

On agreed dates MDA HR

8. If at the end of the agreed performance period the staff has met the agreed SMART performance objectives, write to inform the staff copying the HoD. If not, prepare a detailed performance report stating the issues, steps taken to resolve them and request for the constitution of a Disciplinary PMB

NB. The performance period should not be more than three months from the date of the performance improvement meeting.

Within 3 days of the end of the performance period

MDA HR

9. Also, following the conclusion of any promotion exam, prepare a performance report on any staff that has been unsuccessful in the promotion exams on three consecutive attempts and whose performance according to SPADEV is assessed below average and forward to the Perm Sec/Head of MDA with a request for the constitution of a Disciplinary PMB

Within 3 days of receiving the letters of unsuccessful candidates from the Commission

MDA HR

55

Hold Discipline PMB19

10. Receive and review the performance report and the request for the constitution of Discipline PMB. Approve and forward the request.



11. Receive approval and send a written notice to PMB members with a copy of the performance report.


MDA HR

12. Hold PMB to investigate the allegations of poor performance. The staff involved and superior officer should both be invited to state their case. The relevant documentation, evidence, SMART objectives and SPADEV forms must be reviewed. Appropriate disciplinary action might be: ‒ No warning ‒ Written warning (in first, second or third

instance) ‒ Dismissal (if 3 written warnings have

already been given or failure of promotion exams on three consecutive attempts with below average performance20)

‒ Loss or deferment of increment

As stated in the notice of PMB meeting

PMB members

13. Prepare a report on the decision/recommendations of the PMB and forward to the Perm Sec/Head of MDA


MDA HR

14. Review and approve the PMB decision/recommendation


Perm Sec/ Head of MDA

15. Receive the approved report. If decision is on GL1-6, write to inform the staff of the PMB decision. Forward approved report for GL1-12 to Commission, reports on GL1-6 to other relevant agencies to effect PMB decisions and GL13-17 for HoS endorsement21.


MDA HR

16. Receive PMB report on GL13-17, review, endorse and forward to CS Commission


HoS

17. Review report and if it concerns GL7-17, conduct further investigation where necessary and ratify the decision. Forward final decision to the MDA of the poor performing staff

Within 7 days Civil Service Commission HR

19

The disciplinary proceedings must not be more than 60days from the constitution of PMB except where it is a criminal case or in exceptional circumstances, new CS rules 040406 (xiii) 20

This is contrary to standard HR practice. Failure to pass a promotion exam should not be confused with poor performance in the current job. 21

This is in line with the new CS rules 040105 to 040106

56

18. Receive Commission decision and notify the staff in writing. If the case against the staff and the proposed disciplinary outcome is upheld, state the grounds for disciplinary action, the specific offence, rules/regulations broken and penalty. Forward decisions on dismissal, withholding or deferment of salary, increment or reduction in rank to relevant agencies to effect, as appropriate

Within 4 days of receipt or deadline given in the Commission’s approval

MDA HR

57

Grievance Overview

Operating Procedure Tasks/Instructions Timeline Responsibility

(Officer/Dept)

Informal Resolution of Grievance

1. Receive an informal, verbal grievance and determine that it is not an appeal case, specifically that the officer is seeking redress for issues relating to their employment which fall outside the normal decision making appeals22 process e.g. sexual harassment, discrimination, bullying, victimisation. If it is not an appeal case and depending on the seriousness of the issue, advise the complainant(s) to seek informal redress if this has not already been done. Otherwise, move on to formal resolution. If the grievance has been raised formally in writing however then it must be addressed formally

At the point of receiving the informal grievance

MDA HR Officer

2. If the complainant(s) desire(s) the involvement of HR, discuss the grievance with the HOD and HR to advise/decide on the best approach to follow. Relay the outcome of the informal resolution to the complainant(s). Advise that they may wish to raise a formal grievance if the outcome is not satisfactory and outline the grievance process.

Notes on meetings to discuss informal grievances, how they were resolved and any follow up action should be kept on file

Within 2 days of receiving the informal grievance

MDA HR Officer

22

See Civil Service rules for cases that fall under appeal.

A. Informal Resolution

- Receive informal verbal grievance

- Provide HR support for informal resolution

- Advise on formal procedure if outcome is not satisfactory

B. Formal Resolution

- Receive formal written grievance

- Constitute grievance PMB

- Conduct PMB investigation and make a decision

- Receive CSC approval of PMB decision and notify parties involved

- Insitute disciplinary proceedings if required

58


Formal Resolution

3. Receives formal written grievance and review to ensure all relevant details on the nature of grievance, the parties involved and the expected outcome are clearly stated. Forward it to the Perm Sec/Head MDA with a request to constitute a grievance PMB

At the point of receiving the grievance

MDA HR Officer

4. Approve the constitution of grievance PMB Within 1 day of receipt Perm Sec/Head MDA

5. Send written invitation to selected grievance PMB members for junior/senior PMB session as appropriate and attach a brief of the case which members must keep confidential


MDA HR Officer

6. Hold the grievance PMB and if necessary, appoint an investigative panel from within the PMB to investigate the issue raised. Review and deliberate on the findings of the panel and make a decision on the grievance


PMB Members

7. Prepare a report on the PMB decision (the recommended grievance outcome will be based on the findings of the grievance investigation panel) and forward to the Perm Sec/Head MDA for approval

Within 1 day of PMB session

MDA HR Manager

8. Review and approve the report and forward to the CSC.

Within 1 day of receipt Perm Sec/Head MDA

9. Review and approve the report and forward to initiating MDA for implementation.


HR Manager Discipline & Service dept, CSC

10. Receive approved report and send written notification of the outcome to parties involved advising them to write a formal appeal if they are still unsatisfied (see guidelines on Appeal in new CS/PS rules). If a case of misconduct or serious misconduct has been identified in the report, a disciplinary proceeding should be instituted (see guidelines on Discipline – Misconduct & Serious Misconduct)

Within 1 day of receipt Initiating MDA HR Officer

59

Leave - Maternity Overview

Operating Procedure


Plan for Maternity Leave

1. Prepare and circulate internal memo requesting officers who are likely to proceed on maternity leave to notify the Perm Sec/Head MDA (copying HR Dept) through their HOD at least 8 weeks before the expected date of delivery attaching a doctor’s advice from a government hospital

January and July (bi-annually)

MDA HR Officer

2. HR officer receives the written notification from the staff and inform relevant Head of Department/Unit of the intended leave and the need to make cover arrangements during the leave period. Request for cover plans from Head of Department/Unit to be sent to the HR dept within 10 days of receipt of internal memo

Within 5 days of receiving the notice from staff

MDA HR Officer

3. Receive and review a copy of the cover arrangements made for each staff and file in staff’s personal file

Within 10 days of sending the request

MDA HR Officer

Process Leave Advice

4. Forward for Perm Sec/Head of MDA’s approval, the written notification of maternity leave from staff with a leave advice stating

15 days before the leave commencement date

MDA HR Officer

A. Plan for Maternity Leave

- Request for Leave Notification

- Prepare for temporary relief

B. Process Leave Advice

- Request for leave approval

- Forward leave advice

C. Resumption from Leave

- Complete resumption form

- Organise resumption meeting

60


‒ The date of commencement and resumption

‒ The need to notify HR 5 days before resumption

‒ The need to report to the HOD and HR Dept on the day of resumption

5. Receive approved leave advice and meet with the staff to deliver the leave advice and discuss any concerns or queries the staff may have with the leave advice and cover arrangements

10 days before the leave commencement date

MDA HR Officer

6. Keep in touch with the staff during the maternity leave if the staff so desires

During the maternity leave

MDA HR Officer

Resumption from Maternity Leave

7. Receive notification of return and forward a copy to the returning staff’s HOD

4 days before staff resumption

MDA HR Officer

8. Issue the resumption form to the officer resuming from leave

NB. If officer fails to resume on the due date without prior notice, refer to disciplinary guidelines for appropriate action.

First day of resumption

MDA HR Officer

9. Arrange for resumption meeting between the staff resuming from leave and her supervisor to hand back duties and to agree statutory nursing arrangements and immediate duties. This should be included in the resumption form and a copy forwarded to HR after the endorsement of the HOD.

Within 3 days of resumption

MDA HR Officer

10. Receive and keep the completed resumption form duly endorsed by the Officer’s Head of Department in the staff’s personal file. Scan onto Oracle record

On the day following the resumption meeting

MDA HR Officer

61

Leave - Paternity Overview

Operating Procedure

Tasks/Instructions Timeline Responsibility (Officer/Dept.)

Plan for Paternity Leave

1. Prepare and circulate internal memo requesting officers who are likely to proceed on paternity leave to notify the Perm Sec/Head MDA (copying HR Dept) through their HOD at least 8 weeks before own partner’s expected date of delivery attaching a doctor’s advice from a government hospital

January and July (bi-annually)

MDA HR Officer

2. Forward the endorsed notification with the doctor’s confirmation to the Perm Sec/Head of MDA for provisional approval and to trigger absence cover.


MDA HR officer

3. Receive endorsed notification with the doctor’s confirmation and give provisional approval

NB. The approval becomes effective when the applicant submits a valid birth certificate to the HR department



4. Notify the staff of the provisional approval and the conditions for effecting it. Inform staff of temporary cover so that handover can be completed


MDA HR Officer

Process Paternity Leave

5. Prepare and forward a request to proceed on paternity leave attaching a copy of the provisional approval received with a copy of the birth certificate naming the father to HR

NB. Birth certificate must be from a Birth registry and should state the applicant as the

At least 2 days before leave commencement

Staff

Plan for Paternity Leave

- Receive and endorse notification of Leave

- Give provisional approval for Leave

Process Paternity Leave

- Receive Leave request

- Process Leave request

62

Tasks/Instructions Timeline Responsibility (Officer/Dept.)

father of the child. The application must be for 5 consecutive days and within 10 days of the birth date stated in the birth certificate.

6. Receive and review the copy of birth certificate for authenticity and to confirm paternity. If confirmed, prepare a notice to proceed on paternity leave for Head HR approval and forward with the confirmed copy of birth certificate and provisional approval. The notice should state the date of resumption


.

MDA HR Officer

7. Receive and approve the paternity leave notice

Head HR

8. Forward approved paternity leave notice to the staff copying his HoD

Within 1 day of receipt.

MDA HR officer

9. File a copy of the approved paternity leave in the applicant’s personal file/ scan onto Oracle.


MDA HR officer

10. Confirm return date and resumption of duties to HR

Within 1 day Head of Dept/ Unit

63

Oracle, Nominal Roll & Payroll Reconciliation Overview

Interim Operating Procedure23


Prepare updated nominal roll

1. Forward a written request to all HR units to submit (within 3 days) changes to staff details/profile resulting from HR activities carried in the previous month

NB. This will include training, deployment, leave approvals, disciplinary outcomes, promotion, regularisation, transfers, secondments, conversion, exits, etc.

On the first working day of every month

MDA HR MIS

2. Prepare and forward memo to all HODs requesting staff to provide (within 3 days) details of any changes to their details which they are yet to submit to HR e.g. change of name. Where required, documentary proof of these changes should also be submitted.

MDA HR MIS

3. Update the nominal roll using the information provided from the HR units and other departments Within 3 days of

receipt

MDA HR MIS

4. Forward the updated details on the nominal roll to each department for verification by staff

MDA HR MIS

5. Receive updated nominal roll and verify the details with staff. Forward verified nominal roll


HODs

23

Successful implementation of Oracle processes should eliminate the need for the nominal roll and be a single source of up to date and reliable information

Prepare updated nominal roll

- Request for changes to staff details

- Update nominal roll

- Verify the updated nominal roll

- Endorse the updated nominal roll

Update Oracle details

- Forward endorsed nominal roll with supporting documents

- Update Oracle with details in endorsed nominal roll

Update Payroll details

- Request for staff salary changes

- Prepare report of changes to monthly salaries

- Prepare a report of salary variations

- Update Oracle with the salary variations

64

6. Forward a copy of the verified nominal roll to the Head HR with all supporting documents. for endorsement


MDA HR MIS

7. Review the verified nominal roll against the supporting documents and endorse


MDA Head HR

Update Oracle details

8. Forward a copy of the endorsed nominal roll to PSO (Service Matters) with all supporting documents. for update of Oracle database


MDA HR MIS

9. Review the details in the verified nominal roll against the supporting documents for accuracy and completeness and update HR component on Oracle database as appropriate


PSO (Service Matters)

Update payroll details

10. Forward a written request to all HR units to submit (within 48hours) details of changes to staff salaries resulting from HR activities carried out from the 12th day of the previous month

NB. Such changes include resignations, withdrawals, retirement, terminations, deaths, approved and unapproved leave without pay, salary withholding or grade reduction due to disciplinary actions, promotion, loans and any other HR activity that will affect staff salary

By the 10th day of every month

MDA HR MIS

11. Prepare and forward details of affected staff stating the changes to their salary


MDA HR MIS

12. Receive the details and use the same to prepare a report of staff salaries for the month stating the details of any changes affecting individual salaries. Forward the report to the Audit and Accounts departments.


MDA HR MIS

13. Receive the details and prepare the payroll variations. Forward the same to the Ministry of Finance


MDA Accounts department

14. Receive the MDA payroll variations and make appropriate adjustments to the monthly salary on Oracle database

By 24th of every month

MOF

65

Development & Training Needs Analysis Overview

Operating Procedure24


Identify skills and competency gaps

1. Review strategy documents such as MTSS and hold individual discussions with HoDs and Head of HR to

- Identify the skills and competencies required to achieve MDA goals, objectives and plans - Match the current skills and competencies with the required skills and competencies identified and note gaps, i.e. learning and development and training needs by department, cadre, team, management and individual

Within the first three weeks of the LSG calendar year

MDA HR Officer

2. Prepare detailed analysis of development and training needs at the organisational, departmental and individual levels with proposals (including budget and resources) on how the identified needs can be met. NB. The proposals should identify the most appropriate learning and development options such as coaching/mentoring, performance management, knowledge sharing, workshops, on-going professional development, on-the-job training, work shadowing, job rotation/deployment, classroom training and the options selected must be clearly justified

MDA HR Officer

3. Compile the analysis and proposals by department/unit and forward for review

MDA HR Officer

24

The HR department may require training to perform this process effectively.

Identify skills and competency gaps

- Identify organisational, departmental and individual training needs

- Prepare development and training needs analysis

- develop development and training proposals

Organise development and training needs PMB

- Organise development and training PMB

- Agree development and training proposals

- forward METP development and training proposeals

66


4. Review analysis and proposals, and forward request for constitution of Development and Training Needs PMB to the Perm Sec/Head of MDA.

Within 72hours of receipt

MDA Head HR

Organise development and training needs PMB

5. Receive request and approve constitution of PMB



6. Notify PMB members, attaching analysis and proposals


MDA HR Officer

7. Hold PMB to review the analysis, agree and prioritise proposals ensuring they are aligned to MDA strategic direction and individual development and include MDA plan to meet other training options

Within 72hours of receiving approval

PMB Members

8. Forward PMB agreed proposals to Perm Sec/Head of MDA for approval

Within 48hours of MDA HR Officer

9. Review and approve proposals Within 48hours of receipt


10. Receive approved proposals and extract development and training proposals to be funded through METP and forward to METP


MDA HR Officer

11. Evaluate and follow up impact of development on job performance with line manager; report summary to PS/Head of MDA and METP; feed trends and results into next cycle of development planning

MDA HR Officer

12. Compile G&SI stats and long term trends in capacity and capability

MDA HR Officer

67

Retirement – Statutory, Compulsory & Voluntary Overview

Operating Procedure


Plan for Retirement25

1. Forward list of prospective retirees for the next 12 calendar months (including the current month) to all MDAs to commence retirement processing and to exclude prospective retirees from future deployment exercise

January and July Oracle Database Officer, Civil Service Commission26

2. Receive notification of statutory retirement containing list of prospective retirees in the year or receive notice of compulsory retirement from the Commission. Verify list with MDA and Oracle data

January and July MDA HR Officer

3. Prepare and forward letter of notification of statutory or compulsory retirement date to relevant retirees, attaching a copy of the list and a checklist of documents for retirement processing. Advise them to check for any errors in their details e.g. designation, name, date of entry, and to write within two weeks, to the Commission through the MDA requesting for correction of details

Within 5 days of receiving notice from CSC

MDA HR Officer

25

See the checklist attached 26

Will change as Oracle develops and HR Management Information System (HRMIS) ownership is defined

Plan for Retirement

- Notify intended retiree

- Ensure that retiree's record and details are correct

Process Retirement Notification

- Process approval for retirement

- Process clearances for indebtedness

Process Retirement Benefit

- Request for endorsements

- Process pension

- Update Oracle and staff record

68


4. Forward any letter received from prospective retiree requesting for correction in employee data with supporting documents to the Commission

Within 3 days of receiving letter from prospective retiree

MDA HR Officer

Process Retirement Notification

5. Receive retiree’s due notification of retirement and review for accuracy and completeness. Forward to the Perm Sec/Head of MDA with supporting documents

NB. The process begins at this point for Staff proceeding on voluntary retirement.

Within 3 days of receiving notification from prospective retiree

MDA HR Officer

6. Receive instruction from Perm Sec/Head of MDA to process retiree’s notification, inform the retiree of the dates for the pre-retirement workshop and exit interviews. Request for information on state of indebtedness of retiree from the under listed MDAs : - Public Service Office - State Treasury Office - Debt Management Office - The relevant Cooperative society

(CTSS) or Ministry of Agriculture & Cooperatives (where the intended retiree does not belong to any cooperative)

NB. HR Officer should state in the letter that the response should be within 3 days of receipt. If no response is received, a reminder should be sent within 1 day of deadline expiration


MDA HR Officer

7. Receive responses and send written notification to any prospective retiree owing monies.

Within 3 days of receiving complete responses.

MDA HR Officer

8. Forward copies of retiree’s original notification letter and copies of clearance letters to the CSC

MDA HR Officer

69

9. Review the notification letter with supporting documents and write to the MDA in the event of any errors. Where no errors exist, prepare and forward Acceptance/Clearance letter to relevant MDA


CSC HR Officer

10. Receive notification of errors and forward necessary amendments or information to CSC


MDA HR Officer

Process Retirement Benefit

11. Receive CSC clearance letter and forward a copy with copies of previously received clearance letters to the Accounts and Audit Departments for computation of relevant retirement benefits and cessation of salary payments from the retirement due date

NB. If there is no response within 3 days, follow-up with internal memo copying the Perm Sec/Head MDA

Within 3 days of receipt of CSC clearance

MDA HR Officer

12. Calculate the pro-rated pre-retirement leave and send written notification of date of commencement of pre-retirement leave to the prospective retiree copying the HOD or Perm Sec/Head of MDA (as applicable).

NB. The HOD or Perm Sec/Head of MDA is to ensure proper handover before the retiree goes on leave. If leave allowance has expired the retiree may need to refund salary pro rata

Within 3 days of receipt of CSC clearance

MDA HR Officer

13. Forward Pension Form to prospective retiree for completion and return within 2 days


MDA HR Officer

14. Receive completed Pension Form and forward to Head of HR, Accounts, Audit Department and the Accounting Officer for endorsements


MDA HR Officer

15. Forward duly endorsed Pension Form and the CSC Clearance letter to Lagos State Pension Commission (LASPEC)

NB. Officer to scan and backup all documents in retiree’s personal file after 1 year and archive hard copy after 10 years

Within 1 day of final endorsement

MDA HR Officer

70

16. Conduct exit interviews and prepare a report of discussions for analysis of trends and GSI

On scheduled dates MDA HR Officer

17. Liaise with Schedule Officer in LASPEC for updates on payment processing

Once a week , until retiree receives payment cheque

MDA HR Officer

18. Receive and acknowledge duly completed Pension Form. Review the amount deposited with the Pension Fund Administrator against the retirement benefits computed by the MDA and forward a request for the PFA to issue a cheque to the retiree for the verified amount. Compute the bond for officers employed before the commencement of PFA deductions and issue a cheque to the retiree for bonds.

Within 2 days of receiving Pension Form from MDA

LASPEC HR Officer

Manage retiree after service

19. Forward copy of CSC clearance to Post Service Office27

Within 3 days of receiving CSC clearance

Post Service dept HR Officer

20. Receive the notification and prepare the Certificate of Service and give to retiree on the last day in office

On retiree’s last day in office

Post Service dept HR Officer

21. Provide available and reasonable support to the retiree in resolving any issues pertaining to their service.

As required. Post Service dept HR Officer

27

Currently with PSO; to be relocated in METP

71

Checklist for Retirement The following documents must be submitted for processing staff retirement from the Lagos state civil/public service. Failure to submit any of the documents mentioned below, in addition to the letter of notification of retirement, means that any accruing benefits cannot be processed.

Submitted (Tick as appropriate)

Yes No 1. Letter of appointment

2. Confirmation letter.

3. All Promotion letters

4. Most recent payslip

5. Pension Fund Administrator letter

Name Signature/Date

Submitted by

Received by

Forwarded to

Staff record updated

Oracle updated

72

Resignation & Withdrawal Overview

Operating Procedure


Process resignation notice

1. Receive relevant HOD endorsed letter of

resignation/withdrawal from employee.

Give the employee the exit checklist

[see Annex Ex immediately and inform

him/her to submit the documents within

48hours.

One month before resignation due date.

MDA HR Officer

2. Collect supporting documents listed in the checklist for processing employee resignation

Within 2 days of receipt of the exit checklist

MDA HR Officer

3. Forward the letter of resignation and supporting documents to Perm Sec/Head of MDA for endorsement

Within 1 day of receipt of supporting documents

MDA HR Officer

4. Receive endorsed letter of resignation and

a) request for a handover plan from the exiting employee’s HOD

b) Remove employee name from Nominal roll and Oracle upload if he/she has paid in lieu of notice28

c) schedule a date for an exit interview with the employee and HR, not later than 2 weeks from receipt of resignation letter or immediately if the employee has paid in lieu of notice

Within 1 day of receipt of endorsed letter

MDA HR Officer

28

The assumption is that HR at the MDAs will have access to Oracle in the nearest future (we understand some MDAs currently working this out). This should eliminate/reduce errors that may arise due to delays from other departments and make HR more accountable for payroll

Process resignation notice

- Obtain Accounting Officer endorsement/approval

- Process clearance letters

Compute exit benefits

- Remove from payroll

- Compute any pension entitlement

Organise Exit Interview

- Hold exit interview

- Prepare exit report

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5. Forward the MDA endorsed letter of resignation and other supporting documents to the employee’s parent ministry if a pool officer. Otherwise, move to step 7

Within 1 day of receipt of endorsed letter

MDA HR Officer

6. Receive MDA endorsed letter of resignation

- Within 1 day of receipt of endorsed letter


7. Request for record of indebtedness from - Public Service Office - State Treasury Office - Debt Management Office - The relevant Cooperative society

(CTSS) or Ministry of Agriculture & Cooperatives (where the exiting employee does not belong to any cooperative)

NB. The letter requesting for record of indebtedness should give a written response deadline of within 3 days of receipt. If no response is received, a reminder should be sent within 1 day of the deadline given.

MDA HR Officer/Parent MDA HR Officer

8. Receive any record of indebtedness and if the officer owes, send a written advice to staff resigning to pay within 2 days

Within 5 days of receipt of endorsed letter


9. Forward copy of letter of resignation, copies of clearance letters/letters on indebtedness and evidence of payment (where applicable) to CSC for GL7-17. If the staff is on GL1-6 and is not indebted, issue him/her an MDA clearance letter. Forward all documents for GL1-6 to CS Pensions Office for approval

NB. Where the exiting employee does not owe, all documents should be forwarded to CSC/METP within 2 days of receipt of all clearance letters.

Within 1 day of receipt of letters of indebtedness.


10. Receive and review the documents. If the staff does not owe, issue a letter of approval to resign or withdraw (as applicable). If the staff owes, forward a letter of notification stating the need to clear the debt without which the approval will not be processed.

HR Officer CSC/HR Officer CS Pensions Office

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Compute exit benefits

11. Receive CSC/CS Pension Office letter and

a) forward a copy to the staff resigning/withdrawing

b) issue him/her a pension form if the employee is withdrawing. The completed form should be returned within 24hours.



12. Receive completed pension form and forward with CSC/CS Pension approval of withdrawal and other required documentation to CS Pensions Office if the staff joined the service before 2007. Otherwise, forward directly to LASPEC.


MDA HR Officer/Parent MDA HR officer

13. Remove employee name from Nominal roll and Oracle upload on or before the 20th of the following month for employee who has not paid in lieu29

Within 1 day of receiving CSC clearance

MDA HR Officer/Parent MDA HR officer

14. Receive and acknowledge duly completed Pension Form from MDA.

Within 2 days of receiving Pension Form from MDA

LASPEC HR Officer

15. Liaise with Schedule Officer in LASPEC for updates on payment processing

Once a week , until exited employee receives payment cheque

MDA HR Officer

16. Scan and backup documents in exited employee personal file

After 1 year of exit MDA HR Officer

17. Archive hard copy files After 10 years of exit MDA HR Officer

Organise exit interview

18. Hold exit interview with exiting employee

NB. Exit interview should consist of enquiry into employee handing over notes duly signed by HOD, an appraisal of working with the civil service and suggestions for improvement. Feedback should be confidential and actions to improve proposed where appropriate

Within 2weeks of receipt of resignation letter

MDA Head HR

19. Prepare report of exit interview with recommendations and forward to Accounting Officer.

Within 24hrs of exit interview

MDA HR Officer

29

This step assumes that Oracle is linked state-wide. Otherwise, in addition to the offices mentioned, CS Pensions Office and CSC Office will also update Oracle with the same information

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20. Review and forward a copy to Parent MDA of the exiting employee for exit interview analysis and implementation of approved recommendations.

Within 24hrs of receipt

Accounting Officer

21. Process and issue a certificate of service to exiting staff

On or before 5 days to staff exit

MDA HR Officer

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Check List For Resignation/Withdrawal Of Service The following documents must be submitted for processing staff resignation or withdrawal of service from the Lagos state civil/public service. Failure to submit any of the documents mentioned below, in addition to the letter of resignation or withdrawal of service, means that the approval to resign/withdraw and any accruing benefits cannot be processed.

Submitted (Tick as appropriate)

Yes No 1. Confirmation letter.

2. All Promotion letters

3. Letters of Advancement, Conversion (if any)

4. Regularisation letters (if any)

5. Receipt of payment of one month in lieu [if applicable].

Name Signature/Date

Submitted by

Received by

Forwarded to

Staff record updated

Oracle updated

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Diversity, Gender & Social Inclusion Overview

Operating Procedure30


Analyse Service Wide HR activities for diversity, gender and social inclusion

1. Access Oracle data-base for staff data on age, gender, ethnicity, religion and disability by MDA and service wide.

Within the first 3 weeks of the LSG

calendar year

HR Officer Standards & Performance Dept, PSO

2. Request for reports for the preceding 2 years on all human resource management activities required to perform the tasks in Step 4 below from Service Matters31 department.


3. Receive request, generate complete and up-to-date reports and forward.

HR Officer Service Matters Dept, PSO

4. Receive the reports and compare the following in terms of age, gender, ethnicity, religion and disability ‒ applicants interviewed to those given

appointment. ‒ eligible candidates presented to the PMB

for promotion, conversion, advancement, confirmation and deployment to successful candidates.

‒ staff disciplined and what for ‒ staff deployments (MDA deployed to,

reasons for deployment and regularity) ‒ staff resignation/withdrawals and the

reasons ‒ staff dismissals and the reasons ‒ list of staff trained and their MDAs, Cadres ‒ beneficiaries of loan facilities and staff

Within 4 weeks of receipt


30

This process will take place annually as part of Workforce Planning. 31

Will eventually be available from the Workforce Planning data base and Oracle

Analyse HR activities for diversity, gender and social inclusion

- Compare report of HR activities based on age, ethnicity, religion, gender, disability

- Prepare report of findings

Develop and implement action plan

- Review report and investigate issues

- Prepare draft report with action plans

- Agree and implement action plans

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benefits like personalised vehicles, staff quarters

5. Prepare a report of the analysis and forward to the HOD for review


Develop and implement action plan

6. Receive the report and if any group(s) has less than four-fifth (4/5) of the highest success rate for any HR activity reviewed, investigate further to determine if there is any evidence of discrimination or bias.


HoD/HR Manager Standards & Performance Dept, PSO

7. Prepare a draft report of the analysis and investigation, and recommendations for any remedial action and present it to the PS for discussion

HoD/HR Manager Standards & Performance Dept, PSO

8. Hold discussions with the HR Manager, agree on recommendations and forward the final report with action plans to the HoS

As scheduled within the 4 weeks above

PS Standards & Performance Dept, PSO

9. Receive, review and approve the report and action plans; forward the final report to relevant MDAs


Head of Civil Service

10. Oversee the implementation of recommendations as applicable.

As per action plan

Head of Civil Service

www.sparc-nigeria.com State Partnership for Accountability, Responsiveness and Capability (SPARC) For more information email: [email protected]

Documents

Lagos State Government Human Resources … the views of the Department for International Development. Lagos State Government Human Resources Operational Guidelines October 2013 2 Contents