HRM : Basic Notions (7 brief steps) Three Parts in this Presentation

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1 Some M Tools in the Public Service Development, Motivation and Performance Appraisal OECD and EU Countries Introduction M : Basic Notions (7 brief steps) Three Parts in this Presentation Adérito Alain Sanches OECD / SIGMA Consultant Seminar: Reforming Civil Service in Georgia Tbilisi, November 10-11, 2009 M : BASIC NOTIONS - I M : BASIC NOTIONS - II 1. : a key role in all organizations : 2. Two complementary concerns: D ORGANIZATION Inputs HUMAN WORK Outputs & Effects M / D M H R Workforces may be small or large. In the Public Sector, they are often very large. As other resources, have to be intelligently managed. Well-managed workforces are adapted to their tasks in size and quality, highly motivated, competent and reliable. In both cases: A. (A System of) Rules B. Managerial Practices (with relevant Tools) M/D POLICIES M : HUMAN RESOURCE MANAGEMENT D : HUMAN RESOURCE DEVELOPMENT M : BASIC NOTIONS - III M : BASIC NOTIONS IV (a) 4-a. The chain of Administrative M/D Departments/Units 3. In practice, are usually managed at 2 distinct levels: - by the Administrative M/D Departments/Units - by the Managers of the relevant Operations Departments (Both levels operate on different scales, from central to proximity) C. Defense, Order, Cooperation F. Links with the other state powers/bodies: Parliament, Presidency, (& with the Media) A. Social Area:, Health, Current administrative management is mainly concerned with administrative rules to be abode by. RA CA GOV PM Team management at the Operations Departments level is mainly concerned with the managerial objectives to be achieved. The degrees of freedom left between the M units operating on two successive scales measure the level of decentralization of the M System. PM: PRIME MINISTER GOV: GOVERNMENT D. Infrastructures & Environment CA: CENTRAL ADMINISTRATION RA: REGIONAL ADMINISTRATION E. Resources : Material, Financial Human, Information PM B. Economic Area: Agriculture, SME, 1

2 M : BASIC NOTIONS - IV (b) 4-b. The chain of Administrative M/D Departments/Units M : BASIC NOTIONS - V 5. The chain of Managerial M/D Departments/Units Secondary Secondary Primary Primary GOV Ministry of Autonomous Institute GOV Ministry of Autonomous Institute Tertiary Adult Alphabetization Tertiary Adult Alphabetization Usually : Ministries * * * CLOSEST M UNIT INTERMEDIATE M UNIT CENTRAL GOVERNMENT M UNIT M : OPERATIONS M UNIT THE WHOLE PICTURE (Across the whole set of Governmental Departments) M : BASIC NOTIONS - VI 6. Why good M/D policies (and adequate tools) are critical M : BASIC NOTIONS VII (A) 7-a. M Tools dealt with in this presentation The magic 3-circle diagram 1. We want to do it 2. We know how to do it 3. We may and can do it the right way HIGH PERFORMANCE 4. We know well what is to be done and are well managed. 5. There are enough of us to do it. Examples taken from OECD / EU Countries M : BASIC NOTIONS VII (B) 7-b. M Tools dealt with in this presentation Introduction THE CHOICE OF M ALSO DEPENDS ON OTHER FACTORS. NAMELY : SENIOR CIVIL SERVANTS / OTHER CIVIL SERVANTS CULTURAL BACKGROUNDS (6 MAIN TYPES IN THE EU*) M : Basic Notions Parts of this Presentation PUBLIC ADMINISTRATION SYSTEMS (QUITE DIVERSE) LEVELS OF DECENTRALIZATION SECTOR SPECIFICITIES Abbreviations : CS : Civil Service * Anglo-Saxon / Continental European / Scandinavian / Mediterranean South European / South-Eastern European / Eastern European. CSs : Civil Servants PA : Public Administration 2

3 PARTS OF THIS PRESENTATION 3 PARTS IN THIS PRESENTATION: SELECTED M I. CSs Development (Training) II. Managing the Motivation Level Part one CSs Development The Importance of Learning and Professional Development (Training and Development Tools) III. Performance Appraisal I II III DEVELOPMENT (TRAINING) MOTIVATION PERFORMANCE APPRAISAL CSs Development : Training The Challenges : the final goal The main goal is to keep across the CS a competent workforce, sharing the PA values and standards, and abiding by these values and standards. CSs Development : Training CSs Development : Training The Challenges : how to The Challenges : key issues To achieve this goal, competence needs have to be identified, and training has to be offered accordingly, annually, to a significant part of the PA workforce. Training has to be made available to managers and to ordinary CSs working in the technical and administrative areas (i.e. to the whole workforce). Moreover, the quality and results (benefits) of training have to be monitored. Three main issues have to be kept in mind : - the relevance, opportunity and equity of the training policies and decisions taken - the quality of training - the costs of training and the time invested National CS Training Systems have to find intelligent answers to these issues. 3

4 I DEVELOPMENT (TRAINING) CSs Development : Training Basic Tools 1. An Adequate Institutional System 2. Professional Development Plans (PDPs) 3. Good Management Practices (& Suitable Operational Instruments) Adequate Institutional System Professional Development Plans 1. Rights and Obligations of Civil Servants 1. Integrated and Flexible, Adjustable PDPs 2. Funding of Training 2. Relevance & Coordination 3. The Supply of Quality Training 3. Realism and Efficiency 4. PDPs are also Tools for Improving Social Dialogue 5. Common Options and Trends 4. Effectiveness and Quality 5. The Importance of PDPs Regular Evaluation Good Management Practices CSs Development : Training 1. Integrated and Clearly Differentiated Management Responsibilities 2. A Sound Information Management System 3. A Pragmatic Set of Quality Standards 4. Special Attention Paid to Needs Assessments 5. Good Coordination with All Training Providers and Funders Zoom on Selected Tools 1. Competency Frameworks: Useful Tools for Training Needs Assessments and the Definition of the Training Contents 2. How to Assess the Impact of Training (within the Context of Results-Based Management) 4

5 Competency Frameworks How to Assess the Training Impact A Key Tool Used in Training and Development Tools to Assess the Impact of Training 1. Types of Competency Frameworks (CF) 1. A Confusion that Needs to be Cleared Up 2. The Use of CF in the EU Countries Public Administration 3. CF Advantages for Managers 4. CF Requirements and Limitations 2. Training Impact is Related to Competence Improvement and to (Personal and Team) Professional Development 3. The Use of Specific Impact Indicators, Focusing on Competence (and Professional Conduct) Improvement Part two I II III Motivation The Importance of Listening and Working Together DEVELOPMENT (TRAINING) MOTIVATION PERFORMANCE APPRAISAL (Motivation Tools) A. Maslow CSs Motivation CSs Motivation The Challenges : the final goal The Challenges : how to The main goal is to keep across the CS a motivated workforce, wanting to achieve the (individual, team and institutional) targets set up. To achieve this goal, CSs main expectations should be identified. Motivation levels may be improved mainly through 4 types of measures, aiming at increasing the CSs satisfaction. These measures are related to : - the working conditions and working environment - the levels and fairness of remunerations - the management styles - job and personal security and long term benefits. 5

6 II CSs Motivation The Challenges : key issues MOTIVATION Special attention should be paid to the set of constraints which hamper or limit the scope of measures aiming at improving : - the working environment /conditions - the compensation system - the styles of management - job security and the management of the CSs professional development and progress. Adequate Institutional System CSs Motivation Basic Tools 1. Effective Social Dialogue 1. An Adequate Institutional System 2. Annual Motivation Plans (AMPs) 3. Good Management Practices (& Suitable Operational Instruments) 2. Effective, Participatory and Fair Management Styles 3. High Quality Ethical Standards in the Management s Conduct 4. Fair Compensation Systems 5. Fair Job Security and Career Progress Opportunities Annual Motivational Plans Good Management Practices 1. Integrated and Flexible, Adjustable AMPs 1. Team Building 2. Relevance & Coordination 2. Institutionalizing Consultation Practices 3. Realism and Efficiency 4. Effectiveness and Quality 5. The Importance of AMPs Regular Evaluation 3. Transparency: Encouraging Trust and Confidence (Institutional Culture) 4. Rewarding Merit and Personal Efforts, and Discouraging Negligence and Irresponsibility 6

7 Combining Career and Position CSs Motivation A Clever Tool to Improve Motivation Zoom on Selected Tools 1. Combining the Advantages of Career- and Position-Based Systems 2. Improving Working Time Flexibility 3. Offering Attractive Parental Leave Conditions 1. Advantages and Shortcomings of the Career-Based System 2. Advantages and Shortcomings of the Position-Based System 3. Combining the Specific Advantages of Each System Working Time Flexibility Parental Leave A Widely-Used Tool to Improve Motivation Another Common Tool to Improve Motivation 1. Motivational Impact of Flextime 1. Diversity of Parental Leave Conditions 2. Flextime and Women Civil Servants 2. Maternity Leave and Women CSs 3. Flextime and Senior Civil Servants 3. Parental Leave and Young Civil Servants 4. Examples 4. Examples Part three I II III Performance Appraisal The Importance of Managerial Guidance and Feedback DEVELOPMENT (TRAINING) MOTIVATION PERFORMANCE APPRAISAL (Performance Appraisal Tools) 7

8 CSs Performance Appraisal CSs Performance Appraisal The Challenges : the final goal The Challenges : how to The main goal is to get a periodic and reliable assessment of : - the quality of the professional performance and results of the individual CSs, of the teams working in the different units and, finally, of the institutional workforce as a whole - the quality of their behavior and of their competence profiles. To achieve this goal, an adequate monitoring and evaluation system has to be set up, and suitable assessment practices, methods and tools have to be carefully introduced. Effective and fair, transparent, well-accepted performance appraisal systems are not easy to design and/or implement. In practice, many difficulties have to be overcome. III CSs Performance Appraisal The Challenges : key issues PERFORMANCE APPRAISAL Key issues to be kept in mind are those related to the 4 following main needs : -to reduce subjectivity and arbitrary and secure the possibility of contesting unfair assessments -to ensure the technical and methodological quality of the assessment system and practices, their overall robustness and coherence, and their wide acceptation -to currently integrate the results of professional assessments into managerial decisions -to effectively cope with the additional costs, workload and time required. Adequate Institutional System CSs Performance Appraisal Basic Tools 1. Adequate Methodology is Needed 1. An Adequate Institutional System 2. Professional Assessment Plans (PAPs) 3. Good Management Practices (& Suitable Operational Instruments) 2. Wide Acceptation is Required 3. Evaluators Have to be Trained 4. Appraisals should be integrated into M 5. Pilot Experiences and Regular Assessments of the System are Highly Recommended 6. Political Will is Determinant 8

9 Professional Assessment Plans Good Management Practices 1. Integrated and Flexible, Adjustable PAPs 2. Relevance & Coordination 3. Realism and Efficiency 4. Effectiveness and Quality 5. Target Agreements, Job Descriptions, Competency Frameworks and Codes of Conduct (built up with Clear Standards) are the Main Basic Tools 6. The Importance of PAPs Regular Evaluation 1. Target Agreements: Going Top-Down 2. Reducing Subjectivity 3. Integrating Assessment Results into Current Management Decisions 4. Working in Dialogue with the Unions 5. Training the Evaluators 6. Keeping the System Easily Manageable and Affordable Performance Ranking CSs Performance Appraisal Tools to Reduce Subjectivity Zoom on Selected Tools 1. Adopting Well-Defined Job Descriptions, Target Agreements and Conduct Codes 1. Performance Ranking: Reducing Subjectivity 2. Keeping the System Simple and Affordable : Examples of Good Practices 3. Integrating Job Descriptions and Target Agreements: the Top-Down Approach 2. Using Simple, Unbiased (Likert-Type) Scales to Assess Performance 3. Converting into a 0-10 Scale 4. Training the Evaluators and Harmonizing the Assessment Criteria 5. Securing a Real Possibility to Contest Unfair Appraisals 6. Focusing on High and Low Performance Keeping the System Simple The Top-Down Approach Tools to Reduce Costs and Bureaucracy Tools to Secure Coherence and Effectiveness 1. The Hungarian Experience 1. The British System 2. The Irish Experience 2. The French System 3. Difficulties and Failure linked to the Complexity of the Appraisal Systems 9

10 Selected References : FINAL COMMENTS Further relevant information may be found in individual country reports and international comparative analyses. Among these, the following deserve special mention: The Need for an Integrated Approach Tools used in Development, Motivation and Performance Evaluation, as well as the policies behind these tools, lose much of their sense and of their effectiveness if they are not closely integrated among them, and also to the other components of the M/D General Policy (dealing with issues such as Recruitment, Salary Compensation, Career Management, Professional Deontology, Institutional Communication, Social Dialogue). What are Public Services Good at? Success of Public Services in the Field of Human Resource Management, European Institute of Public Administration (EIPA), Maastricht, May Top Public Managers in Europe, Management and Working Conditions of the Senior Civil Servants in EU Member States, EIPA, December Performance Assessment in the Public Services of the EU Member States: Procedure for Performance Appraisal, for Employee Interviews and Target Agreements, EIPA, Measuring Individual and Organisational Performance in the Public Services of EU Member States, EIPA, Selected References : Civil Service Performance Appraisal in Six EU Countries: a Comparative Approach, OECD/Sigma, Paris, Performance-Based Arrangements for Senior Civil Servants: OECD and Other Country Experiences, OECD, Paris, Performance Related Pay Policies for Government Employees, OECD, Paris, Competency Management in EU Public Administrations, EUPAN, December The Flexibilisation of the Employment Status of Civil Servants: From Life Tenure to More Flexible Employment Relations?, EIPA, June Comparative Analysis of the Social Dialogue in Central Public Administrations of the EU Member States, EIPA/DGAFP (Paris), December M Performance Assessment: Analysis and Operational Dimension, Survey on Public Administrations of EU Member States, EUPAN/DGAFP (Paris), November THANK YOU FOR YOUR PATIENCE! TO COMPLEMENT THIS PRESENTATION, WE MAY DISCUSS ANY RELATED TOPIC YOU ARE INTERESTED IN! 10