Human Resource Management Diagnostic Instrument - World Banksiteresources.worldbank.org/EXTPUBLICSECTORANDGOVERNANCE/Resources… · This module of the Human Resource Management Actionable

Human Resource Management Diagnostic Instrument

Actionable Governance Indicators

Module A: Civil Service Labor Regime

Section I: Institutional Arrangements

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

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

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

Core Objectives for Civil Service Management (CSM)

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

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

Definitions:

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

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

Module A: Civil Service Labor Regime

This section contains questions related to the following topics:

Background Information 1. Civil service legal framework 2. Due process protections 3. Civil service management objectives4. Division of responsibility and authority 5. Remuneration and Non-remuneration policies and practices 6. Wage bill and establishment control 7. Recruitment and selection 8. Disciplinary procedures and practices9. Redress10. Code of ethics and asset declaration11. Performance-focusing civil service management12. Promotions and transfers procedures and practices13. Stability of the highest ranking civil servants14. Working relations between cadres

Overview - Section I: Institutional Arrangements

1. Please enter country name in the space below

2. Categories of civil servants within the civil service labor regime: Please provide a brief description (e.g., title, grade, etc.) of the range of civil service positions within each of the categories identified below; i.e., describe the highest and the lowest ranking titles that you would consider to fall within each of the categories within your country’s civil service. If a given category of civil servants is not part of the civil service labor regime, please type '-777' (for 'Not applicable') in the box. When answering questions relating to categories of civil servants, throughout the three sections of the instrument, please answer on the basis of the examples you have provided below.

Background Information

High level managers

Middle-level managers

Professional staff

Technical staff

Administrative & clerical staff

Skilled & semi-skilled manual laborers

Unskilled workers

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

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

3. Does the existing legal framework specify a distinct civil service labor regime?

1. Civil Service Legal Framework

Yes

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No

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Don't know

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Please provide references to the relevant provisions of the applicable laws/rules and briefly explain

4. The civil service system in your country is best characterized as (select one):

Career-based system

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Position-based system

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Hybrid (mixture of the above two)

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Other

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Due process protections are rules that require various checks on the exercise of human resource management authority, in order to reduce the odds of arbitrary exercise of that authority. They can include, but are not necessarily limited to devices such as:

(i) ex ante clearances required for particular HRM actions; (ii) ex post oversight of HRM practices; (iii) redress mechanisms.

5. Does the civil service enjoy stronger due process protections than are afforded under the country’s private sector labor law?

2. Due Process Protection

Yes

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No

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Don't know

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6. Does the legal framework governing the civil service identify each of the following as objectives of that legal framework? Please answer for each of the six civil service management (CSM) objectives below.

3. Civil Service Management Objectives

Yes No Don't know

Attract and retain required human capital nmlkj nmlkj nmlkj

Ensure fiscally sustainable wage bill nmlkj nmlkj nmlkj

Ensure depoliticized, meritocratic CSM nmlkj nmlkj nmlkj

Ensure performance-focusing CSM nmlkj nmlkj nmlkj

Ensure ethical behavior by civil servants nmlkj nmlkj nmlkj

Ensure effective working relationships with other cadres nmlkj nmlkj nmlkj

Please provide references to the relevant provisions of the applicable laws/rules

4.1. Division of Responsibility and Authority - Policy Setting

Agents are public entities or organizations, created by the Constitution, laws or regulations of the country, and financed by the budget. They may be within the executive, legislative or judicial branch, or they may be autonomous or semi-autonomous entities, with some form of accountability to some particular element of either the executive, legislative or judicial branch (e.g., the head of a given such entity is appointed by the Parliament).

Centralized agents are agents who are assigned specific responsibilities and authority over the civil service management actions of other (hierarchically lower) agents.

7. Is policy setting assigned to a set of centralized agents?

4. Division of Responsibility and Authority

Yes

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No

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Don't know

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If the answer is 'Yes", please provide references to the relevant provisions of the applicable laws/rules and specify the name(s) of the agent(s)

Policy objectives of the organization(s) within which civil servants work are distinct from the objectives of the civil service legal framework. They are specific to those organizations, rather than to the management of civil servants. They are the reasons those organizations exist; i.e., they are the purposes of the policies and programs which a given organization is responsible for implementing ordelivering.

8. Day-to-day management of civil servants is assigned to which of the following agents:

4.2. Divisions of Responsibility and Authority - Day-to-Day Management

A single central agent (e.g., a Civil/Public Service Commission or Personnel Management Office)

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Ministries, departments and agencies (MDAs)

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Joint management by a central agent and MDAs

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Don’t know

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Please provide references to the relevant provisions of the applicable laws/rules and briefly explain. Also specify the name(s) of the agent(s)

9. Is responsibility for day-to-day management of civil servants unambiguously assigned? (i.e., the legal framework ensures that when any particular civil service management (CSM) action has been taken, there is no ambiguity as to whether the agent taking that action, and no other agent, had the authority to do so.)

Yes: For any given day-to-day HRM action with respect to a given civil servant, a single, clearly defined agent has final authority.

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No: For some day-to-day HRM actions with respect to a given civil servant, multiple agents are authorized to take that action.

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Don't know

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10. Career management of civil servants is assigned to which of the following agents:

11. If you answered ‘b’ in response to Q.10 above, please specify how frequently the input of MDAs is incorporated in the career management decisions carried out by a central agent:

4.3. Divisions of Responsibility and Authority - Career Management

a. A single central agent (e.g., a Civil/Public Service Commission or Personnel Management Office)

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b. A single central agent with input mandated from MDAs

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c. MDAs with no oversight by a central agent

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d. MDAs with oversight by a central agent

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e. Don’t know

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Always

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Sometimes

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Rarely

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Never

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Don’t know

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12. If you answered ‘d’ in response to Q. 10, please specify how frequently the career management decisions taken by MDAs are subjected to oversight by a central agent:

13. Is responsibility for career management of civil servants unambiguously assigned? (i.e., the legal framework ensures that when any particular career management action has been taken, there is no ambiguity as to whether the agent taking that action, and no other agent, had the authority to do so)

Always

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Sometimes

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Rarely

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Never

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Don’t know.

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Yes: For any given career management action with respect to a given civil servant, a single, clearly defined agent has final authority.

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No : For some career management actions with respect to a given civil servant, multiple agents are authorized to take that action.

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Don't know

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14. Oversight of civil service management practices is assigned to which of the following agents:

4.4. Divisions of Responsibility and Authority - Oversight

A single central agent (e.g., a Civil/Public Service Commission or Personnel Management Office)

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Multiple agents

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Not assigned to any specific agent

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Don’t know

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Definitions:

Redress means adjudicating challenges to particular civil service management actions, in which the complainant claims that the particular civil service management action violated one or more requirements of the civil service legal framework including his/her rights as civil servant

Independent means that this agent has no membership overlap with any of the agents whose HRM actions are subject to redress through this redress agent.

15. Responsibility for redress with respect to CS management actions is assigned to which of the following agents:

4.5. Divisions of Responsibility and Authority - Independent Redress

A single central agent (e.g., Civil/Public Service Commission or Personnel Management Office)

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Multiple central agents

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Responsibility not assigned to any specific central agent

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Don’t know

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16. Is the redress agent independent of the agents exercising both policy setting and civil servant management authority?

Yes, the redress agent is independent of the agents exercising policy setting authority

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Yes, the redress agent is independent of the agents exercising civil servant management authority

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No, the redress agent is not entirely independent from agents whose HRM actions are subject to redress.

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Don't know

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17. Is responsibility for redress unambiguously assigned? (i.e., the legal framework ensures that when any particular redress action has been taken, there is no ambiguity as to whether the agent taking that action, and no other agent, had the authority to do so)

4.5. Divisions of Responsibility and Authority - Independent Redress (2)

Yes: For any given redress action with respect to a given civil servant, a single, clearly defined agent has final authority.

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No : For some redress actions with respect to a given civil servant, multiple agents are authorized to take that action.

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Don't know

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5.1. Remuneration Policies and Practices

This part of the assessment is designed to capture information on remuneration and non-remuneration policies in the civil service.

Definitions:

Remuneration (or pay) policies are the rules or parameters governing the magnitudes of any of the elements of remuneration to be assigned to individual civil servants or their positions on the basis of characteristics of the position or the civil servant.

Total remuneration package includes all benefits provided to an employee for the work responsibilities he/she shoulders. This includes, inter alia, all financial benefits (base pay, allowances, additions to salary, etc.) as well as all in kind benefits (e.g., housing, use of a car and driver, etc.).

Total financial remuneration includes all forms of monetized remuneration paid to an employee (e.g., base pay, allowances, additions to salary, etc.), but excludes in-kind benefits.

Overall ratio of public/private sector total remuneration means average total remuneration package for a given category of civil servants divided by the average total remuneration package for a comparable category (i.e. similar skill sets, responsibilities and authorities) of private sector employees.

5. Remuneration and Non-remuneration Policies and Practices

18. What is the overall ratio of public/private sector total remuneration packages for each type of civil service positions? Notice: Enter data as a percentage. If data is not collected, please enter “-999” in the box. If a certain category is not encompassed by the Civil Service Law, please enter “-777” (i.e. Not Applicable) in the box. High level managers


Professional staff

Technical staff



Unskilled workers

19. What is the overall ratio of public/private sector total financial remuneration for each type of civil service positions? Notice: Enter data as a percentage. If data is not collected, please enter “-999” in the box. If a certain category is not encompassed by the Civil Service Law, please enter “-777” (i.e. Not Applicable) in the box.

20. Please, provide a brief explanation of the data source that allowed you to answer Question No. 18 & 19 above.

High level managers


Professional staff

Technical staff



Unskilled workers

Audit trails are records, either written or electronic, that generate a piece of evidence of when an action occurred and who took it.

21. Please specify whether the following characteristics are present in the civil service compensation system: (*in law)

22. If you answered 'Yes' in response to any of the sub-sections of Q. 21 above, please specify whether the following characteristics are actually functional in the civil service compensation system: (*in practice)

5.1. Remuneration Policies and Practices (2)

Yes NoDon't

know

There are explicit criteria for assigning posts (or the persons selected to occupy given posts) to cells in the salary scale or grid? nmlkj nmlkj nmlkj

Individual salary-determining personnel actions are cleared by a third-party (e.g., a central authority), to ensure compliance with

rules governing such personnel actionsnmlkj nmlkj nmlkj

Personnel management procedures require actions that generate written or electronic records (audit trails) for individual salary

setting actionsnmlkj nmlkj nmlkj

Always Sometimes Rarely NeverDon't

know

Explicit criteria are used for assigning posts (or the persons selected to occupy given posts) to cells in the salary

scale or grid?nmlkj nmlkj nmlkj nmlkj nmlkj

Individual salary-determining personnel actions are cleared by a third-party (e.g., a central authority), to ensure

compliance with rules governing such personnel actionsnmlkj nmlkj nmlkj nmlkj nmlkj

Written or electronic records (audit trails) for individual salary setting actions are generated nmlkj nmlkj nmlkj nmlkj nmlkj

Written or electronic records (audit trails) for individual salary setting actions are reliable in practice nmlkj nmlkj nmlkj nmlkj nmlkj

Please provide a reference to the relevant provisions of the applicable laws/rules that delineate the characteristics of the civil service compensation system

Please give a brief explanation if the reply to any of the sub-sections of the question is not 'Always'

23. Which of the following in-kind benefits are provided to civil servants in the following groups :

5.1 Remuneration Policies and Practices (3)

High-level

managers

Middle-level

managersProfessional staff Technical staff

Administrative &

clerical staff

Skilled & semi-

skilled manual

laborers

Unskilled workers

Housing nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Vehicle and driver nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Land nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

If the answer is 'Other', please specify. Also use the space below to provide references to the relevant provisions of the applicable laws/ rules and give your

comments, if any

Definitions:

Salary setting policy actions are changes in the rules or parameters determining the magnitudes of any of the elements of remuneration to be assigned to individual civil servants or their positions on the basis of characteristics of the civil servant or the position.

Policy changes that impact pension liabilities are changes in the rules or parameters governing pension rights of civil servants.

Pension liabilities are financial commitments made by governments to provide particular pension benefits to civil servants upon retirement. These are typically conditioned on aspects like length of service and pay history of the individual civil servant.

24. Do salary setting policy actions that would impact the civil service wage bill require the review and clearance of a central authority (e.g., the Ministry of Finance)?

5.2. Salary Setting and Pension Liabilities Policy Actions

Yes, always

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Yes, sometimes

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No

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Don't know

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If yes, please describe the agent who has been assigned the responsibility. Also provide a reference to the relevant provisions of the applicable laws/rules that

prescribe the above mentioned review and clearance

25. Do policy changes, that impact civil service pension liabilities, require the review and clearance by a central authority (e.g., the Ministry of Finance)?

5.2. Salary Setting and Pension Liabilities Policy Actions (2)

Yes, always

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Yes, sometimes

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No

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Don't know

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If yes, please describe the agent who has been assigned responsibility. Also provide a reference to the relevant provisions of the applicable laws/rules that

prescribe the above mentioned review and clearance

Definition:

Non remuneration policies and practices are those policies and practices that affect the attractiveness of working within the civil service either by making the work intrinsically rewarding (or not) or by enhancing (or not) possibilities for career advancement, either within the civil service or by taking one’s skills and knowledge elsewhere.

26. Are there explicit policies in place that encourage management/supervisors to employ the following devices to enhance capabilities and/or performance among their staff? (*in-law)

5.3. Non remuneration policies and practices

Yes No Don't know

Fairness with which personnel are managed nmlkj nmlkj nmlkj

Clarity about work performance expectations and whether they have been met nmlkj nmlkj nmlkj

Opportunities to exercise autonomy in one’s work nmlkj nmlkj nmlkj

On-the-job learning or skills acquisition opportunities nmlkj nmlkj nmlkj

Formal training opportunities nmlkj nmlkj nmlkj

Mentoring nmlkj nmlkj nmlkj

Career advancement within the civil service nmlkj nmlkj nmlkj

Praise or other similar non-monetary positive reinforcement nmlkj nmlkj nmlkj

Tenure protections nmlkj nmlkj nmlkj

Other nmlkj nmlkj nmlkj

Please provide a reference to the relevant provisions of the applicable laws/rules that delineate these policies

27. If you answered 'Yes' in response to any of the sub-sections of Q. 26, please specify which of the following devices are actually employed by management/supervisors to enhance capabilities and/or performance among their staff? (*in-practice)

Always Sometimes Rarely Never Don't know

Fairness with which personnel are managed nmlkj nmlkj nmlkj nmlkj nmlkj

Clarity about work performance expectations and whether they have been met nmlkj nmlkj nmlkj nmlkj nmlkj

Opportunities to exercise autonomy in one’s work nmlkj nmlkj nmlkj nmlkj nmlkj

On-the-job learning or skills acquisition opportunities nmlkj nmlkj nmlkj nmlkj nmlkj

Formal training opportunities nmlkj nmlkj nmlkj nmlkj nmlkj

Mentoring nmlkj nmlkj nmlkj nmlkj nmlkj

Career advancement within the civil service nmlkj nmlkj nmlkj nmlkj nmlkj

Praise or other similar non-monetary positive reinforcement nmlkj nmlkj nmlkj nmlkj nmlkj

Tenure protections nmlkj nmlkj nmlkj nmlkj nmlkj

Other nmlkj nmlkj nmlkj nmlkj nmlkj


28. Do any of the following policies exist in order to attract and retain qualified staff to unattractive locations?

5.4. Attracting and Retaining Staff to work in Unattractive Locations

Yes No Don't know

Rotation requirements as a condition for career advancement nmlkj nmlkj nmlkj

Career advancement preference for staff who meet minimum rotation periods in

unattractive locationsnmlkj nmlkj nmlkj

Monetary incentives nmlkj nmlkj nmlkj

In-kind incentives (e.g., housing) nmlkj nmlkj nmlkj


If your answer is 'Other', please specify the incentive mechanism. Also use the space below to provide a reference to the relevant provisions of the applicable

laws/rules that delineate these policies

Definition:

Pooled recruitments: are recruitment exercises in which multiple candidates may be selected, all of whom are considered qualified for employment within a particular cadre of the civil service. In “pooled recruitments” applicants are not applying for a particular position. Rather, they are applying for employment within a given cadre (e.g., professional cadre, administrative cadre, managerial cadre).

29. For position-specific recruitments, is information on the number of qualified applicants per available position by location being routinely monitored?

30. For pooled recruitments, is information on the average number of qualified applicants per available position being routinely monitored?

31. Is information on the turnover of staff, i.e. the number of civil servants who have left the civil service for any reason, by position and by location being routinely collected and monitored?

5.4. Attracting and Retaining Staff to work in Unattractive Locations

Yes

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No

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Don't know

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Yes

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No

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Don't know

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Yes

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No

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Don't know

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32. Is information on the number of unfilled positions by staff category by location being systematically collected and monitored?

Yes

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No

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Don't know

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6.1. Establishment Control System

An establishment control system is a set of rules, procedures and practices whose purpose is to ensure control of both the quantity of personnel and quality of personnel actions covered by that system; i.e., (a)quantity control both authorized civil servant positions and actual numbers of civil servants are both known and kept within limits set by central authorities whose responsibility it is to ensure that the wage bill for civil servants is fiscally sustainable; and (b)quality control rules governing recruitment, selection, promotions, transfers and departures of civil servants are enforced.

33. Is there an establishment control system? Note: If the answer is 'No' or 'Don't know', please go to Q. No. 42 directly

34. The establishment control system :

6. Wage Bill and Establishment Control

Yes

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No

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Don't know

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Please provide a reference to the relevant provisions of the applicable laws/rules that create an establishment system

Is deemed effective

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Is not deemed completely effective

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Is not deemed effective at all

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Please provide an explanation of the evidence used to back-up your assessment

35. Which of the following features are included in the design of the establishment control system? I.e., does the central agent responsible for ensuring establishment control have the following authority? Note: Please provide an answer to each item below.

36. If you answered 'Yes' in response to any of the sub-sections of Q.35, please specify which of the following features of the establishment control system are actually applied in practice?

6.1. Establishment Control System (2)

Yes No Don't know

Authorization of posts/positions within the civil service nmlkj nmlkj nmlkj

Ex ante clearance before launching a recruitment effort for filling a vacant, authorized post within the civil service nmlkj nmlkj nmlkj

Ex ante clearance before appointing a new hire for a vacant, authorized post within the civil service nmlkj nmlkj nmlkj

Ex ante clearance before authorizing a promotion (increase in rank or grade) nmlkj nmlkj nmlkj


Authorization of posts/positions within the civil service nmlkj nmlkj nmlkj nmlkj nmlkj

Ex ante clearance before launching a recruitment effort for filling a vacant, authorized post within

the civil servicenmlkj nmlkj nmlkj nmlkj nmlkj

Ex ante clearance before appointing a new hire for a vacant, authorized post within the civil

servicenmlkj nmlkj nmlkj nmlkj nmlkj

Ex ante clearance before authorizing a promotion (increase in rank or grade) nmlkj nmlkj nmlkj nmlkj nmlkj

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


37. Please provide the name of the central agent(s) with authority to carry out each of the following responsibilities under the establishment control system? Please write "-777" (for Not Applicable) if you answered “No” to same question above (Q. 35), and “-888” if you do not have the answer. Central agent responsible for authorization of posts/positions

Central agent responsible for ex ante clearance before launching a recruitment effort

for filling a vacant, authorized post

Central agent responsible for ex ante clearance before appointing a new hire for a

vacant, authorized post

Central agent responsible for ex ante clearance is before authorizing a promotion

(increase in rank or grade)

Audit trails are records, either written or electronic, that generate a piece of evidence of when an action occurred and who took it.

38. Do written or electronic records (audit trails) exist to ensure quality of information on recruitments, promotions, transfers, and departures of civil servants? Check all that apply

39. Which of the following audit devices are used to esure quality of information on recruitments, promotions, transfers, and departures of civil servants?

6.1 Establishment Control System (3)

Recruitments Promotions Transfers Departures None Don't know

Written record (audit trail) gfedc gfedc gfedc gfedc gfedc gfedc

Electronic record (audit trail) gfedc gfedc gfedc gfedc gfedc gfedc

Yes No Don’t know

Periodic internal audits of such actions (either on a sampling or

full universe basis)nmlkj nmlkj nmlkj

Periodic external audits of such actions (either on a sampling or


Please provide a brief description of the actor(s) responsible for the internal and external audits and provide a reference to the relevant provisions of the

applicable laws/rules that mandate the audit

40. What is the prescribed frequency for carrying out the following : (*in law)

41. How frequently are these audits actually carried out? (*in practice)

Annual Semi-annual Quarterly Other


full universe basis)nmlkj nmlkj nmlkj nmlkj



Rarely or never Annual Semi-annual Quarterly Don't Know


full universe basis)nmlkj nmlkj nmlkj nmlkj nmlkj



Please provide a reference to the relevant provisions of the applicable laws/rules that prescribe the frequency of the audits. Moreover if the answer was 'Other'

please provide a brief explanation

A wage bill control system is a set of rules, procedures and practices whose purpose is to ensure a fiscally sustainable wage bill, by ensuring that

a. Policies governing remuneration are fiscally sustainable (e.g., policies governing salary-scale, additions to salary, pension entitlements etc.); and

b. Rules governing implementation of those remuneration policies are enforced.

42. Is there a wage bill control system? Note: If the answer is 'No' or 'Don't know', please go to Q. No. 56 directly

43. The wage bill control system :

6.2. Wage Bill Control System

Yes

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No

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Don't know

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Please provide a reference to the relevant provisions of the applicable laws/rules that create a wage bill control system

Is deemed effective

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Is not deemed completely effective

nmlkj

Is not deemed effective at all

nmlkj

Please provide an explanation of the evidence used to back-up your assessment

44. Which of the following features are included in the design of the wage bill control system? I.e., does the central agent responsible for ensuring wage bill control have the following authority?

45. If you answered 'Yes' in response to any of the sub-sections of Q.44, please specify which of the following features of the wage bill control system are actually applied in practice?

Yes No Don't know

Clearance of the job descriptions for each position within the civil service nmlkj nmlkj nmlkj

Clearance of the mapping of job descriptions to the salary scale (i.e., for job

evaluations) for each position within the civil servicenmlkj nmlkj nmlkj

Clearance of individual elements of remuneration for an individual civil servant

other than that set by the salary scalenmlkj nmlkj nmlkj


Clearance of the job descriptions for each position within the civil service nmlkj nmlkj nmlkj nmlkj nmlkj

Clearance of the mapping of job descriptions to the salary scale (i.e., for job evaluations) for

each position within the civil servicenmlkj nmlkj nmlkj nmlkj nmlkj

Clearance of individual elements of remuneration for an individual civil servant other than that

set by the salary scalenmlkj nmlkj nmlkj nmlkj nmlkj

Please provide a reference to the relevant legal documents/rules

Please provide a brief explanation if reply to the any of the sub-sections of the question is not 'Always'

46. Please provide the name of the central agent with the authority to carry out each of the following responsibilities as they relate to the wage bill control system?

47. Are there any rules that require cross-checking of personnel records with payroll records to ensure quality of information on remuneration of civil servants ? Note: If the answer is no, please go directly to question 52.

6.2. Wage Bill Control System (2)

Central agent responsible for clearance of the job descriptions for each position

Central agent responsible for clearance of the mapping of job descriptions to the

salary scale (i.e., for job evaluations)

Central agent responsible for clearance of individual elements of remuneration for

an individual civil servant other than that set by the salary scale

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

If the answer is 'Yes', please provide a reference to the relevant provisions of the applicable laws/rules that mandate the cross-checking

48. Is cross-checking of personnel records with payroll records actually carried out to ensure quality of information on remuneration of civil servants ?

49. Is cross-checking ensured by link between treasury payroll system and a civil service personnel records system?

Always

nmlkj

Sometimes

nmlkj

Rarely

nmlkj

Never

nmlkj

Don't know

nmlkj

If the reply is not 'Always', please give a brief explanation

Yes, through an integrated payroll and personnel system

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Yes, through two separate systems that allow easy sharing of information

nmlkj

Yes, through two separate systems that do not allow easy sharing of information

nmlkj

No

nmlkj

Don't know

nmlkj

50. How frequently are personnel records being cross-checked with payroll records?

51. Is the cross-checking process:


Checked at least each pay period

nmlkj

Checked quarterly

nmlkj

Checked less frequently than quarterly, but more frequently than annually

nmlkj

Checked annually

nmlkj

Checked less frequently than annually

nmlkj

Almost never or never checked

nmlkj

Information not available

nmlkj

Automated

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Manual

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Don't know

nmlkj

52. Which of the following devices are being used to ensure quality of information on remuneration of civil servants?

53. Which of the following audit devices are used to esure quality of information on remuneration of civil service?

54. What is the prescribed frequency for carrying out the following :


Yes No Don't know

Written record (audit trail) generated by all salary setting actions nmlkj nmlkj nmlkj

Electronic record (audit trail) generated by all salary setting actions nmlkj nmlkj nmlkj

Yes No Don’t know





Annual Semi-annual Quarterly Other





Please provide a brief description of the actor(s) responsible for the internal and external audits and provide a reference to the relevant provisions of the

applicable laws/rules that mandate the audit

Please provide a reference to the relevant provisions of the applicable laws/rules that prescribe the frequency of the audits

55. How frequently are these audits actually carried out in practice?

Rarely or never Annual Semi-annual Quarterly Don't know





7.1.1 Competition for Entry-level Positions

Depoliticized, meritocratic civil service management presumes that staff selection procedures include the following requirements or features: (i) competition;(ii) merit-based selection criteria; and (iii) three-stage selection procedure (long-listing, short-listing, final selection)

56. Which of the following policies are in place to ensure competition for entry-level positions?

7.1 Recruitment and Selection - Competition

Yes No Don't know

Advertising for an entry level civil service position is always required nmlkj nmlkj nmlkj

Advertising for an entry level civil service position is required, except in exceptional circumstances nmlkj nmlkj nmlkj

Explicit criteria defining “exceptional circumstances” are established in law or subsidiary legislation

(e.g., a Government decree)nmlkj nmlkj nmlkj

A central authority has the responsibility and authority to decide whether or not explicit criteria

have been satisfiednmlkj nmlkj nmlkj

If “exceptional circumstances” are recognized, please describe the explicit criteria that define such circumstances, and which agent has authority to determine

whether they have been met in specific situations. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that

lay out the above mentioned policies

Definitions:“Internal candidates” are existing civil servants; i.e., persons who currently have civil servant status or rights. “External candidates” are candidates who do not currently have civil servant status or rights.

57. Competition for non-entry level positions is open to: Please check all that apply

7.1.2. Competition for Non-entry Level Positions

Internal and external candidates

gfedc

External candidates added only if a qualified internal candidate is not identified

gfedc

Internal candidates only

gfedc

Don’t know

gfedc

Other

gfedc

If you answered 'Other',please explain. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that govern the

selection for non-entry level positions

58. Which of the following policies are in place to ensure competition for non-entry level positions:

59. Are recruitments (either entry- or non-entry level) that are exempted from advertising, under “exceptional circumstances”, required to be monitored?

7.1.2. Competition for Non-entry Level Positions (2)

Yes No Don't know

Advertising for a non-entry level civil service position is always required nmlkj nmlkj nmlkj

Advertising for a non-entry level civil service position is required, except in

exceptional circumstancesnmlkj nmlkj nmlkj

Explicit criteria defining “exceptional circumstances” are established in law or

subsidiary legislation (e.g., a Government decree)nmlkj nmlkj nmlkj

A central authority has the responsibility and authority to decide whether or not

those explicit criteria have been satisfiednmlkj nmlkj nmlkj

If “exceptional circumstances” are recognized, please describe the explicit criteria that define such circumstances, and which agent has authority to determine

whether they have been met in specific situations. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that

lay out the above mentioned policies

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

Not applicable

nmlkj

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

60. Are recruitments (either entry- or non-entry level) that are exempted from advertising, under “exceptional circumstances”, actually monitored?

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

61. If selection for non-entry level positions is restricted to internal candidates (either prior to opening competition to external candidates or always), selection procedures require which of the following:

62. What percentage of non-entry level appointments during the most recent quarter (three months) were external candidates?

7.1.2. Competition for Non-entry Level Positions (3)

Selection based on competition among all internal candidates meeting minimum qualifications.

nmlkj

Selection based on seniority from among candidates meeting minimum qualifications.

nmlkj

Other selection procedure requirement

nmlkj

If the answer is 'Other',please specify. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that govern the

selection process

More than 75%

nmlkj

Between 50 and 74%

nmlkj

Between 25% and 49%

nmlkj

Between 10% and 24%

nmlkj

Less than 10%

nmlkj


nmlkj

7.2.1. Selection Criteria for Entry-Level Positions

63. Which of the following criteria are employed for selection to entry-level positions? (*in law)

64. How important are each of the following criteria for selection to entry-level positions? (*in law)

7.2. Recruitment and Selection - Selection Criteria

Yes NoDon’t

know

Knowledge, skills and capacity to take on a position’s responsibilities, both technical and inter-personal nmlkj nmlkj nmlkj

Performance in previous relevant employment nmlkj nmlkj nmlkj

Education nmlkj nmlkj nmlkj

Years of relevant experience, regardless of who the employer was nmlkj nmlkj nmlkj


The single most

important criterionVery important

Medium

importance

Little or no

importanceDon’t know

Knowledge, skills and capacity to take on a position’s

responsibilities, both technical and inter-personalnmlkj nmlkj nmlkj nmlkj nmlkj

Performance in previous relevant employment nmlkj nmlkj nmlkj nmlkj nmlkj

Education nmlkj nmlkj nmlkj nmlkj nmlkj

Years of relevant experience, regardless of who the employer

wasnmlkj nmlkj nmlkj nmlkj nmlkj


If the answer is 'Other', please explain. Also provide a reference to the relevant laws/rules that lay out the selection criteria

Please provide a reference to the relevant provisions of applicable laws/rules that assign weights to these selection criteria and enumerate the relative

weightage of each criterion

65. How important are each of the following criteria for selection to entry-level positions in practice?

The single most


Medium

importance

Little or no









66. Can relevant experience substitute for education in meeting the minimum requirements for an entry-level position?

67. What percentage of entry-level appointments met minimum education requirements for the position?

7.2.1. Selection Criteria for Entry-level Positions (2)

Yes, always

nmlkj

Yes, sometimes

nmlkj

No

nmlkj

Don't know

nmlkj


100%

nmlkj

Between 90% and 99%

nmlkj

Between 75% and 89%

nmlkj

Between 50% and 74%

nmlkj

Less than 50%

nmlkj


nmlkj

68. Can education substitute for relevant experience in meeting the minimum requirements for an entry-level position?

69. What percentage of entry-level appointments met minimum relevant experience requirements for the position?

7.2.1. Selection Criteria for Entry-level Positions (3)

Yes

nmlkj

No

nmlkj

Don't know

nmlkj


100%

nmlkj

Between 90% and 99%

nmlkj

Between 75% and 89%

nmlkj

Between 50% and 74%

nmlkj

Less than 50%

nmlkj


nmlkj

70. Which of the following criteria are employed for selection to non-entry level positions? (*in law)

71. How important are each of the following criteria for selection to non-entry level positions? (*in law)

7.2.2. Selection Criteria for Non-entry Level Positions

Yes NoDon’t

know

Knowledge, skills and capacity to take on a position’s responsibilities, both technical and inter-personal nmlkj nmlkj nmlkj

Performance in previous relevant employment nmlkj nmlkj nmlkj

Education nmlkj nmlkj nmlkj

Years of relevant experience, regardless of who the employer was nmlkj nmlkj nmlkj


The single most


Medium

importance

Little or no








Years of relevant experience within the civil service only nmlkj nmlkj nmlkj nmlkj nmlkj


If the answer is 'Other', please explain. Also provide a reference to the relevant laws/rules that lay out the selection criteria

Please provide a reference to the relevant provisions of applicable laws/rules that assign weights to these selection criteria and enumerate the relative

weightage of each criterion

72. How important are each of the following criteria for selection to non-entry level positions in practice?

73. Can relevant experience substitute for education in meeting the minimum requirements for a non-entry level position?

The single most


Medium

importance

Little or no








Years of relevant experience within the civil service only nmlkj nmlkj nmlkj nmlkj nmlkj


Yes, always

nmlkj

Yes, sometimes

nmlkj

No

nmlkj

Don't know

nmlkj


74. What percentage of non-entry level appointments met minimum education requirements for the position?

75. Can education substitute for relevant experience in meeting the minimum requirements for a non-entry level position?

7.2.2. Selection Criteria for Non-entry Level Position (2)

100%

nmlkj

Between 90% and 99%

nmlkj

Between 75% and 89%

nmlkj

Between 50% and 74%

nmlkj

Less than 50%

nmlkj


nmlkj

Yes

nmlkj

No

nmlkj

Don't know

nmlkj


76. What percentage of non-entry level appointments met minimum relevant experience requirements for the position?

77. Is there an agent who is assigned the responsibility to verify job application documentation (e.g. diplomas, previous work experience etc.)for both entry and non-entry level positions?

Yes No Don't know

For entry level positions gfedc gfedc gfedc

For non entry level position gfedc gfedc gfedc

100%

nmlkj

Between 90% and 99%

nmlkj

Between 75% and 89%

nmlkj

Between 50% and 74%

nmlkj

Less than 50%

nmlkj


nmlkj

This section asks about two central aspects of recruitment and selection procedures:

(i) the type(s) of screening procedures employed, and (ii) characteristics of the decision points required by those procedures.

As in the previous questions regarding the competition requirements and selection criteria, questions are asked separately for entry-level positions and non-entry-level positions.

7.3.1. Screening Procedures for Entry-level Positions

78. Which of the following types of screening procedures are employed in the selection of entry-level civil servants? (*in law)

7.3. Recruitment and Selection - Screening Procedures

Yes No Don’t know

Interviews nmlkj nmlkj nmlkj

Written testing nmlkj nmlkj nmlkj

Other screening procedure(s) nmlkj nmlkj nmlkj

please provide a reference to the relevant provisions of the applicable laws/rules that prescribe the screening procedures. If the answer was 'Other screening

procedures', please provide a brief explanation

79. How often are each of the following types of screening procedures employed in the selection of entry-level civil servants? (*in practice)

80. How important is each of these types of screening procedures in selection decisions?

Always Often Sometimes Rarely Never Don’t know

Interviews nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Written testing nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other screening procedure(s) nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

The most

importantImportant

Moderately

important

Marginally

importantNot used Don’t know


Written tests nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other screening procedure(s), nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

In case of 'Other', please specify

In case of 'Other' please specify. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that assign weights to

different screening procedures

81. How important is each of the following characteristics for assessing candidates ?

7.3.1 Screening Procedures for Entry-level Position (2)

The most

importantImportant

Moderately

important

Marginally


Knowledge of the rules and procedures governing your country’s

civil service and public administrationnmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Professional knowledge or expertise required by the position or

career tracknmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Analytical skills nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Communication skills nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Inter-personal skills and aptitudes nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Managerial skills and knowledge nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Computer skills nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

If the answer is 'Other', please describe

82. Which of the following types of screening procedures are employed in the selection of non-entry level civil servants? (*in law)

83. How often are each of the following types of screening procedures employed in the selection of non-entry level civil servants? (*in practice)

7.3.2. Screening Procedures for Non-entry Level Positions

Yes No Don't know


Written testing nmlkj nmlkj nmlkj

Other screening procedure(s) nmlkj nmlkj nmlkj

Always Often Sometimes Rarely Never Don’t know


Written testing nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj


Please provide a reference to the relevant provisions of the applicable laws/rules that prescribe the screening procedures for non-entry level positions

In case of 'Other', please specify

84. How important is each of these types of screening procedures in selection decisions?

The most

importantImportant

Moderately

important

Marginally



Written tests nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj


Please specify type(s), if any. Also use the space below to provide a reference to the relevant legal procedures/rules that assign weights to different screening

procedures

85. How important is each of the following characteristics for assessing candidates ?

7.3.2. Screening Procedures for Non-entry Level Positions (2)

The most

importantImportant

Moderately

important

Marginally


Knowledge of the rules and procedures governing your country’s

civil service and public administrationnmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Professional knowledge or expertise required by the position or

career tracknmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Analytical skills nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Communication skills nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Inter-personal skills and aptitudes nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Managerial skills and knowledge nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Computer skills nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

If other, please describe

Definitions:

Long-listing: A long-listing procedure eliminates clearly unqualified candidates from further consideration. It typically involves little more than reviewing CVs to confirm whether each applicant possesses the requisite education, training and experience in the field of expertise required by the position or career stream for which a recruitment process is being undertaken.

Short-listing: A short-listing procedure provides a more in-depth review of long-listed candidates, aimed at ranking candidates into at least two categories: (i) those who are qualified enough that the short-listing committee (or agent) would be comfortable if they were the final winners of the competition; and (ii) those who meet the minimum qualifications of the long-listing process, but fail to meet a higher standard, considered to be the minimum for a candidate to be able to fill the available position and carry out its responsibilities competently. Short-listing procedures typically set some maximum on the number of candidates that can be short-listed, and often require that at least some minimum number of candidates meet the short-listing standards before a competition can proceed to final selection.

Final selection: A final selection procedure selects one candidate per available position from the short list to be appointed to the available position. The objective of this procedure is to ensure that the best suited candidate from the short list is selected. The procedure typically involves interviews with the short-listed candidates by the agent(s) empowered to make the final selection.

External Agent: For the purposes of recruitment and selection procedures,an external agent is an agent that is not part of the civil service management structure. It could be, a professional society, or a body created by and accountable to the legislature (rather than the executive).

7.4. Recruitment and Selection - Decision steps

86. Is long-listing included in the recruitment and selection process? Note: If the answer to this question is 'No' or 'Don't know', please go directly to question number 90.

87. In practice, is long-listing actually carried out during the recruitment and selection process?

7.4.1. Long-listing

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

Please provide a reference to the relevant provisions of the applicable laws/rules that lay out the long-listing procedure

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

88. Which of the following agents is involved in the identification of candidates placed on the long list? (*in law) Please select all that apply

Yes No Don't know

Central Agent nmlkj nmlkj nmlkj

Management unit within which the position is located nmlkj nmlkj nmlkj

HR unit within the management unit within which the position is located nmlkj nmlkj nmlkj

An external agent with an interest in assuring adherence to professional standards relevant to the position in

questionnmlkj nmlkj nmlkj


For each of the agents involved, please specify who the specific agent is:

89. What types of evidence are considered at the long-listing stage? (*in law) Please select all that apply

7.4.1. Long-listing (2)

Yes No Don't know

CV nmlkj nmlkj nmlkj

Written answers to specific questions relevant to the position nmlkj nmlkj nmlkj

Writing samples nmlkj nmlkj nmlkj

References nmlkj nmlkj nmlkj

Written tests nmlkj nmlkj nmlkj


Other (please specify)

90. Is short-listing included in the recruitment and selection process? Note: If the answer to this question is 'No' or 'Don't know', please go directly to question number 96.

91. In practice, is short-listing actually carried out during the recruitment and selection process?

7.4.2. Short-listing

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

If the answer is 'Yes', please provide a reference to the relevant provisions of the applicable laws/rules that lay out the short-listing procedure

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

92. Which of the following agents is involved in the identification of candidates placed on the short list? (*in law) Please select all that apply

Yes No Don't know







For each of the agents involved , please specify who the specific agent is:

93. What types of evidence are considered at the short-listing stage? (*in law) Please select all that apply

94. Is there a formal set of rules and/or guidelines specifying criteria for ranking long-listed candidates to create the short-list?

7.4.2. Short-listing (2)

Yes No Don't know








Yes

nmlkj

No

nmlkj

Don't know

nmlkj

If, yes please explain and provide a reference to the relevant provisions of the applicable laws/rules

95. Is there a formal set of rules designed to ensure that any short-listed candidate satisfies a minimum level of qualification, which is significantly higher than those for long-listed candidates?

7.4.2. Short-listing (3)

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

If yes, please explain and provide a reference to the relevant provisions of the applicable laws/rules

96. Which of the following agents is involved in the final selection of candidate(s)? *(in-law) Please select all that apply

97. What types of evidence are considered at the final selection stage? *(in-law) Please select all that apply

7.4.3. Final Selection

Yes No Don't know







Yes No Don't know







For each of the involved agents, please specify who the specific agent is:


98. If final selected candidate is not the highest ranked candidate on the short list, which of the following actions is required?

7.4.3. Final Selection (2)

No action required

nmlkj

Written justification of the selection must be provided

nmlkj

Written justification must be provided and is subject to review by a third party (e.g., oversight agent)

nmlkj

Written justification must be provided and is subject to review and clearance by a third party (e.g., oversight agent)

nmlkj

Don't know

nmlkj


Definition

Equitable Representation is a policy objective that aims to ensure that particular, identifiable classes of persons either are afforded greater opportunities for civil service employment or career growth within the civil service than has been the historical norm for those classes, or that civil service employment of persons drawn from those classes more nearly approximates their incidence in the general population than has been the case historically in the country’s civil service. Examples of classes of persons to which this sometimes applies include ethnic, racial or religious minorities, or gender (women).

99. Is equitable representation a policy objective for civil service cadre? Note: If the answer to this question is 'No' or 'Don't know', please go directly to question number 103.

7.5. Equal Opportunity for Employment

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

100. Which of the following are used to promote equitable representation ? Yes No Don't know

Pre-service training programs targeted at under-represented groups (to improve their

qualifications)nmlkj nmlkj nmlkj

Marketing or advertising of positions and career opportunities targeted at under-represented

groupsnmlkj nmlkj nmlkj

Extra career development support for staff from under-represented groups nmlkj nmlkj nmlkj

In-service training programs giving preference to staff from under-represented groups nmlkj nmlkj nmlkj

Preference given to candidates from under-represented groups in selection decisions (e.g., extra

points in any scoring of candidates)nmlkj nmlkj nmlkj

Budget subsidization of salaries of newly hired staff from under-represented groups nmlkj nmlkj nmlkj

Other organizational rewards to organizational units that recruit staff from under-represented

groups (e.g., one-off budget infusions)nmlkj nmlkj nmlkj

Rewards to managers who meet targets for increasing the share of staff from under-represented

groups (e.g., higher annual performance appraisal ratings)nmlkj nmlkj nmlkj

Hiring quotas for under-represented groups nmlkj nmlkj nmlkj


If other, please provide a brief explanation

101. Is empirical evidence being collected on whether equitable representation policies have led to compromises on merit-based selection objectives?

102. Is evidence being monitored on the extent of equitable representation-based recruitment?

7.5. Equal Opportunity for Employment (2)

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

If yes, please specify what kind of evidence is being collected and whether equitable representation policies have led to compromises

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

If yes, please specify what kind of evidence is collected and whether this evidence shows that equity-based recruitment objectives are being advanced

8.1. Legal Framework for Disciplinary Procedures

103. Are grounds for disciplinary actions explicitly specified in the legal framework?

104. Does the legal framework explicitly specify a hierarchy of disciplinary offenses?

105. Does the legal framework explicitly specify hierarchy of disciplinary actions?

8. Disciplinary Procedures & Practices

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

If the answer is 'Yes', please specify the relevant provisions of the applicable laws/rules that specify the grounds for disciplinary actions

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

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

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

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

106. Does the legal framework establish the principle that disciplinary actions should be proportional to disciplinary offenses?

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

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

107. Which of the following disciplinary actions against an employee can be taken by his/her immediate superior? Please check all that apply.

8.2. Disciplinary Authority of the Immediate Superior

Verbal reprimand (does not enter an employee's personnel file)

gfedc

Written reprimand that enters personnel file, but no formal disciplinary sanctions

gfedc

Formal disciplinary sanction less severe than dismissal(e.g., temporary reduction or suspension of pay, temporary suspension from work with or without

pay, temporary or permanent reduction in rank, etc.)gfedc

Dismissal

gfedc

Other

gfedc

If the answer is 'Other', please explain. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that describe

the legal authority of the immediate superior

108. For disciplinary actions that can taken by the immediate superior (as indicated in the question above), what are the rules regarding clearance? Check 'Not applicable', if the disciplinary action cannot be taken, as indicated in the question above.

No clearance is

needed

No clearance but

review

Clearance by higher

level management

within same

organization

Clearance by HR unit

within same

organization

Clearance by a

central HR entityNot applicable

Verbal reprimand gfedc gfedc gfedc gfedc gfedc gfedc

Written reprimand gfedc gfedc gfedc gfedc gfedc gfedc

Formal disciplinary sanctions gfedc gfedc gfedc gfedc gfedc gfedc

Dismissal gfedc gfedc gfedc gfedc gfedc gfedc

Other(as indicated above) gfedc gfedc gfedc gfedc gfedc gfedc

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

109. Which of the following disciplinary actions against an employee can be taken by the top level management within that same organization? Please check all that apply.

8.3. Disciplinary Authority of Top Level Management

Verbal reprimand (does not enter an employee's personnel file)

gfedc

Written reprimand that enters personnel file, but no formal disciplinary sanctions

gfedc

Formal disciplinary sanction less severe than dismissal(e.g., temporary reduction or suspension of pay, temporary suspension from work with or without


Dismissal

gfedc

Other

gfedc

If the answer is 'Other', please explain. Also use the space below to provide a reference to the relevant laws/rules that describe the legal authority of the top

level management

110. For disciplinary actions that can taken by top management (as indicated in the question above), what are the rules regarding clearance? Check 'Not applicable', if the disciplinary action cannot be taken, as indicated in the question above.

No clearance is needed No clearance but reviewClearance by HR unit

within same organization

Clearance by a central HR

entityNot applicable

Verbal reprimand gfedc gfedc gfedc gfedc gfedc

Written reprimand gfedc gfedc gfedc gfedc gfedc

Formal disciplinary sanction gfedc gfedc gfedc gfedc gfedc

Dismissal gfedc gfedc gfedc gfedc gfedc

Other (as indicated above) gfedc gfedc gfedc gfedc gfedc

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

111. Which of the following disciplinary actions are subject to redress? Select all that apply

9. Redress

Verbal reprimand (does not enter an employee personnel file)

gfedc

Written reprimand that enters personnel file, but no formal disciplinary sanctions are imposed

gfedc

Formal disciplinary sanction less severe than dismissal (e.g., temporary reduction or suspension of pay, temporary suspension from work with or without


Dismissal

gfedc

Other

gfedc

If the answer is 'Other', please explain. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that subject

disciplinary actions to redress

112. Does a code of ethics exist and cover civil servants?

113. Do asset declarations requirements exist for the following groups of civil servants and members of their families?

10. Code of Ethics and Asset Declaration

Yes No Don't know

Civil servants with managerial responsibilities nmlkj nmlkj nmlkj

Spouses of civil servants with managerial responsibilities nmlkj nmlkj nmlkj

Children of civil servants with managerial responsibilities nmlkj nmlkj nmlkj

Civil servants with fiduciary responsibilities (i.e. responsibility for handling finances) nmlkj nmlkj nmlkj

Spouses of civil servants with fiduciary responsibilities nmlkj nmlkj nmlkj

Children of civil servants with fiduciary responsibilities nmlkj nmlkj nmlkj

Civil servants with professioanl responsibilities nmlkj nmlkj nmlkj

Spouses of civil servants with professional responsibilities nmlkj nmlkj nmlkj

Children of civil servants with professional responsibilities nmlkj nmlkj nmlkj

Yes

nmlkj

No

nmlkj

Don't know

nmlkj



114. Do conflict of interest restrictions apply to the following categories of civil servants?civil servants? Yes No Don't know

Civil servants with managerial responsibilities nmlkj nmlkj nmlkj

Civil servants with fiduciary responsibilities nmlkj nmlkj nmlkj

Civil servants with professional responsibilities nmlkj nmlkj nmlkj


11.1. Performance Objectives

115. Are the organizational units within which civil servants work required to specify their objectives in writing?

116. Are the organizational units within which civil servants work required to track and report systematic evidence on their progress in achieving those organizational objectives?

11. Performance-focusing Civil Service Management

Yes

nmlkj

No

nmlkj

Don't know

nmlkj


Yes

nmlkj

No

nmlkj

Don't know

nmlkj


117. How often do the organizational units within which civil servants work provide the following performance information to the Cabinet?

118. How often do the organizational units within which civil servants work provide the following performance information to their respective Ministers (or equivalents)

11.1. Performance Objectives (2)

NeverLess than

annuallyAnnually Quarterly Monthly

Weekly or more

oftenDon’t know

Data on activities undertaken nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the timeliness with which those

activities are completednmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on expenditures made on those activities nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the direct outputs (products or services)

of those activitiesnmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the timeliness with which those outputs

are deliverednmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the cost-effectiveness with which those

outputs are producednmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the quality of those outputs nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the impacts of those outputs on the

policy and program objectives of the

organizational unit

nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

NeverLess than

annuallyAnnually Quarterly Monthly

Weekly or more

oftenDon’t know

Data on activities undertaken nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the timeliness with which those

activities are completednmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on expenditures made on those activities nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the direct outputs (products or services)

of those activitiesnmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the timeliness with which those outputs

are deliverednmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the cost-effectiveness with which those

outputs are producednmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the quality of those outputs nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Data on the impacts of those outputs on the

policy and program objectives of the

organizational unit

nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

119. How is performance information summarized for presentation to policy makers?”

120. Are policy recommendations, based on the performance information, presented before the Cabinet or the Minister to comment/decide upon?

Summary statistics

nmlkj

Text summaries

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Other

nmlkj

'If the answer is 'Other', please explain

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

Performance appraisal provides one tool for creating incentives for civil servants to focus their work efforts on the policy and program objectives of the organizational units within which they work; i.e., on contributing to organizational performance.

Performance appraisal is the formal evaluation of the performance of civil servants

Attestation is a determination of whether or not a given civil servant possesses the qualifications required by the position in which he/she is employed; i.e., a determination of the civil servant's suitability for the position he/she holds.

121. Are all civil servants subject to the following?

122. Does the performance appraisal system for civil servants include criteria based on a civil servant’s compliance with the rules, procedures and policies governing civil servants? *(in-law)

11.2. Performance Appraisal

An annual performance appraisal

nmlkj

A periodic attestation

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Both

nmlkj

None

nmlkj

Don't know

nmlkj


Yes

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No

nmlkj

Don't know

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123. How important are the following criteria in evaluating performance of civil servants? (*in-practice)

Very important Important Modestly important Unimportant Information N/A Don't know

Compliance nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Performance nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

124. In the performance appraisal process, how often is evidence captured relating to the following aspects of civil servants’ contributions to organizational performance? *(in practice)

125. In the performance appraisal process, how often is evidence captured relating to the following aspects of civil servants’ behavior?

11.2. Performance Appraisal (2)

Always Often Sometimes Rarely Never Don't know

Activities undertaken nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Timeliness with which those activities were undertaken? nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Direct outputs (products or services) of those activities nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Timeliness with which those outputs were delivered? nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Cost-effectiveness with which those outputs were produced? nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Quality of those outputs? nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other, please specify nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj


Collaborative behavior nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Learning-focused behavior nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Ethical behavior nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Results-oriented behavior nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other, please specify nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

126. Which of the following sources of information are used as input to the performance appraisal? *(in

practice) Please select all that apply

127. Are performance appraisals subjected to review by any of the following agents?



Direct supervisors daily oversight of employee’s work nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Employee’s summary of his performance over the period in

questionnmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Feedback from clients (internal or external) of the employee’s

work (e.g. project leaders, users of products, etc)nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Feedback from peers nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Feedback from subordinates nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other,please specify nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Yes No Don't know

Next higher level of management within that same organization nmlkj nmlkj nmlkj

HR unit within that same organization nmlkj nmlkj nmlkj

Central HR entity nmlkj nmlkj nmlkj


If the answer is 'Other', please specify. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules

128. Is there a written record for each civil servant's performance appraisal? (*in practice)

129. Does a civil servant have an opportunity to review and comment on the written performance appraisal? (*in law)

130. If the answer to question number 129 is 'Yes', is this opportunity afforded to civil servants in practice?


Yes

nmlkj

No

nmlkj

Don't know

nmlkj

Yes

nmlkj

No

nmlkj

Don't know

nmlkj


Always

nmlkj

Sometimes

nmlkj

Rarely

nmlkj

Never

nmlkj

Don't know

nmlkj

If the answer is not 'Always', please give a brief explanation

131. If the answer to question number 129 is 'Yes', are these comments included in the written appraisal record? *(in practice)

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

Please describe if any exceptions can be made

132. Does a civil servant have a right to view his performance appraisal records?


Yes

nmlkj

No

nmlkj

Don't know

nmlkj

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

133. Which, if any, of the following performance-related-pay (PRP) policies authorize linking pay increments to performance? (*in law)

134. Which, if any, of the following performance-related-pay (PRP) practices are employed to link pay increments to performance? (*in practice)

135. Are individual PRP awards based on annual performance appraisal ratings?

11.3. Performance-related Pay (PRP) Practices

Yes No Don't know

Individual one-off performance bonuses nmlkj nmlkj nmlkj

Individual performance-based permanent pay increments nmlkj nmlkj nmlkj

Individual promotions nmlkj nmlkj nmlkj

Group-based PRP awards based on group performance nmlkj nmlkj nmlkj


Individual one-off performance bonuses nmlkj nmlkj nmlkj nmlkj nmlkj

Individual performance-based permanent pay increments nmlkj nmlkj nmlkj nmlkj nmlkj

Individual promotions nmlkj nmlkj nmlkj nmlkj nmlkj

Group-based PRP awards based on group performance nmlkj nmlkj nmlkj nmlkj nmlkj

If the answer to any of the sub-sections of the question is 'Yes', please provide a reference to the relevant provisions of the applicable laws/rules

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

If no, please explain what the PRP awards are based on

136. What specific caps, if any, are being used within individual organizational units to limit the total number and/or cost of PRP awards?

137. If caps are used, what are their magnitude: If information is not available, please enter "-666" in the box.

11.3. Performance-related Pay (PRP) Practices (2)

Yes No Don’t know

Caps on the number or percentage of staff in each organizational unit that can be assigned a

PRP award in any given yearnmlkj nmlkj nmlkj

Caps on the total expenditures on PRP awards within each organizational unit in any given year nmlkj nmlkj nmlkj


As a percentage of staff

As a percentage of the wage bill

if the answer is 'Other', please explain.

12.1. Promotions

138. Which of the following promotions procedures are allowed?

139. In the most recent full calendar year, approximately what percentage of promotions were decided under each of these procedures?

12. Promotions and Transfers Procedures and Practices

Screening of an individual candidate

Internal competition

External/open competition

Other (same as in the previous question)

Data are not collected (please enter "-999" in the box)

Screening of an individual candidate without competition from other candidates

gfedc

Internal competition (only internal candidates are eligible)

gfedc

External/open competition (both internal and external candidates are eligible)

gfedc

Other

gfedc

If the answer is 'Other', please specify constraints on eligibility of candidates to be considered for promotion. Also use the space below to provide a reference

to the relevant provisions of the applicable laws/rules that prescribe the promotion procedure

140. How important is each of the following criteria in promotion decisions for civil servants in their early career? (i.e., within the first five years following entry into the civil service)

12.2. Promotions Criteria

Most important Very importantModerately

importantMinor importance Not used Don't know

Number of years of seniority/experience nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Annual performance appraisals nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Qualifications other than years of

seniority/experience and performance appraisals

(e.g., relevance of education, quality and

relevance of experience, relevant knowledge)

nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Tests or other structured assessments of particular

aptitudes relevant to the new position (e.g., tests

of management style, teamwork abilities,

communication skills, etc.)


Other (please specify) nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

141. How important is each of the following criteria in promotion decisions for mid-career civil servants? (i.e., after at least ten years of civil service employment)

12.2. Promotions Criteria (2)

Most important Very importantModerately

importantMinor importance Not used Don't know

Number of years of seniority/experience nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Annual performance appraisals nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Qualifications other than years of

seniority/experience and performance appraisals

(e.g., relevance of education, quality and

relevance of experience, relevant knowledge)


Tests or other structured assessments of particular

aptitudes relevant to the new position (e.g., tests

of management style, teamwork abilities,

communication skills, etc.)


Other (please specify) nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

What checks exist to discipline promotions decisions; i.e., to ensure promotions are deserved.

142. Are numbers of promotions subject to any of the following caps within a given year?

12.3. Checks on Promotion Decisions

Yes No Don't know

Number of authorized positions at any given grade imposes a limit/ceiling on the number of

potential promotions to each gradenmlkj nmlkj nmlkj

Explicit limits/ceilings are placed on the numbers of promotions, either in total or by grade to

which promotion is madenmlkj nmlkj nmlkj

Other restrictions nmlkj nmlkj nmlkj

If the answer is 'Other restrictions', please specify

143. Who can propose a promotion? Please check all that apply

144. Which of the following agents proposed the highest (1), second highest (2), etc. share of the overall number of promotions, in the most recent full calendar year? Please rank the following agents from 1 - highest share of proposed promotions to 6 - lowest share; if a certain agent have not proposed any promotions, please mark "NA" (not applicable)

12.3. Checks on Promotion Decisions (2)

Highest

share (1)2 3 4 5

Lowest

share (6)NA

Data not

collected

The candidate himself (by applying for a higher ranking position) nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Immediate superior of the candidate for promotion nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Head of the organization within which the candidate for promotion

existsnmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

HRM unit of the organization within which the candidate for

promotion existsnmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

A central HRM unit nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

Other (same as in the previous question) nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj nmlkj

The candidate himself (e.g. by applying for a higher ranking position)

gfedc

Immediate superior of the candidate for promotion

gfedc

Head of the organization within which the candidate for promotion exists

gfedc

HRM unit of the organization within which the candidate for promotion exists

gfedc

A central HRM unit

gfedc

Other, please specify

gfedc

145. Is there a threshold, identified by some grade, rank or level, at which promotions decisions require more extensive clearance procedures?

146. In case there is no threshold, whose clearance is required for promotions decisions?

12.3. Checks on Promotion Decisions (3)

Yes No Don't know

Immediate superior of the post-promotion position nmlkj nmlkj nmlkj

Head of the organization within which the post-promotion position exists nmlkj nmlkj nmlkj

HRM unit of the organization within which the post-promotion position exists nmlkj nmlkj nmlkj

A central HRM unit responsible for ensuring that the rules and objectives of the

legal framework governing the management of the civil service are satisfiednmlkj nmlkj nmlkj

A central unit responsible for ensuring fiscal sustainability of the wage bill nmlkj nmlkj nmlkj


Yes

nmlkj

No

nmlkj

Don't know

nmlkj

If yes, please identify the threshold (grade, rank or level) and total number of grades, ranks or levels that exist in the salary structure

If the answer is 'Other', please specify.Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that prescribe the

clearance requirments for promotion

147. In case there is a threshold, who must approve promotion above and below the threshold? Skip the question if there is no identified threshold for extensive clearance.

Clearance needed below

threshold

Clearance needed at or

above thresholdClearance not needed

Information not

available

Immediate superior of the post-promotion position gfedc gfedc gfedc gfedc

Head of the organization within which the post-promotion

position existsgfedc gfedc gfedc gfedc

HRM unit of the organization within which the post-promotion

position existsgfedc gfedc gfedc gfedc

A central HRM unit responsible for ensuring that the rules and

objectives of the legal framework governing the management of

the civil service are satisfied

gfedc gfedc gfedc gfedc

A central unit responsible for ensuring fiscal sustainability of the

wage billgfedc gfedc gfedc gfedc

Other gfedc gfedc gfedc gfedc

If the answer is 'Other', please specify. Also use the space below to provide a reference to the relevant provisions of the applicable laws/rules that prescribe the

clearance procedures below and above the threshold

148. Can the highest ranking civil servants, in any given entity, who report directly to either a politician or a politically appointed official be removed without cause by their superior?

149. If such a removal occurs what would happen to the following rights of that highest ranking civil servant within a given entity?

13. Stability of the Highest Ranking Civil Servant

Status unchanged

from that prior to

removal

Status temporarily

retainedPrevious status lost Not applicable Don’t know

Seniority/tenure nmlkj nmlkj nmlkj nmlkj nmlkj

Grade/rank nmlkj nmlkj nmlkj nmlkj nmlkj

Pay/remuneration nmlkj nmlkj nmlkj nmlkj nmlkj

Pension nmlkj nmlkj nmlkj nmlkj nmlkj

Never

nmlkj

Sometimes

nmlkj

Always

nmlkj

Don't know

nmlkj



150. If such a removal occurs would that highest ranking civil servant retain a right for another position within the civil service?

Yes

nmlkj

No

nmlkj

Don't know

nmlkj


151. Are there written rules that clarify working relationships between civil servants and each of the following cadres?

152. Is there a forum where senior civil servants meet on a regular basis with politically appointed officials to discuss work issues and how they can effectively work with each other?

153. How frequently does this forum meet?

14. Working Relationships with Other Cadres

Yes, clear rulesYes, but ambiguous or

unclear rulesNo written rules Don’t know

Politically appointed officials nmlkj nmlkj nmlkj nmlkj

Public service provision professionals nmlkj nmlkj nmlkj nmlkj

Contract personnel nmlkj nmlkj nmlkj nmlkj


Yes

nmlkj

No such forum exists

nmlkj

Don’t know

nmlkj


Monthly or more frequently

nmlkj

Quarterly

nmlkj

Less than quarterly

nmlkj

Don’t know

nmlkj

154. Are politically appointed officials required to provide input to the formal annual performance appraisals of civil servants with whom they work directly?

155. Do civil servants have a formal mechanism through which they can provide feedback on the performance of the politically appointed officials with whom they work directly? (i.e. a formal feedback mechanism to the public officials to whom those politically appointed officials directly report.)

14. Working Relationships with Other Cadres (2)

Yes

nmlkj

No

nmlkj

Don't know

nmlkj

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

Yes

nmlkj

No

nmlkj

Don't know

nmlkj


Thank You!

Human Resource Management Diagnostic Instrument - World Banksiteresources.worldbank.org/EXTPUBLICSECTORANDGOVERNANCE/Resources… · This module of the Human Resource Management Actionable

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