HRM Diagnostic Instrument - Design Features II - performance-focusing CSM, Ethics,

Transcription

1 1. Civil Service Labor Regime - Design Features of Performance-Focusing Civil... Organizational units within which civil servants work face incentives to focus on their performance in achieving their policy and program objectives. Page 1

2 2. Design features - Performance objectives 1. Are the organizational units within which civil servants work required to specify their objectives in writing? Yes Don't know No 2. Are the organizational units within which civil servants work required to track and report systematic evidence on their progress in achieving those organizational objectives? Yes Don't know No Page 2

3 3. Design features - Design features - Performance objectives (2) 3. How frequently are each of the following types of performance information provided to Cabinet by organizational units within which civil servants work? Less than Weekly or Never Annually Quarterly Monthly Don t know annualy more often Data on activities undertaken Data on the timeliness with which those activities are completed Data on expenditures made on those activities Data on the direct outputs (products or services) of those activities Data on the timeliness with which those outputs are delivered Data on the cost-effectiveness with which those outputs are produced Data on the quality of those outputs Data on the impacts of those outputs on the policy and program objectives of the organizational unit Page 3

4 4. Design features - Performance appraisal Civil servants face incentives to help the organizational units within which they work to achieve program and policy objectives. 4. Are all civil servants subject to at least an annual formal performance appraisal? Yes Don't know No 5. Does the performance appraisal system for civil servants include clear compliance-based criteria, i.e. criteria based on a civil servant s compliance with the rules; procedures and policies governing civil servants? Yes Don't know No 6. Does the performance appraisal system for civil servants include clear performance-based criteria, i.e. criteria based on a civil servant s contributions to his/her organizational unit s performance in meeting its policy and program objectives? Yes Don't know No Page 4

5 5. Design features - Performance appraisal (2) 7. Evidence on which of the following aspects the civil servant s contributions to organizational performance are captured in the annual performance appraisal process? Please select all that apply Activities undertaken Timeliness with which those activities were undertaken? Direct outputs (products or services) of those activities Timeliness with which those outputs were delivered? Cost-effectiveness with which those outputs were produced? Quality of those outputs? Other, please specify Page 5

6 6. Design features - Performance appraisal (3) 8. Which of the following sources of information are used as input to an annual performance appraisal? Please select all that apply Direct supervisors daily oversight of employee s work Employee s summary of his performance over the period in question Feedback from clients of the employee s work (e.g. project leaders, users of products, etc) Feedback from peers Feedback from subordinates Other,please specify 9. Are performance appraisals subjected to review by any of the following agents? Yes No Don't know Next higher level of management within that same organization HR unit within that same organization Central HR entity Other, please specify Page 6

7 7. Design features - Performance appraisal (4) 10. Is there a written record for each civil servant's performance appraisal? Yes Don't know No 11. Does a civil servant have an opportunity to review and comment on the written performance appraisal? Yes Don't know No 12. Are these comments included in the written appraisal record? Yes Don't know No 13. Does a civil servant have a right to view his performance appraisal records? Yes Don't know No Page 7

8 8. Design features - Promotions 14. Which of the following promotions procedures are allowed? Please select all that apply Screening of an individual candidate without competition from other candidates Internal competition (only internal candidates are eligible) External/open competition (both internal and external candidates are eligible) Other (specify constraints on eligibility of candidates to be considered for promotion) 15. In the most recent full calendar year, approximately what percentage of promotions were decided under each of these procedures? Screening of an individual candidate Internal competition External/open competition Other (same as in the previous question) Data are not collected (please enter "XXX" in the box) Page 8

9 9. Design features - Promotions criteria 16. How important is each of the following criteria in promotions decisions? most important very important moderately important minor importance not used don't know Number of years of seniority/experience Annual performance appraisals 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) Page 9

10 10. Design features - Checks on promotion decisions What checks exist to discipline promotions decisions; i.e., to ensure promotions are deserved. 17. Are numbers of promotions subject to any any of the following caps within a given year? Number of authorized positions at any given grade imposes a limit on the number of potential promotions to each grade Explicit limits are placed on the numbers of promotions, either in total or by grade to which promotion is made Yes No Don't know Other restrictions on the number of promotions exist (please specify) 18. How many promotions were granted within the civil service within the most recent full calendar year? Please enter at least either an approximate number or percentage of total civil servants. If neither information is collected, please enter "XXX" in the last box. Number Perncent of total civil servants Information is not collected (please enter "XXX" in the box) Page 10

11 11. Design features - checks on promotion decision (2) 19. Who can propose a promotion? Please check all that apply The candidate himself (by applying for a higher ranking position) Immediate superior of the candidate for promotion Head of the organization within which the candidate for promotion exists HRM unit of the organization within which the candidate for promotion exists A central HRM unit Other, please specify 20. In the most recent full calendar year, which of the following agents proposed the highest (1), second highest (2), etc. share of the overall number of promotions? 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) highest lowest share (1) share (6) NA The candidate himself (by applying for a higher ranking position) Immediate superior of the candidate for promotion Head of the organization within which the candidate for promotion exists HRM unit of the organization within which the candidate for promotion exists A central HRM unit Other (same as in the previous question) Page 11

12 12. Design features - checks on promotion decision (3) 21. Is there a threshold, identified by some grade, rank or level, at which promotions decisions require more extensive clearance procedures? Don't know No Yes, please identify the threshold (grade, rank or level) and total number of grades, ranks or levels that exist in the salary structure Page 12

13 13. Design features - checks on promotion decisions (4) 22. Whose clearance is required for promotions decisions falling on either side of the promotions' threshold identified in the answer to the previous question? Please select all that apply below threshold at or above threshold Immediate superior of the post-promotion position Head of the organization within which the post-promotion position exists HRM unit of the organization within which the postpromotion position exists 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 A central unit responsible for ensuring fiscal sustainability of the wage bill Other, please specify 23. Approximately, what percentage share of all promotions cleared in the most recent full calendar year was above threshold? Percentage share of promotions above the threshold in the total number of promotions Information is not collected (please enter "XXX" in the box) Page 13

14 14. Design features - checks on promotion decisions (5) 24. Whose clearance is required for promotions decisions? Please check all that apply Immediate superior of the post-promotion position Head of the organization within which the post-promotion position exists HRM unit of the organization within which the post-promotion position exists 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 A central unit responsible for ensuring fiscal sustainability of the wage bill Other, please specify Page 14

15 15. Design features - Performance-related pay (PRP) practices 25. Which, if any, of the following performance-related-pay (PRP) practices are employed to link pay increments (either one-off or permanent) to performance? Yes No Don't know One-off performance bonuses Performance-based permanent pay increments Promotions 26. Are PRP awards based on annual performance appraisal ratings? Yes Don't know No 27. What specific caps, if any, are being used within individual organizational units to limit the total number and/or cost of PRP awards? Caps on the percentage of staff in each organizational unit that can be assigned a PRP award in any given year Caps on the total expenditures on PRP awards within each organizational unit in any given year, as a percentage of the unit s wage bill No caps <5% 5% to under 10% to 25% to 50% or 10% under 25% under 50% more Don t know Page 15

16 16. Design features - Management of civil servants on the border with political... Stability of highest ranking civil servants 28. Can civil servants at the border with political appointees be removed without cause by their immediate supervisor? Yes Don't know No 29. If such a removal occurs what would happen to the following rights of such a civil servant on the border with political appointees? Post-removal status Post-removal status unchanged from that temporarily retained prior to removal Previous status lost Don t know Seniority/tenure Grade/rank and associated pay Pension 30. If such a removal occurs would a civil servant on the border with political appointees retain a right for another position within the civil service? Yes Don't know No Page 16

17 17. Design features - Working relationships with other cadres 31. Are there written rules defining differences in roles, responsibilities, authority and accountabilities between civil servants and each of the following cadres? Yes, clear rules Yes, ambiguous or unclear rules No written rules Don t know Political appointees Public service provision professionals Contract personnel 32. Is there a forum within which civil servants within the top two ranks of the civil service meet on a regular basis with political appointees to discuss work issues and how they can effectively work with each other? yes, monthly or more frequently no such forum exisits yes, quarterly don t know yes, but less than quarterly Page 17

18 18. Design features - Working relationships with other cadres (2) 33. Do political appointees provide input to the formal annual performance appraisals of civil servants with whom they work directly? Yes Don't know No 34. Do civil servants have a formal mechanism through which they can provide feedback on the performance of the political appointees with whom they work directly to the public officials to whom those political appointees directly report? Yes Don't know No Page 18

19 19. Design Features - Adequate Capacity Adequate capacities mean that agents assigned each of the four core HRM functions within civil service labor regime, i.e. policy setting agents, civil servant management agents, oversight agents, and redress agents have the capacity to effectively meet their mandates. In other words, they have a. Authority: officially recognized legal status and clearly defined roles and responsibilities; b. Resources required to inform policy deliberations: Financial Human Information. Page 19

20 20. Design features - Policy-setting agents' capacity Policy-setting agent is an agent with responsibility for designing civil service management policies; i.e., for (i) proposing such policies for Cabinet s approval when such is required, and (ii) for establishing such policies when Cabinet approval is not required (i.e., for specifying policy details within the framework established by the relevant legislation and Cabinet decisions). 35. Which of the following descriptions would best characterize the organizational status of the policy-setting agent(s)? A single, central agent has policy-setting authority Multiple agents have policy-setting authority Don't know 36. Which of the following descriptions would best characterize the organizational status of the policy-setting agent(s)? In case of multiple policy-setting agents, please check all that apply Agent is a Ministry (i.e., a member of Cabinet/Council of Ministers) Agent reports directly to Cabinet and/or the Head of Government (Prime Minister or equivalent, e.g., President) Agent reports to Parliament Agent reports to a Minister (e.g., Minister of Interior, Minister of Finance), as a reporting unit within that Ministry (e.g., a Department) Other, please specify Page 20

21 21. Design features - Policy-setting agents' capacity (2) 37. Does the policy-setting agent(s) have any of the following civil service responsibilities as well? Yes No Don't know Oversight Direct civil service management for staff other than its own immediate staff Redress Page 21

22 22. Design features - Policy-setting agents' capacity (3) 38. How many authorized positions does the policy-setting agent(s) have in the following staffing categories? Please enter the number of authorized posts; enter "0" if no posts are authorized in a particular staffing category, "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff 39. For each of the following groups of staff, what is the policy-setting agent(s) staffing complement (number of actual staff) in fulltime equivalents (FTE)? Please enter a number for each category below; enter "0" if there are staff in a particular staffing category, "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle level managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff Page 22

23 23. Design features - Policy-setting agents' capacity (4) 40. What percentage of each of the following sets of staff of the policy-setting agent(s) have five or more years of higher education (e.g., Masters Degree, Ph.D., five-year or longer university program)? Please enter percentage for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff 41. What percentage of each of the following sets of staff of the policy-setting agent(s) are 50 years of age or over? Please enter percentage for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff Page 23

24 24. Design features - Policy-setting agents' capacity (5) 42. Over the course of the most recent full fiscal year, how much money, expressed as a % of total remuneration expenditures within the policy-setting agent(s), was spent on staff training? 0% 5% or more more than 0%, but <1% Information is not collected 1% - <3% Don t know 3%-<5% 43. During the most recent full fiscal year, how significant was the portion of training provided to staff of the policy-setting agent(s) that focused on each of the following categories of skills and knowledge? Most Some Little None Don t know Professional knowledge and skills (e.g. economics, law, engineering, etc.) Operation of your public administration s HR systems Rules and procedures governing country s public administration General HRM knowledge and skills Analytical skills IT skills Communication skills Interpersonal skills Managerial skills and knowledge Page 24

25 25. Design features - Policy-setting agents' capacity (6) 44. Please provide estimates of financial resources that were budgeted for the policy-setting agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): Please enter the number; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Wages & salaries Non-wage recurrent costs Investment costs 45. Please provide estimates of financial resources that were actually expended by the policy-setting agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): Please enter the number; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Wages & salaries Non-wage recurrent costs Investment costs Page 25

26 26. Design features - Policy-setting agents' capacity (7) 46. How heavily does the policy-setting agent(s) rely on the following technologies in its daily operations and business processes? Primary Secondary technology technology Not employed Don t know Manual or paper-based records/processes IT-based records/processes Other, please specify 47. In order to fulfill its functions, a policy-setting agent(s) requires various types of information. An obligation to provide such information to the policy-setting agent(s) is mandated through which of the following legal instruments? Yes No Don't know Reporting obligation imposed in a law or the Constitution Reporting obligation imposed in subsidiary legislation issued by Cabinet/Council of Ministers Reporting obligation imposed through a legal instrument subsidiary to a Cabinet action Other source of authority, please specify Page 26

27 27. Design features - Policy-setting agents' capacity (8) 48. An obligation to provide to the policy-setting agent(s) information required for the work of that agent(s) is mandated through which of the following reporting requirements? Please select one statement that best describes the reporting requirements most commonly employed in your country. Mandatory reporting requirements imposed on organizational units managing civil servants and backed by sanctions imposed by the policysetting agent(s) Mandatory reporting requirements imposed on organizational units managing civil servants, but not backed by sanctions imposed by the policy-setting agent(s) Non-mandatory reporting procedures recommended to organizational units managing civil servants 49. How frequently are each of the following devices used to facilitate reporting by organizational units to the policy-setting agent(s)? Please identify the relative incidence of use of each device. Most frequently used device Used often Used sometimes Rarely used Never used Don't know Standardized electronic reporting forms/templates Standardized paper reporting forms/templates Reporting guidelines without standardized forms/templates Specific requests for particular information Other, please specify Page 27

28 28. Design features - Policy-setting agents' capacity (9) 50. How many agents have a responsibility for designing civil service management policies, i.e. how many policy-setting agents are in your country (If information is not being collected, please enter "XXX" in the box)? Please enter the number of policy-setting agents 51. In the space below, please provide names of organizations/ agents with a responsibility for setting civil service management policies, i.e. names of policy-setting agents in your country Page 28

29 29. Design features - Oversight agents' capacity An oversight agent has responsibility for overseeing implementation of civil service management policies; i.e., for (i) reviewing implementation of civil service management policies and (ii) ensuring they are consistent with both the letter and the spirit of the legal framework governing civil service management. 52. Which of the following descriptions would best characterize the organizational status of the oversight agent(s)? A single, central agent has oversight authority Multiple agents have oversight authority Don't know 53. Which of the following descriptions would best characterize the organizational status of the oversight agent(s)? In case of multiple oversight agents, please check all that apply Agent is a Ministry (i.e., a member of Cabinet/Council of Ministers) Agent reports directly to Cabinet and/or the Head of Government (Prime Minister or equivalent, e.g., President) Agent reports to Parliament Agent reports to a Minister (e.g., Minister of Interior, Minister of Finance), as a reporting unit within that Ministry (e.g.., a Department) Other, please specify Page 29

30 30. Design features - Oversight agents' capacity (2) 54. Does the oversight agent(s) have any of the following civil service responsibilities as well? Yes No Don't know Policy-setting Direct civil service management for staff other than its own immediate staff Redress Page 30

31 31. Design features - Oversight agents' capacity (3) 55. How many authorized positions does the oversight agent(s) have in the following staffing categories? Please enter the number of authorized posts; enter "0" if no posts are authorized in a particular staffing category, "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff 56. For each of the following groups of staff, what is the oversight agent(s) staffing complement (number of actual staff) in full-time equivalents (FTE)? Please enter a number for each category below; enter "0" if there are staff in a particular staffing category, "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle level managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff Page 31

32 32. Design features - Oversight agents' capacity (4) 57. What percentage of each of the following sets of staff of the oversight agent(s) have five or more years of higher education (e.g., Masters Degree, Ph.D., five-year or longer university program)? Please enter percentage for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff 58. What percentage of each of the following sets of staff of the oversight agent(s) are 50 years of age or over? Please enter percentage for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff Page 32

33 33. Design features - Oversight agents' capacity (5) 59. Over the course of the most recent full fiscal year, how much money, expressed as a % of total remuneration expenditures within the oversight agent(s), was spent on staff training? 0% 5% or more more than 0%, but <1% Information is not collected 1% - <3% Don t know 3%-<5% 60. During the most recent full fiscal year, how significant was the portion of training provided to staff of the oversight agent(s) that focused on each of the following categories of skills and knowledge? Most Some Little None Don t know Professional knowledge and skills (e.g. economics, law, engineering, etc.) Operation of your public administration s HR systems Rules and procedures governing country s public administration General HRM knowledge and skills Analytical skills IT skills Communication skills Interpersonal skills Managerial skills and knowledge Page 33

34 34. Design features - Oversight agents' capacity (6) 61. Please provide estimates of financial resources that were budgeted for the oversight agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): Please enter the number; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Wages & salaries Non-wage recurrent costs Investment costs 62. Please provide estimates of financial resources that were actually expended by the oversight agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): Please enter the number; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Wages & salaries Non-wage recurrent costs Investment costs Page 34

35 35. Design features - Oversight agents' capacity (7) 63. How heavily does the oversight agent(s) rely on the following technologies in its daily operations and business processes? Primary Secondary technology technology Not employed Don t know Manual or paper-based records/processes IT-based records/processes Other, please specify 64. In order to fulfill its functions, an oversight agent(s) requires various types of information. An obligation to provide such information to the oversight agent(s) is mandated through which of the following legal instruments? Yes No Don't know Reporting obligation imposed in a law or the Constitution Reporting obligation imposed in subsidiary legislation issued by Cabinet/Council of Ministers Reporting obligation imposed through a legal instrument subsidiary to a Cabinet action Other source of authority, please specify Page 35

36 36. Design features - Oversight agents' capacity (8) 65. An obligation to provide to the oversight agent(s) information required for the work of that agent(s) is mandated through which of the following reporting requirements? Please select one statement that best describes the reporting requirements most commonly employed in your country. Mandatory reporting requirements imposed on organizational units managing civil servants and backed by sanctions imposed by the oversight agent(s) Mandatory reporting requirements imposed on organizational units managing civil servants, but not backed by sanctions imposed by the oversight agent(s) Non-mandatory reporting procedures recommended to organizational units managing civil servants 66. How frequently are each of the following devices used to facilitate reporting by organizational units to the oversight agent(s)? Please identify the relative incidence of use of each device. Most frequently used device Used often Used sometimes Rarely used Never used Don't know Standardized electronic reporting forms/templates Standardized paper reporting forms/templates Reporting guidelines without standardized forms/templates Specific requests for particular information Other, please specify Page 36

37 37. Design features - Oversight agents' capacity (9) 67. How many agents have a responsibility for overseeing implementation of civil service management policies, i.e. how many oversight agents are in your country (If information is not being collected, please enter "XXX" in the box)? Please enter the number of oversight agents 68. In the space below, please provide names of organizations/ agents with a responsibility for overseeing implementation of civil service management policies, i.e. names of oversight agents in your country Page 37

38 38. Design features - Management agents' capacity Management agent/agents has/have a responsibility for directly managing civil servants. 69. Which of the following descriptions would best characterize the organizational status of agent(s)who manage(s) civil servants? A single, central agent has civil servant management authority Multiple agents have civil servant management authority Don't know 70. Which of the following descriptions would best characterize the organizational status of the management agent(s)? In case of multiple management agents, please check all that apply Agent is a Ministry (i.e., a member of Cabinet/Council of Ministers) Agent reports directly to Cabinet and/or the Head of Government (Prime Minister or equivalent, e.g., President) Agent reports to Parliament Agent reports to a Minister (e.g., Minister of Interior, Minister of Finance), as a reporting unit within that Ministry (e.g.., a Department) Other, please specify Page 38

39 39. Design features - Management agents' capacity (2) 71. Does the management agent(s) have any of the following civil service responsibilities as well? Yes No Don't know Policy-setting Oversight Redress Page 39

40 40. Design features - Management agents' capacity (3) 72. How many authorized positions does the management agent(s) have in the following staffing categories? Please enter the number of authorized posts; enter "0" if no posts are authorized in a particular staffing category, "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff 73. For each of the following groups of staff, what is the management agent(s) staffing complement (number of actual staff) in full-time equivalents (FTE)? Please enter a number for each category below; enter "0" if there are staff in a particular staffing category, "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle level managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff Page 40

41 41. Design features - Management agents' capacity (4) 74. What percentage of each of the following sets of staff of the management agent(s) have five or more years of higher education (e.g., Masters Degree, Ph.D., five-year or longer university program)? Please enter percentage for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff 75. What percentage of each of the following sets of staff of the management agent(s) are 50 years of age or over? Please enter percentage for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff Page 41

42 42. Design features - Management agents' capacity (5) 76. Over the course of the most recent full fiscal year, how much money, expressed as a % of total remuneration expenditures within the management agent(s), was spent on staff training? 0% 5% or more more than 0%, but <1% Information is not collected 1% - <3% Don t know 3%-<5% 77. During the most recent full fiscal year, how significant was the portion of training provided to staff of the management agent(s) that focused on each of the following categories of skills and knowledge? Most Some Little None Don t know Professional knowledge and skills (e.g. economics, law, engineering, etc.) Operation of your public administration s HR systems Rules and procedures governing country s public administration General HRM knowledge and skills Analytical skills IT skills Communication skills Interpersonal skills Managerial skills and knowledge Page 42

43 43. Design features - Management agents' capacity (6) 78. Please provide estimates of financial resources that were budgeted for the management agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): Please enter the number; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Wages & salaries Non-wage recurrent costs Investment costs 79. Please provide estimates of financial resources that were actually expended by the management agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): Please enter the number; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Wages & salaries Non-wage recurrent costs Investment costs Page 43

44 44. Design features - Management agents' capacity (7) 80. How heavily does the management agent(s) rely on the following technologies in its daily operations and business processes? Primary Secondary technology technology Not employed Don t know Manual or paper-based records/processes IT-based records/processes Other, please specify 81. In order to fulfill its functions, a management agent(s) requires various types of information. An obligation to provide such information to the management agent(s) is mandated through which of the following legal instruments? Yes No Don't know Reporting obligation imposed in a law or the Constitution Reporting obligation imposed in subsidiary legislation issued by Cabinet/Council of Ministers Reporting obligation imposed through a legal instrument subsidiary to a Cabinet action Other source of authority, please specify Page 44

45 45. Design features - Management agents' capacity (8) 82. How many organizations in which civil servants are posted or employed have dedicated Human Resource Management units (If information is not being collected, please enter "XXX" in the box(es))? number of organizations with dedicated HRM units % of organizations with dedicated HRM units 83. In the space below, please provide names of organizations in which civil servants are posted or employed that have dedicated Human Resource Management units Page 45

46 46. Design features - Redress agents' capacity Redress agent/agents has/have a responsibility for adjudicating complaints or challenges to civil service management actions; i.e., for settling first instance challenges to the legality of civil service management actions. 84. Which of the following descriptions would best characterize the organizational status of the redress agent(s)? A single, central agent has redress authority A hierarchy of agents have redress authority Multiple agents have undifferentiated(overlapping) redress authority Don't know 85. Which of the following descriptions would best characterize the organizational status of the redress agent(s)? In case of multiple redress agents, please check all that apply Agent is a Ministry (i.e., a member of Cabinet/Council of Ministers) Agent reports directly to Cabinet and/or the Head of Government (Prime Minister or equivalent, e.g., President) Agent reports to Parliament Agent reports to a Minister (e.g., Minister of Interior, Minister of Finance), as a reporting unit within that Ministry (e.g.., a Department) Other, please specify Page 46

47 47. Design features - Redress agents' capacity (2) 86. Does the redress agent(s) have any of the following civil service responsibilities as well? Yes No Don't know Policy-setting Oversight Direct management of civil servants Page 47

48 48. Design features - Redress agents' capacity (3) 87. How many authorized positions does the redress agent(s) have in the following staffing categories? Please enter the number of authorized posts; enter "0" if no posts are authorized in a particular staffing category, "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff 88. For each of the following groups of staff, what is the redress agent(s) staffing complement (number of actual staff) in full-time equivalents (FTE)? Please enter a number for each category below; enter "0" if there are staff in a particular staffing category, "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle level managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff Page 48

49 49. Design features - Redress agents' capacity (4) 89. What percentage of each of the following sets of staff of the redress agent(s) have five or more years of higher education (e.g., Masters Degree, Ph.D., five-year or longer university program)? Please enter percentage for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff 90. What percentage of each of the following sets of staff of the redress agent(s) are 50 years of age or over? Please enter percentage for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer High level managers Middle managers Professional staff Technical staff Administrative and clerical staff Skilled & semi-skilled manual laborers Unskilled workers Other staff Page 49

50 50. Design features - Redress agents' capacity (5) 91. Over the course of the most recent full fiscal year, how much money, expressed as a % of total remuneration expenditures within the redress agent(s), was spent on staff training? 0% 5% or more more than 0%, but <1% Information is not collected 1% - <3% Don t know 3%-<5% 92. During the most recent full fiscal year, how significant was the portion of training provided to staff of the redress agent(s) that focused on each of the following categories of skills and knowledge? Most Some Little None Don t know Professional knowledge and skills (e.g. economics, law, engineering, etc.) Operation of your public administration s HR systems Rules and procedures governing country s public administration General HRM knowledge and skills Analytical skills IT skills Communication skills Interpersonal skills Managerial skills and knowledge Page 50

51 51. Design features - Redress agents' capacity (6) 93. Please provide estimates of financial resources that were budgeted for the redress agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): Please enter the number; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Wages & salaries Non-wage recurrent costs Investment costs 94. Please provide estimates of financial resources that were actually expended by the redress agent(s) over the most recent full fiscal year on the following categories of expenditure (in thousands of domestic currency units): Please enter the number; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Wages & salaries Non-wage recurrent costs Investment costs Page 51

52 52. Design features - Redress agents' capacity (7) 95. Case Load: Please provide estimates of the following indicators of the case load handled by the first instance redress agents within the most recent full calendar year: Please enter the number for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Number of cases initiated within the most recent full calendar year Number of cases decided within the most recent full calendar year 96. Case Dispositions: Please provide estimates of the following indicators of the nature of the decisions redressed by the first instance redress agents within the most recent full calendar year: Please enter the number for each category below; enter "999" if information is not being collected or insufficient to answer this question, and "Don't know" if you do not know the answer Number of decisions that ruled in favor of the civil servant or applicant for a civil service position within the most recent full calendar year Percent of decisions that ruled in favor of the civil servant or applicant for a civil service position within the most recent full calendar year Page 52

53 53. Design features - Redress agents' capacity (8) 97. How heavily does the redress agent(s) rely on the following technologies in its daily operations and business processes? Primary Secondary technology technology Not employed Don t know Manual or paper-based records/processes IT-based records/processes Other, please specify 98. In order to fulfill its functions, a redress agent(s) requires various types of information. An obligation to provide such information to the redress agent(s) is mandated through which of the following legal instruments? Yes No Don't know Reporting obligation imposed in a law or the Constitution Reporting obligation imposed in subsidiary legislation issued by Cabinet/Council of Ministers Reporting obligation imposed through a legal instrument subsidiary to a Cabinet action Other source of authority, please specify Page 53

54 54. Design features - Redress agents' capacity (9) 99. An obligation to provide to the redress agent(s) information required for the work of that agent(s) is mandated through which of the following reporting requirements? Please select one statement that best describes the reporting requirements most commonly employed in your country. Mandatory reporting requirements imposed on organizational units managing civil servants and backed by sanctions imposed by the redress agent(s) Mandatory reporting requirements imposed on organizational units managing civil servants, but not backed by sanctions imposed by the redress agent(s) Non-mandatory reporting procedures recommended to organizational units managing civil servants 100. How frequently are each of the following devices used to facilitate reporting by organizational units to the redress agent(s)? Please identify the relative incidence of use of each device. Most frequently used device Used often Used sometimes Rarely used Never used Don't know Standardized electronic reporting forms/templates Standardized paper reporting forms/templates Reporting guidelines without standardized forms/templates Specific requests for particular information Other, please specify Page 54

55 55. Design features - Redress agents' capacity (10) 101. How many organizations/agents with responsibility for providing redress with respect to civil service management practices (If information is not being collected, please enter "XXX" in the box(es))? number of redress agents 102. In the space below, please provide names of organizations/agents with responsibility for providing redress with respect to civil service management practices Page 55

56 56. Performance - Attracting staff with needed skills 103. What was, approximately, the average number of qualified (long-listed) applicants per advertised civil service position during the most recent full calendar year? < < < or more <6.0 Information is not collected <10.0 Don't know 104. How was the average number of qualified (long-listed) applicants per advertised civil service position during the most recent full calendar year compared to the previous full calendar year (i.e compared to 2006)? Higher than previous year Same as previous year Lower than previous year Don't know 105. How did the average number of qualified (long-listed) applicants per advertised entry-level civil service position during the most recent full calendar year compare to the average number of qualified (long-listed) applicants per advertised positions for civil service overall? Higher for entry level positions than for civil service overall Approximately the same for entry level positions and the civil service overall Lower for entry level positions than for civil service overall Don t know Page 56

57 57. Performance - Attracting staff with needed skills (2) 106. How did the average number of qualified (long-listed) applicants per advertised rural-based civil service position during the most recent full calendar year compare to the average number of qualified (long-listed) applicants per advertised urban-based civil service position? Higher for positions in rural locations than in urban locations Approximately constant across geographic locations of positions Lower for positions in rural locations than in urban locations Don t know 107. How did the average number of qualified (long-listed) applicants per advertised central administration civil service position during the most recent full calendar year compare to the average number of qualified (long-listed) applicants per advertised decentralized administration civil service position? Higher for central administration positions than for decentralized administration positions Approximately constant across central/decentralized administration positions Lower for central administration positions than for decentralized administration positions Don t know 108. On average, what percentage of each of the following sets of civil servants have five or more years of higher education (e.g., Masters Degree, Ph.D., five-year or longer university program)? Please enter percentage for each category below. Please enter "999" if available information is insufficient to answer this question and "Don't know" if you can not answer this question. High level managers Middle managers Professional Technical staff Page 57

58 58. Performance - Retaining staff with needed skills Average 3-year retention rate is a ratio, expressed in percentage points, of staff recruited within the last three calendar years that were still employed within the civil service at the end of that three-year period 109. What was, approximately, the average 3-year retention rate (in percent) among recently recruited civil servants during the most recent three-year period? < < <40 90 or more 40 - <60 Information is not collected 60 - <80 Don't know 110. How did the the average 3-year retention rate (in percent) among recently recruited civil servants during the most recent threeyear period compare to the previous three-year retention rate (i.e rate compared to rate)? Higher than earlier 3-year retention rate Same as earlier 3-year retention rate Lower than earlier 3-year retention rate Don't know Page 58

59 59. Performance - Retaining staff with needed skills (2) 111. How did the most recent average 3-year retention rate (in percent) for entry-level recruits compare to the most recent average 3- year retention rate (in percent) for mid-career recruits? Higher for entry-level recruits than for mid-career recruits Approximately constant across entry-level recruits vs. mid-career recruits Lower for for entry-level recruits than for mid-career recruits Don t know 112. How did the most recent average 3-year retention rate differ between rural-based civil servants and urban-based civil servants? Higher for positions in rural locations than in urban locations Approximately constant across geographic locations of positions Lower for positions in rural locations than in urban locations Don t know 113. How did the most recent average 3-year retention rate for central administration civil servants compare to the most recent average 3-year retention rate for decentralized administration civil servants? Higher for central administration positions than for decentralized administration positions Approximately constant across central/decentralized administration positions Lower for central administration positions than for decentralized administration positions Don t know Page 59

60 60. Performance - Depoliticized, meritocratic civil service management 114. For the most recent three calendar years, please provide the following data on quarterly turnover rates (i.e., the % of civil servants who left the civil service each quarter, averaged across the relevant sets of quarters within that three-year interval) for the following: If certain types of turnover rate information is not being collected, please write "NC" (Not collected), if you do not have sufficient information, please write "DK" (Don't know), if an event such as change of government, etc. did not take place in the last three years, please write "NA" (for not applicable). Average quarterly turnover rate for civil servants over the full three-year period: Average quarterly turnover rate for political appointees over the same full three-year period: Average quarterly turnover rate for civil servants only for quarters in which or immediately after which the ruling party or coalition changed within that same three-year period: Average quarterly turnover rate for political appointees only for quarters in which or immediately after which the ruling party or coalition changed within that same three-year period: Average quarterly turnover rate for civil servants only for quarters in which or immediately after which the head of Government changed without a change in the ruling party or coalition within that same three-year period: Average quarterly turnover rate for political appointees only for quarters in which or immediately after which the head of Government changed without a change in the ruling party or coalition within that same three-year period: Page 60