Assessment Tool for Human Resources Management ... - World Bank

Assessment Tool for Human Resources Management Records and Information Systems

Jurisdiction Assessed

Purpose of Assessment

Date Assessed

Name and Office of Assessor

1 Version 14 February 2003

Assessment Tool for Human Resource Management Records and Information Systems Contents Introduction Organization of the Assessment Tool How to Use this Assessment Tool Assessment Tool Section 1:

Public Service Overview [this section may be removed] 1 Scope of the Public Service 2 Public Service Employment Legislation 3 Public Service Employment Numbers and Wage Bill 4 Public Service Management Structure 5 Public Service Reform Priorities

Section 2:

Management Environment 6 Legal and Institutional Framework for Managing Records and Information 7 Responsibilities for Records and Information Management 8 Records and Information Management Policies and Standards, Procedures, and Facilities and Maintenance 9 Training and Competencies 10 Information Technology (IT) Systems

Section 3:

Functions and Processes 11 Controlling and Tracking Posts and Numbers of Employees 12 Recruitment, Promotion, and Transfer 13 Career Paths and Training 14 Payroll Administration 15 Individual Performance Management 16 Service Standards and Measurement 17 Enforcement and Disciplinary Issues 2

Version 14 February 2003

18 19

Downsizing Pension Arrangements

Glossary of Records and Information Management Terms


Introduction Accurate records are vital to support the rule of law, strengthen democracy, and promote economic and social development. Within human resource management systems, records underpin accountability and transparency, and they provide the essential information that enables the public service to operate effectively and public sector employees to be managed fairly and effectively. Human resource records are essential for the proper management of resources and the promotion of anticorruption strategies, and to demonstrate good governance in the use of human resources. A range of legal, political, economic, and cultural factors shape the administrative arrangements for payroll and personnel management in World Bank client countries. The companion case studies prepared as part of the Evidence-Based Governance in the Electronic Age project provide examples of the different systems that can be found. What is considered ‘best practice’ in one country may not be a ‘good fit’ in another. There can be no single or ‘right’ way of performing human resource management functions, although there may be agreement on the broad objectives including, for example, correcting fiscal imbalances, improving pay and career structures, and improving governance and service delivery. Similarly, there are many different ways of creating, gathering, organizing, storing and retrieving the information and records needed to support human resource management functions. This assessment tool does not prescribe a single approach to managing personnel and payroll-related information and records. Rather it draws upon the broad principles that need to be followed to support effective and efficient administration of the human resource management function. Where relevant, references are made in the tool to the appropriate principle or standard as defined in International Standard ISO 15489-1: Information and documentation – Records management (2001). This approach to assessing the human resource management function leaves room for many different ways of managing personnel and payroll records and information, while at the same time providing a methodology for determining whether systems in particular countries are consistent with general principles and serve the needs of good human resource management. The results of this assessment can then feed into wider institutional analyses that provide the basis of dialogues between client country governments, donors, and civil society. To support wider institutional analysis, this assessment tool has been designed to work with the Administrative and Civil Service Assessment Tool and Preparing for Civil Service Pay and Employment Reform: A Primer [full bibliographic reference].

Organization of the Assessment Tool The assessment tool is divided into three sections. The first section, ‘Public Service Overview’, focuses on the scale, scope, and structure of the public service in question, in order to guide the assessor in gathering the contextual information needed to 4 Version 14 February 2003

evaluate records and information systems properly and design effective improvements. The second section, ‘Management Environment’, deals with the overall framework of laws and regulations, policies, and systems that determine how records and information should be managed, and the resources and capacity needed to manage them. The third section, ‘Functions and Processes’, focuses on the actual human resource management functions that are supported by records and information systems. Within these three sections, the tool is subdivided as follows: Section 1: Public Service Overview [this section may be removed] 1

scope of the public service

2

public service employment legislation

3

public service employment numbers and wage bill

4

public service management structure

5

public service reform priorities

Section 2: Management Environment 6

legal and institutional framework for managing records and information

7

responsibilities for records and information management

8

records and information management policies and standards, procedures, and facilities and maintenance

9

training and competencies

10

information technology (IT) systems


Section 3: Functions and Processes 11

controlling and tracking posts and numbers of employees

12

recruitment, promotion, and transfer

13

career paths and training

14

payroll administration

15

individual performance management

16

service standards and measurement

17

enforcement and disciplinary issues

18

downsizing

19

pension arrangements.

How to Use this Assessment Tool This assessment tool is designed to be flexible. For example, it does not have to be completed in full at one time. Instead, it can be used in a number of different ways by World Bank or client country officials engaged in public sector reform initiatives, or by records professionals who conduct evaluations of records and information systems. As well as assessing the strengths and weaknesses of records and information systems, the tool can also be used to inform project planning and design, and to improve the quality of project appraisal and evaluation. The tool may be used at different levels of the project cycle. It can be used, for example, to: •

support country assessments 6


•

diagnose the strengths and weaknesses of organizational units and systems

•

guide consultants, vendors, and project managers in project design and implementation

•

enable agencies to monitor and evaluate the records and information aspects of projects.

The tool may also be used at different levels of government. It can be used, for example, by: •

a national government

•

a government department

•

a state government

•

a local government.

The questions that make up the tool can be used selectively, depending on the purpose of the assessment. For example: •

a selection of questions can be answered to provide a quick assessment of the capacity of a client country’s information and records systems to sustain planned public service reform initiatives

•

questions concerning a specific human resource management function, such as individual performance management, can be completed to provide an assessment of the capacity of a client country’s information and records systems with respect to a specific issue or area of reform

•

the assessment tool can be used to assess information and records systems supporting the management of a particular category of public sector employee, such as those working in a single ministry/department, those from a specific subgroup of the civil service (eg, teachers or accountants), or those at a specific level within the civil service (eg, managers or lower grades)

•

The section on IT systems can be used to assess the capability of computerized systems to meet requirements for managing electronic records over time. 7


The ‘Sources of Information’ column includes suggestions for the staff or office to whom questions should be directed. The wider the range of persons questioned (senior administrators, human resource managers, IT staff, records managers, and so on) the more comprehensive the assessment. It is recognized, however, that the assessor’s time may be limited. Therefore the form shows in bold the principal office or person to whom the question should be directed. The tool is intended to be applicable to paper-based, electronic, and hybrid paper/electronic systems. The ‘Reply to Questions’ column allows in certain cases for separate replies to be made depending on whether the particular function is electronic, manual or hybrid. Unless otherwise stated, however, the questions in the tool may be applied to manual, computerized, or hybrid systems.


ASSESSMENT TOOL FOR HUMAN RESOURCES MANAGEMENT RECORDS AND INFORMATION SYSTEMS Section 1: Public Service Overview Questions (Primary questions in bold)

Rationale for Questions

Sources of Information

Reply to Questions

(Principal source in bold)

1

Scope of the Public Service [this section may be removed]

1.1

Definition of the Public Service

1.1.1 Which of the following categories of worker are defined legally as being public servants: (a) core public service administrators (b) teachers (c) health workers (d) police (e) armed forces (f) local government workers (g) employees of public enterprises (h) employees of budget-dependent agencies

Different countries define the public service differently. For example, in some countries, contract workers are considered to be public servants, while in other countries they may work for government departments but do not form part of the public service. The status of each type of worker should be determined as part of the assessment exercise.

Senior Administrator [head of public service]


Questions (Primary questions in bold)

(i)

(j) (k)


Reply to Questions


daily paid or work-charged workers contract workers other

1.1.2 Which of the above categories of workers will be included in this assessment

1.2


It is not necessary to evaluate the records and information systems supporting human resource management for all categories of public sector workers as part of this assessment exercise.

At the discretion of the Assessor

Source of Funding

1.2.1 Which category of workers are paid indirectly through a budget subvention to a government department (ie, a department with responsibility for human and financial management in a ‘running cost’ model), another level of government or a publicly funded agency, as opposed to directly:

It is important to identify those categories of workers who are paid indirectly, as their salaries and benefits will impact upon the public sector wage bill. Often, however, the controls that would help to contain the wage bill are weakest where pay and benefits are received indirectly.




(a)

(b) (c) (d) (e) (f)

(g)

(h)

(i)

(j) (k)



Reply to Questions


core public service administrators teachers health workers police armed forces local government workers employees of public enterprises employees of budgetdependent agencies daily paid or work-charged workers contract workers other




Sources of Information (Principal source in bold)

2

Public Service Employment Legislation

2.1

Public Service Laws

2.1.1 Is there at least one employment law in place that sets out the rights and responsibilities (distinct from those of the standard labor code) of all public servants?

Reply to Questions

The purpose of this question is to gain an understanding of the legal framework of the public service. In some countries, the legal framework is set out in a single act or code, while in other countries, the legal framework is highly fragmented with each category of worker operating under a different piece of legislation.






Reply to Questions


2.1.2 Are there different sets of laws applicable only to specific categories of public servants (eg, teachers, health workers)? Please specify

The purpose of this question is to gain an understanding of the legal framework of the public service. In some countries, the legal framework is set out in a single act or code. In other countries, each category of worker operates under a different piece of legislation.


2.1.3 What percentage of public service employment laws have been introduced or substantively amended in the past five years?

In many countries, the legislative framework governing the public service has become outdated and requires revision. This question will provide some indication of whether this is the case in the jurisdiction being assessed.




2.1.4 Are copies of public service employment laws easily accessible to all staff?



Reply to Questions

(Principal source in bold) In some countries, particularly where the legislative framework of the public service is highly fragmented, it can be difficult to easily obtain current copies of relevant laws and regulations governing public service employment. This question will provide some indication of whether this is the case in the jurisdiction being assessed.






Reply to Questions


3

Public Service Employment Numbers and Wage Bill

3.1

Numbers of Employees by category

3.1.1 What are the employment figures in each of the following categories for each of the past five years: (a) core public service administrators (b) teachers (c) health workers (d) police (e) armed forces (f) local government workers (g) employees of public enterprises (h) employees of budgetdependent agencies (i) daily paid or work-charged workers (j) contract workers (k) other

The purpose of this question is to ascertain the magnitude of employment in each category. This data will be useful in setting priorities for improvements to records and information systems in support of public sector reform objectives.




3.1.2 What are the consolidated employment figures (all categories listed above combined) for each of the last five years?* *As the number of daily paid or workcharged employees can vary throughout the year with seasonal fluctuations, the annual average numbers can be provided. 3.1.3 What are the current employment figures for each government department? * *As the number of daily paid or workcharged employees can vary throughout the year with seasonal fluctuations, the annual average numbers can be provided.



Reply to Questions

(Principal source in bold) The purpose of this question is to ascertain the magnitude of employment in each category. This data will be useful in setting priorities for improvements to records and information systems in support of public sector reform objectives.

Senior Administrator [head of public service] See also the advice given in Mike Stevens’ Preparing for Civil Service Pay and Employment Reform: A Primer.







Reply to Questions


3.1.4 What are the current employment figures for each professional cadre?



3.1.5 What are the current employment figures by salary grade?



3.2 Government Wage Bill 3.2.1 What is the government wage bill (ie, salaries/wages, allowances, benefits, and pensions) as a percentage of GDP?

This question will provide some indication of whether the government wage bill is economically sustainable.

Senior Administrator [head of finance or planning]



3.2.2 What is the government wage bill (ie, salaries/wages, allowances, benefits, and pensions) as a percentage of total government expenditure?



Reply to Questions

(Principal source in bold) This question will provide some indication of whether there is an imbalance in public expenditure.

Senior Administrator [head of finance or planning]





4

Public Service Management Structure

4.1

Human Resource Management Roles and Responsibilities

4.1.1 Which agency(ies) are responsible for the following public service management functions (please indicate where there are differences between different services): (a) establishing human resource policy and personnel management framework (b) setting standards for entry into the public service (c) recruitment (d) setting down criteria for appointment, promotion, and transfers

Reply to Questions

The purpose of this question is to develop a detailed picture of the agencies responsible for performing typical human resource management roles or functions within the public service. Responsibility for a given role may fall to more than a single agency. In such cases; the respective roles of all relevant agencies should be identified. In addition, different agencies may perform the same function but for different services or professional cadres. These differences should be noted as well.




(e)

(f)

(g) (h)

(i)

(j)

(k)

establishing pay scales of public servants approving departmental structures and maintaining a record of established or approved positions disciplinary proceedings grading new positions and periodically carrying out grade reviews developing new legislation affecting public service employment human resources planning for the public sector preparing annual human resources budgets



Reply to Questions

(Principal source in bold) Finally, if the jurisdiction being assessed does not perform any of the listed function, this should be indicated, as this suggests a gap in the functions normally required for effective human resource management.



(i)

(m)

(n) (o) (p)

(q)

(r)

(s) (t) (u)



Reply to Questions


supervising the process of monitoring annual performance authorizing promotions and transfers maintaining service records approving promotions setting policies for and supervising civil service training managing disciplinary proceedings hearing appeals regarding public service employment matters (eg, disciplinary proceedings) preparing the payroll auditing the payroll administering pensions




Reply to Questions


5

Public Service Reform Priorities

5.1

Assessing Priorities

5.1.1 Which of the following describe the public sector reform priorities of the jurisdiction being assessed: (a) reduction in the public service wage bill (b) reduction in overstaffing (c) improved public expenditure management (d) eliminating payroll fraud (e) decompression of salary scales (f) greater decentralization (g) building an administration for a new country or rebuilding a collapsed state


This data will be useful in setting priorities for improvements to records and information systems in support of public sector reform objectives.




(h) (i)

5.2



Reply to Questions


improving service delivery other

Public Service Reform Activities

5.2.1 Which of the following activities currently are the focus of public sector reform initiatives in the jurisdiction being assessed: (a) recruitment freezes (b) public service census (c) functional reviews (d) computerization of human resource management function (e) computerization of payroll (f) computerization of financial management function

This data will be useful in setting priorities for improvements to records and information systems in support of public sector reform objectives.




(g)

(h)

(i)



Reply to Questions


reengineering human resource management business processes improvements to record keeping other


ASSESSMENT TOOL FOR HUMAN RESOURCES MANAGEMENT RECORDS AND INFORMATION SYSTEMS Section 2: Management Environment Questions (Primary questions in bold)



Reply to Questions


6

Legal and Institutional Framework for Managing Records and Information

6.1

National Legal Framework

6.1.1 Is overall responsibility for the management of public sector records assigned to a central government body (eg, National Archives)? If yes, please name the body.

Most, if not all, countries have a National Archives, established by legislation, with responsibility for public/government records.

National Archives

6.1.2 If yes, does this body have overall responsibility for personnel and payroll records?

The definition of public records should encompass personnel and payroll records.

National Archives





Reply to Questions


6.1.3 Are there specialists in the management of personnel and payroll records within the National Archives? If yes, please state the position of the staff. Is responsibility for these types of records formalized in a job description?

If the National Archives is to exercise its responsibility effectively it needs to have adequate knowledge of personnel and payroll records, and it must assign responsibility for these types of records to a specific position.

National Archives

6.1.4 Does the National Archives Act (or equivalent legislation/ regulations) assign responsibility for the management of public sector records throughout their life cycle (ie, from creation to disposal), either to the National Archives or to another body? Please provide a copy of the National Archives Act (or equivalent legislation/ regulations)

There must be coherent policies and programs for the management of public sector records at different stages of the life cycle; this has implications for public access, system compatibility, retention and disposal, long-term preservation, etc.

National Archives





Reply to Questions


6.1.5 Is there a policy for transferring records to an archives institution (where they may later be made available to the public)? If yes, please specify details.

There should be mechanisms for selecting records to be permanently preserved as archives, and for providing access to them in an approved archives institution.

National Archives Senior Administrator in Organization Assessed Head of Records Function in Organization Assessed

6.1.6 Does any other national legislation exist that deals directly with record keeping requirements in the jurisdiction being assessed? If yes, please provide copies.

Other legislation may exist that requires certain types of records to be created and maintained or that specifies retention and disposal arrangements.

National Archives Senior Administrator Head of Records Function

6.1.7 Is there legislation or are there regulations covering rights to privacy? If yes, please provide copies.

Legislation and regulations about the protection of privacy or the provision of access to personal information will affect the management of current and non-current records.






Reply to Questions


6.1.8 Is there Access to Information legislation or regulation in relation to access to records? If yes, please provide copies.

Access to Information legislation will affect the management of current and non-current records.


6.1.9 Is there a high level records/archives advisory committee or equivalent body that considers the interests of all stakeholders when determining how long records need to be maintained? If yes, please give details of this body’s duties and responsibilities.

The broader interests of civil society need to be taken into account when deciding whether records having no further value for business purposes may need to be preserved because, eg, they contain unique evidence.




6.2



Reply to Questions


Institutional/Organizational Framework

6.2.1 Does the public service have a mission statement? If yes, please provide a copy.

Performance measurements and statistics derived from records can be used to show whether the mission or purpose is being met; this is one of the reasons statistics need to be collected and analyzed.

Senior Administrator

6.2.2 Are records and information-related operational rules and procedures developed by the jurisdiction or by individual institutions? How are the rules and procedures documented?

Some recordkeeping and information requirements are derived from rules and procedures; local rules and procedures may conflict with organizational or national requirements for managing information.


6.2.3 Are records procedures uniform within similar organizational units?

Local procedures should be harmonized with organizational or national requirements for managing information.






Reply to Questions


Questions 6.2.4 to 6.2.11 cover document formats. There may be a need to link these questions with specific functions. See also Section 3. Standard formats facilitate compliance, information sharing, simpler, more costeffective computerization, and consistency of service delivery

Senior Administrator Head of Records Function Senior Records Users

6.2.5 Which body or bodies approve and authorize document formats and content?

Standard formats may exist but not be followed.

Senior Administrator Head of Records Function

6.2.6 If there are standard document formats, are they national, regional or local? Please specify.

Standard formats facilitate compliance, information sharing, simpler and more cost-effective computerization.


6.2.7 Are rules and regulations for standard document formats regularly reviewed? When was the last review?

Rules and regulations should be regularly reviewed and, if necessary, updated.


6.2.4 Are standard document formats specified in rules and regulations? If yes, are they always followed?





Reply to Questions


6.2.8 Do organizational units adapt documents and forms for their own purposes? If yes, is there a reason for the differences in the forms?

Divergence from agreed standards may undermine other requirements, such as data gathering, information sharing, consistency of service delivery, etc.


6.2.9 Are formats consistent between paper and electronic systems? What is the process for developing electronic document formats?

If electronic systems are used to generate forms, they must be in standard formats.


6.2.10 Are the standard forms used, whether paper, electronic or both, enable uniform data to be collected for statistical purposes?

Standard formats simplify data collection, allow information sharing, and lead to simpler and cost effective computerization, etc.


6.2.11 Are there inconsistencies in the way forms are completed so that uniform data cannot be collected? If yes, please specify.

Inconsistency may cause difficulties in using records, data collection, information exchange, etc.




7



Reply to Questions


Responsibilities for Records and Information Management

7.1 Is there a toplevel post within the department or agency that ‘champions’ records management? If yes, please name the officer or post.

Where top leadership communicates interest and concern in records accurate and reliable record keeping, records systems are often better managed and resourced.


7.2 Is overall responsibility for the management of personnel and payroll records assigned to a central body or officer within the organization or department? If yes, please name the body or officer, give brief details of its/his/her duties, and provide an organizational chart.

An effective records management program requires the clear assignment of responsibility.


If overall responsibility for records at difference stages of the life cycle (current, semi-current, noncurrent) is split, coherent policies and programs will be more difficult to achieve.


7.3 Does this body or officer have overall responsibility for managing personnel and payroll records throughout their life cycle (from creation to final disposition)?





Reply to Questions


7.4 What is the relationship of this body or officer with the National Archives? Please specify with reference to any statutory or legal requirement for the safekeeping of records and the selection of records for permanent preservation.

Records and information management programs must be consistent with national and statutory objectives for public records.


7.5 Is there a management-level officer within each department or agency who is specifically assigned overall responsibility for records management? If yes, please name the post.

Depending on the size of the organization, a manager-level post should be partly or wholly dedicated to records and information management.


7.6 Are there regular communications between senior staff of departments or agencies and records management staff? If yes, what is the form of the communications.

Regular communication helps to ensure that records and information needs are defined and requirements are included in organizational plans and objectives.






Reply to Questions


8

Records and Information Management Policies and Standards, Procedures, and Facilities and Maintenance

8.1

Policies and Standards

8.1.1 Is there a policy or set of guiding principles for managing personnel and payroll records and information, covering both paper and electronic records? If yes, who issued the policy or guidelines and has it or have they been distributed for use?

An effective records management program requires a clear definition of policies and objectives. Records management must be integrated with IT systems and business processes.


These are the essential components of a records and information management policy.


[ISO 15489-1 Section 6.2]

8.1.2 If there is a policy or set of guidelines, does it specify the following? • objectives for the management of payroll and personnel records



•

•

•

•



Reply to Questions


responsibilities for creating and maintaining records standards (format, quality, content) to meet evidentiary and regulatory requirements throughout the life cycle of records policies and procedures to transfer records, including electronic, to archival custody preservation standards and guidelines to maintain access over time.





Reply to Questions


8.1.3 If there is a policy or set of guidelines, which body or officer is responsible for ensuring that the policy or guidelines are being followed? What is the relationship of this body or officer with the top-level management within the department or agency and with the National Archives?

Compliance must be kept under review. The National Archives is an appropriate body to perform this function, but top-level management must also ensure compliance.


8.1.4 If there are organizational objectives for records management, does the head of records management have a method, such as an auditing tool, for measuring performance against these objectives?

Regular internal evaluations are necessary to monitor compliance and effectiveness.






Reply to Questions

(Principal source in bold) Records management procedures must be documented for operational and training purposes; this documentation must be accurate, comprehensive and upto-date.

Senior Administrator Head of Records Function Middle Managers as Records Users

8.1.6 Are electronic records covered in a records management procedures manual, either separately or with records in other formats (eg, paper)?

Instructions and guidance must include electronic records. If electronic systems are introduced, records management procedures manuals must be revised.


8.1.7 If there is a procedures manual, does it outline the following? • description of responsibilities to meet recordkeeping requirements throughout the records’ life cycle

The manual must cover all aspects of records management (both paper and electronic) throughout the life cycle.


8.1.5 Is there a procedures manual for the management of personnel and payroll records throughout the lifecycle? Is it regularly updated? When was the last issue or update? Has the manual been distributed to staff?



•

•

•

•

•



Reply to Questions


standards and guidelines for regulatory requirements, to ensure that capture of essential information about content, context, and structure of records procedures for managing records at all stages of the life cycle retention and disposal guidance and procedures short- and longterm preservation options and guidelines policies and procedures for auditing compliance.



8.1.8 Is there a centralized body for the strategic development of IT resources and systems? If so, what are its responsibilities? What is the relationship of this body to ‘client offices’ (eg, advisory or controlling)? 8.1.9 Is the development and procurement of IT systems based on the following processes? • business process analysis • identification of records requirements • cost-benefit analysis • business case •

• •



Reply to Questions

(Principal source in bold) A centralized body can co-ordinate resources and system development to achieve consistency, greater efficiency, and so on.

Senior Administrator Head of Records Function IT Officer

These processes are required to ensure IT systems meet business needs and IT projects are managed properly.


proposal or invitation to tender selection process procurement guidelines



•



Reply to Questions


implementation and project time line proposal.

Please identify relevant documentation to support replies and provide copies if possible. 8.1.10 Who is responsible for overseeing the design and implementation of new records and information systems (eg, project board or IT committee, etc)?

The identification of a responsible body establishes accountability.


8.1.11 Is the records management function represented on this board or committee? If yes, by whom?

Input by qualified records professionals is needed to ensure records management requirements are incorporated into system design and implementation.


8.1.12 Is there a metadata standard used by the system?

Such a standard ensures that metadata (essential information about context, content and format of records) is correctly captured.




8.1.13 Is there a government interoperability standard?



Reply to Questions

(Principal source in bold) Such a standard ensures the compatibility of systems and facilitates the exchange of data.


8.2 Procedures [The questions in this section may need to be asked for categories of records or individual records series. A recommended approach is to ask the questions here for a specific major series (such as personal files) and use the answers as an indication of records management problems that may require more detailed analysis.]

8.2.1 Registering, classifying and capturing records and information in record-keeping systems 8.2.1.1 Does the jurisdiction being assessed use a consistent record classification system for personnel and payroll records? If yes, is the same type of classification scheme used consistently nationally, regionally, or within separate organizational units? For example, how are personal file or record numbers generated? Please provide examples.

Consistency assists retrieval and facilitates compliance with good practice, and simpler and more cost-effective computerization, etc.




8.2.1.2 Are documents added to files in such a way (eg by a tag or thread for paper records, or sequential number for computer records) so that their sequential order is preserved and that they cannot become easily detached or out of order?

8.2.2



Reply to Questions

(Principal source in bold) Documents must be kept in their correct order to preserve evidence of the sequence of actions, etc.

Head of Records Function Senior Records Users Middle Managers as Records Users Records Staff

Controlling the Movement of Records

8.2.2.1 Is a record kept when paper files are removed from ‘file room’ storage? If yes, what details are recorded? Who is responsible for recording this information?

The location of files needs to be known at all times. Accountability for removing files must be established.

Head of Records Function Middle Managers as Records Users Records Staff



8.2.2.2 When a file or record is in use, is the record’s location always known? If yes, how is information about the record’s location recorded, and who is responsible for recording it? 8.2.2.3 Are there systems and procedures in place for transferring closed or inactive records to separate storage (eg, file or record transfer procedures)? 8.2.2.4 If yes, how are transfers documented so that the files or records transferred can be individually identified and retrieved?



Reply to Questions

(Principal source in bold) The location of files needs to be known at all times. If officers pass files between themselves, the movement should be recorded. Accountability for file movements must be established.


The regular and systematic removal of closed or inactive records enables current records system to be more effectively managed.


Closed or inactive files and records may be needed for reference; proper documentation enables more reliable disposal to take place later.




8.2.2.5 Are records transferred to semicurrent or inactive storage (paper and electronic) always given a disposal action (eg, a destruction or review date calculated from the date of the record or date of transfer)?

8.2.3



Reply to Questions

(Principal source in bold) Unless transferred records are subject to a retention period and disposal action, backlogs of low-value records will accumulate and storage areas will become overfilled.

Head of Records Function Middle Managers as Records Users Records Staff IT Officer

Providing Access to Records/Information

8.2.3.1 Can records or information from records be found when required? If no, please give details.

A ‘no’ answer suggests records and information systems do not meet the users’ requirements.


8.2.3.2 Are required files or records ever found to be lost or damaged? If so, is this loss or damage a regular occurrence?

Frequent losses or damage indicate failed recordkeeping systems.




8.2.3.3 Do public servants ever express concern about the loss or absence of records, poor responses to requests for information, or unauthorized access or release? If yes, please give examples. 8.2.3.4 Who is allowed access to personnel and payroll records? Please name posts or officers concerned.

8.2.3.5 Have formal instructions been issued about who can or cannot access to personnel and payroll records? If yes, do the instructions cover both paper and electronic records? Please specify the instructions.



Reply to Questions

(Principal source in bold) The protection of rights and entitlements depends on reliable record keeping systems.

Senior Administrator Head of Records Function Senior Records Users Middle Managers as Records Users Records Staff

Access to records should be restricted to essential staff.

Head of Records Function Senior Records Users Middle Managers as Records Users Records Staff IT Officer

Such instructions indicate control of access to personnel and payroll records.

Head of Records Function Senior Records User Middle Managers as Records Users Records Staff IT Officer



8.2.3.6 Are any persons who are not officials of the jurisdiction being assessed allowed unsupervised access to personnel and payroll records? If yes, please state the persons or officers concerned and the reasons why they are given unsupervised access. 8.2.3.7 Are any records (paper and/or electronic) maintained by individual staff and accessible only to them, or are all records maintained in a shared location (eg, registry or network) and accessible to all relevant staff?



Reply to Questions

(Principal source in bold) Access by external officers should always be supervised.


If stand-alone computers or individual filing systems are used to generate and store records, there may be problems in providing easy and centalized access to them, and in maintaining the integrity of the records.

Head of Records Function Senior Records Users Middle Managers as Records Users IT Officer



8.2.4



Reply to Questions


Retaining and Disposing of Records/Preserving Records

8.2.4.1 Is there an established system for the appraisal and authorized disposal of personnel and payroll records? If yes, please provide details.

The appraisal and disposal of records must be planned and co-ordinated across the organization and also conducted according to established procedures.

National Archives Senior Administrator Head of Records Function Middle Managers as Records Users

8.2.4.2 Are there retention and disposal schedules for personnel and payroll records? If yes, please provide copies. Are the schedules national or ‘local’?

Retention and disposal schedules are an essential component of control; without consistency and coordination disposal may be ad hoc and arbitrary, leading to the destruction of important records or the retention of records of no value, or both.


8.2.4.3 If there are retention and disposal schedules, when were they last updated?

Schedules must be regularly reviewed and updated to remain comprehensive.


8.2.4.4 When were retention and disposal schedules last applied?

Schedules must be applied regularly and routinely.

Head of Records Function Middle Managers as Records Users





Reply to Questions


8.2.4.5 Are records ever destroyed without adherence to schedules? If yes, please explain why.

Destruction of records should take place only in accordance with agreed and authorized schedules and procedures.


8.2.4.6 Is there documentation or guidance about how to apply disposal schedules? If yes, please state where this information is provided.

Standard procedures must be agreed, authorized and specified, for example, in a procedures manual.


8.2.4.7 If there is a lack of clear guidance on the retention and disposal of records, is concern expressed about this lack?

Lack of guidance is an indicator of an absence of policy and procedures or system failure.


8.2.4.6 If there is a system for identifying records of no further value, are such records destroyed? If yes, please specify under whose authority.

Authorization of destruction by a recognized authority is needed; proper authorization is an indicator that policies and procedures are working.






Reply to Questions


8.2.4.7 Are records systems designed so that records remain accessible, authentic, reliable and useable for the entire period of their retention and usefulness? If yes, how are these essential requirements captured in the design process (eg, by reference to records management standards)?

The preservation of metadata (data about context, structure, content) is vital if records are to continue to meet evidentiary requirements. Though obvious in relation to electronic records, this question can equally be asked of paper or hybrid systems.

National Archives Senior Administrator Head of Records Function Middle Managers as Records Users IT Officer

8.2.4.8 For computerized systems, is there a mechanism for transferring records to off-line storage (eg, disk or tape back-up)? If yes, who is responsible for this process?

Such a mechanism is an indicator of whether electronic records will remain secure, reliable, authentic, etc.

Head of Records Function IT Officer

8.2.4.9 If there is a mechanism for offline storage, is there a provision for records stored offline to be migrated through system changes?

This provision is an indicator of whether electronic records will remain secure, reliable, authentic, accessible, etc.

Head of Records Function IT Officer



8.2.4.10 Is there any institutional system for safeguarding records selected for permanent preservation? If yes, does this system include electronic records?

8.2.5



Reply to Questions

(Principal source in bold) A system to select records for permanent preservation should be planned and co-ordinated across the organization and must include the involvement of outside bodies such as the National Archives.

National Archives Senior Administrator Head of Records Function IT Officer

Ensuring the Security and Confidentiality of Records

8.2.5.1 Are records protected against unauthorized access, alteration or disposal? Please specify the way in which paper and/or electronic records are safeguarded.

Potential or actual unauthorized access by staff or non-staff can destroy the integrity of records.

Senior Administrator Head of Records Function Middle Managers as Records Users Records Staff IT Officer

8.2.5.2 Are staff held individually responsible for the loss of, or damage to, records in their care? If yes, please specify how staff are held accountable.

Personal liability can be an effective method of maintaining security.

Senior Administrator Head of Records Function Middle Managers as Records Users Records Staff IT Officer





Reply to Questions


8.2.5.3 Is there a formal practice of creating a duplicate or back-up personnel and payroll records?

Some systems generate a duplicate record, eg, for the master personal file and local file.

Head of Records Function Middle Managers as Records Users

8.2.5.4 Is there a back-up system to ensure that if key documents cannot be found, their existence can still be proved (eg, receipt of key documents is recorded in a register)?

Ideally, paper and electronic recordkeeping systems should ‘register’ the creation or receipt of documents.

Head of Records Function Middle Managers as Records Users IT Officer

8.2.5.5 Are paper files not currently in use always stored in a controlled and secure area (eg, a registry, subregistry)? If no, specify why.

Controlled storage will reduce the risk of unauthorized access to the records and the information they contain.




8.2.6



Reply to Questions


Monitoring and compliance

8.2.6.1 Is there a commitment by the jurisdiction being assessed to follow national or international standards for records management? If yes, please identify the standard. By whom is the commitment made?

Even if national or international standards are recognized, there must still be a commitment to implement and maintain them.


8.2.6.2 Is there an internal audit function that evaluates recordkeeping practices against accepted standards? Who conducts these internal audits?

Compliance with standards can only be determined if there is regular and systematic auditing.


8.2.6.3 Is an audit conducted by an external body to evaluate recordkeeping practices against accepted standards? If yes, who conducts these external audits and how often?

Audit by an external, qualified, and independent authority provides a valuable check on standards and compliance.




8.2.6.4 Do instructions and manuals follow national and/or international standards for records management? If yes, please specify the standards.

8.3



Reply to Questions

(Principal source in bold) Following a standard may indicate that recommended good practice is undertaken.


Facilities and Maintenance

8.3.1 Do records creators and users believe there are adequate records storage facilities, equipment and materials to meet existing and future needs? Please give examples of shortcomings (eg, files cannot be created because of lack of file covers; records are stored on the floor, back-up disks or tapes are stored in inappropriate conditions). Please provide explanations for shortcomings.

There must be sufficient physical resources to maintain a records management program.

National Archives Head of Records Function IT Officer

Fill in the sections required Active or Current Records


Non-current or Closed Records

Electronic Records




Reply to Questions


8.3.2 Are records damaged by any of the following? • wildlife (eg, insects, rats) • water • mould • direct sunlight • other hazards. If yes, please specify and say when the damage occurred.

Records may be damaged beyond use by any of these hazards

National Archives Head of Records Function Middle Managers as Records Users Records Staff

8.3.3 Do all storage areas have fire prevention equipment? If yes, when was the equipment last inspected?

Adequate fire prevention equipment should be installed and maintained.


8.3.4 Does the jurisdiction being assessed have discretionary funding for the purchase of records management supplies and equipment (eg, filing cabinets, shelving, boxes, data fire safes, etc)? If yes, who controls the budget and who makes the purchases?

Budget allocations for these purposes are essential. The budget should be controlled or overseen by a senior officer with responsibility for records and information management.




8.3.5 Is the purchase of records management supplies and equipment (eg filing cabinets, shelving, boxes, data fire safes, etc) controlled centrally? If yes, specify by whom?



Reply to Questions

(Principal source in bold) Centralized control may indicate that local needs cannot be met effectively.




9



Reply to Questions


Training and Competencies 9.1 Do records managers or the officer with overall responsibility for records and information management within the organization have sufficient seniority to influence records management policy (eg, do they have direct access to senior management)?

Without status, records managers are unlikely to have an impact.


9.2 Do records managers generally have professional training? If yes, please specify the training (eg, institution, duration, etc).

Professional training in records and information will enhance the status of the records managers, but it is not vital if there are other sources of professional expertise (eg, National Archives).






Reply to Questions


9.3 Are there guidelines, instructions or manuals that assign responsibilities for specific records functions to all relevant grades of staff (including senior staff and records users)? If yes, please specify the document(s) that assign responsibility.

All staff have some responsibility for creating, using or managing records. Records management is a shared responsibility between records staff and users. This responsibility needs to be agreed, publicized, and widely understood.

Senior Administrator Head of Records Function Middle Managers as Records Users Records Staff

9.4 Are all senior staff and records users provided with awareness training on the importance of records? If yes, please give details of the training (by whom, where, how often, duration, etc).

Senior officials and users of records need to be aware of their role and responsibilities in good record-keeping practices.






Reply to Questions


9.5 Are records management procedures manuals and guidance materials used for training staff who deal with records? If yes, please specify the materials used.

The materials should give detailed and comprehensive descriptions of procedures as well as covering general principles. They should also provide links to international standards, relevant laws and regulations, and key staff responsibilities.


9.6 How do senior managers supervise records staff (eg, directly, through intermediate managers, on a dayto-day basis, etc)? Do records creators and users believe this supervision is adequate?

Supervision will help to ensure compliance with procedures and standards and will sustain a level of service.


9.7 Is there a clear and defined career path for records staff in the jurisdiction being assessed?

Motivated and knowledgeable records officers make a significant difference to the quality of record keeping.






Reply to Questions


9.8 Are there staff shortages in the records function? If so, why?

Shortages may be an indicator of low status, poor pay and working conditions, insufficient allocation of staff and resources, etc.


9.9 Is there a high turnover of records staff? If so, why?

High turnover may be an indicator of low status, poor pay and working conditions, etc.


9.10 Is there a separate records class within the jurisdiction being assessed that carries out the records management function?

A records class or cadre may be an indicator of a career structure, improved status, professionalization, etc.






Reply to Questions


9.11 Is records management training provided within the jurisdiction being assessed? If yes, please give details of the training (course, duration, by whom taught, etc). Is the training provided centrally, regionally or locally? Please specify.

‘Classroom based’ training and training opportunities, as opposed to on-the-job training, may indicate that a records management program, career planning, and skills development are in place. If training does not have to take place within the jurisdiction being assessed, it is less likely to meet requirements.


9.12 Do any records staff in the jurisdiction being assessed have knowledge of the management of electronic records? If yes, how were they trained?

Electronic records create new challenges and problems for records managers; additional training is required.


Training must be comprehensive.


9.13 Is electronic records management incorporated into general records management training?





Reply to Questions


10

Information Technology (IT) Systems (to be asked for each identified system)

10.1

Design and Implementation

10.1.1 What is the system architecture, eg, stand-alone PCs, client-server, Webbased?

Different architectures require different security provisions and preservation procedures.

IT Officer

10.1.2 Is the system programmed in a common language, eg, Oracle, Sybase, SQL? If not, is the data in a proprietary format? Please specify.

Common programming languages are easier to migrate for long-term preservation. Proprietary standards require the creation of software for retrieval and viewing.

IT Officer

The accuracy of the input date establishes the credibility of the data that constitute the system’s records.

IT Officer Head of Records Function

10.1.3 What original data sources were used to populate the system (either paper or electronic)?





Verification establishes the reliability of the source data.


10.1.5 What metadata is used to describe the records? Please list.

Metadata (data about context, content, structure) describes the records and provides access points for users.


10.1.6 Are vital records within the system identified? If yes, please specify the criteria used to identify them.

Vital records are those considered critical to the continued operations of an organization or the reestablishment of operations after an emergency or disaster. Vital records should always be identified for preservation.


10.1.7 Is there an audit trail function?

An audit trail is a record showing who has accessed the system and the operations he/she has performed. This establishes whether unauthorized action can be detected.

IT Officer

10.1.4 How were these sources verified for accuracy? Are procedures in place to ensure that data verification is ongoing? Are these procedures being followed and are they being audited for compliance?

Reply to Questions





10.1.8 Does the system track versions of records?

Version tracking is needed to link the record to transactions or activities.

IT Officer

10.1.9 Is there a quality control mechanism in the system, eg, reporting functions that verify the accuracy of data or procedures for flagging data anomalies? If yes, please specify how this mechanism functions.

Such a mechanism supports the credibility of the system and enables inaccurate or incorrect data to be detected.

IT Officer

10.2

Reply to Questions

System Operations and Maintenance

10.2.1 Who is responsible for the daily administration of the system? 10.2.2 What functions do the systems perform? • adding and deleting users • modifying permission profiles • generating usage statistics

Accountability for the system must be assigned.


These functions provide details of the levels of access and security provisions.

IT Officer



•

• •



Reply to Questions


conducting regular system backs-ups (indicate how often) performing system upgrades quality control for data entry.

10.2.3 Is there system documentation? If yes, where is it kept and by whom?

System documentation provides a technical description of how the system operates. It is required to restore operations in the event of system failure.

IT Officer

10.2.4 How and when are system records disposed of? Is this process captured by the records disposal schedules? If yes, please give details.

This may be an indicator of whether unauthorized destruction is permitted by the system.

IT Officer

10.2.5 Does the system use standardized forms or templates? If yes, please give details.

Templates promote consistency in records creation.

IT Officer





10.2.6 Is the system linked with any other systems? If yes, how are they connected? How is the transmission of data made secure?

This provides an indication of the security of the system.

IT Officer

10.2.7 Are there system evaluation and review procedures to measure efficiency? If yes, describe.

Periodic checks determine whether the system continues to support operational and information requirements.

IT Officer

10.2.8 Have any system upgrades been conducted since implementation? If so, when were they carried out and what did they entail?

System upgrades may require data conversion. The process must ensure that the data in records and the records’ structure both remain intact. All migration processes must be documented.

IT Officer

10.2.9 If data has been migrated through system upgrades, has the migration process been documented?

Reply to Questions

IT Officer



10.3



Reply to Questions


Capacity and User Support

10.3.1 Who is responsible for providing support for users of the system (eg, dealing with users’ problems)?

This indicates institutional capacity to support daily use of the system.

IT Officer

10.3.2 Do you believe there is adequate support for users of the system?

This asks users to identify problems.

10.3.3 How many users does the system support?

This will help to determine whether users have adequate support.

IT Officer

10.3.4 What training did the system administrator(s) receive? Was a certificate awarded at the end of the training? If yes, please specify the type of certificate.

The system administrator(s) must be trained and competent in the software and hardware for which they are responsible. Training must be of a recognized standard.

IT Officer

10.3.5 How are system users trained? What is the duration of training? Is there a training manual?

This indicates the thoroughness of the training.

IT Officer Middle Managers as Records Users Records Staff

IT Officer Middle Managers as Records Users `Records Staff



10.3.6 Is there a user manual for the system? Is it readily accessible?

10.4



Reply to Questions

(Principal source in bold) There should be an authoritative guide to procedures.

IT Officer Middle Managers as Records Users Records Staff

System Security and Back-ups

10.4.1 Does each user have a unique identifier and a confidential password?

Each user should be identifiable. Passwords used in conjunction with other controls (eg, audit trail) should enable organizations to identify what actions were performed, by whom, and when.

IT Officer Registrars/Secretaries Records Staff

10.4.2 What are the levels of permission for access to, or entry or alteration of, electronic records or databases?

This provides details of the staff who are authorized to create, modify and/or delete records.

IT Officer

10.4.3 Is protection of the system included in disaster recovery planning?

This indicates the security of the system, and how system records will be maintained and restored in the event of a disaster.






Reply to Questions


10.4.4 Are there procedures and processes to ensure continued business operations in the event of a system failure? If yes, please specify.

This establishes whether critical business functions and supporting records are protected and ensures they are not lost.


10.4.5 What provisions are in place for back-ups, eg, back-up server or back-up tapes? For back-ups on tape, how often are the back-ups made? By whom? In what format are they stored? If there is a back-up server, where is it located?

This provides information about system security and the accessibility of records if the system is unavailable.

IT Officer

10.4.6 If there are back-ups, where are they stored? Who has access? How are they labeled?

Back-ups need to be stored in a secure location and environment.

IT Officer

10.4.7 Are back-up tapes ever overwritten? If so, how often?

Policies and procedures are required to ensure no records are lost when tapes are overwritten.

IT Officer





Reply to Questions


10.4.8 Are records migrated to offline storage at any stage in their life cycle? If yes, please say how and by whom. Please give details of the off-line storage.

This provides information about all system records and their accessibility.

IT Officer

10.4.9 Are any records in the system kept longer than required to support or process business activities? If yes, what is the reason for the retention?

Systems that contain records of no further value waste resources and slow system operations.

IT Officer

10.4.10 Is the system accessible to users in different locations, eg, Wide Area Networks or Web access? If yes, what measures and/or applications are in place to ensure the secure transmission of data, eg, a virtual private network?

A ‘yes’ answer suggests that extra security is required to protect the transmission of data and to guard against unauthorized actions.

IT Officer

10.4.11 Does the system control and limit the duplication of records? If yes, how and by whom is this managed?

This provides an indication that all copies of a record are destroyed during disposal.

IT Officer



10.4.12 Have records or data ever been lost as a result of system failures, power outages, tampering, or other reasons?



Reply to Questions

(Principal source in bold) A ‘yes’ answer indicates that the system does not meet evidentiary or recordkeeping requirements.

IT Officer Head of Records Function Middle Managers as Records Users Records Staff


ASSESSMENT TOOL FOR HUMAN RESOURCES MANAGEMENT RECORDS AND INFORMATION SYSTEMS Section 3: Functions and Processes Questions (Primary questions in bold)



Reply to Questions


11

Controlling and tracking posts and numbers of employees

11.1

Controlling and tracking public service posts and numbers of public servants

11.1.1 For each category of worker listed in Section I except for daily paid or work-charged, please indicate the records that are created and kept to show: (a) the authorization for each post (b) that all authorized posts have budget approval

Effective control of the public service wage bill and numbers depends upon having records that support systems to control both the number of posts that are created and the number of persons filling posts.

Head of Public Service Head of Finance Senior Administrator



(c)

(d)

(e)

(f)



Reply to Questions


the total number of authorized/ budgetapproved posts the basic personal details of persons filling all authorized/ budgetapproved posts the number of vacancies against authorized/ budgetapproved posts the current status of authorized/ budget approved posts (eg, whether temporary or ‘frozen’)

11.1.2 For the records indicated in question 11.1.1, please state whether systems and controls are in place to ensure that

Procedures must be in place and must be followed to ensure that records are accurate, up-to-date, and accessible when




(a) the records are complete and accurate and are accessible when needed (b) systems and controls are being followed (c) systems and controls are being audited for compliance 11.2



Reply to Questions

(Principal source in bold) needed. For example, expired or ‘extinguished’ posts should be removed from lists of authorized posts to prevent accidental or deliberate recruitment into such posts. Compliance with the procedures must be audited.

Controlling and tracking daily paid and work charged employees

11.2.1 For daily paid or work charged employees, please indicate the records that are created and kept to show: (a) the current number of these workers (b) the historical number of these workers

Daily wage or work charged employees may represent a significant portion of the public service wage bill, but may not be categorized as public servants proper.


Lack of controls and methods for tracking the number of such workers can prevent effective public expenditure control and invite abuses (eg, patronage appointments).



(c)

(d)

(e)

(f)

(g)

(h)



Reply to Questions


the duration for which current workers have been hired whether the period of their employment has exceeded the planned period of hire the total time of public service employment, inclusive of all previous periods of employment the type of work that each worker has been hired to do the basic personal details of each worker the number of these workers absorbed into the public service proper when the total duration of their employment has exceeded a certain period



11.2.2 For the records indicated in question 11.2.1, please state whether systems and controls are in place to ensure that: (a) the records are accurate and complete and are accessible when needed (b) systems and controls being followed (c) systems and controls are being audited for compliance?



Reply to Questions

(Principal source in bold) Procedures must be in place and must be followed to ensure that records are accurate, and up-to-date and are accessible when needed. For example, expired or ‘extinguished’ posts should be removed from lists of authorized posts to prevent accidental or deliberate recruitment into such posts. Compliance with the procedures must be audited.






12

Recruitment, promotion and transfer

12.1

Human resources planning

12.1.1 Does the jurisdiction being assessed undertake annual human resources planning? If yes, how are approved annual plans documented?

Reply to Questions

It is important to document human resources plans to ensure that recruitment, promotion, transfers and other human resource management activities that occur throughout the year can be checked against the agreed plan. As annual plans usually are developed with input from finance, checking human resource activities against a documented human resources plan will support effective management of public expenditure.




12.2



Reply to Questions


Links to financial management

12.2.1 Are recruitment, promotion and transfer records for public sector workers checked against authorized posts, annual budgets and available funds? If yes, who is responsible for this check and who carries it out?

Efficient control of the public sector wage bill and the numbers of public sector workers requires that public servants be recruited, promoted and transferred to fill only authorized posts and that the pay and benefits for all public sector workers be budgeted for and fully funded.

Head of Public Service Head of Finance Head of Agency Responsible for Recruitment Senior Administrator Auditor General

12.2.2 If recruitment, promotion or transfer is checked against authorized posts, annual budgets and available funds, does this check take place before or after (eg, during an audit) the recruitment is completed?

In many countries, recruitment, promotion or transfer takes place before relevant records are checked against lists of authorized posts, the budget or the available funds. This can lead to an unsustainable increase in the public sector wage bill.

Head of Public Service Head of Finance Head of Agency Responsible for Recruitment Senior Administrator Auditor General



12.3



Reply to Questions


Job analysis and description

12.3.1 What procedures are in place to ensure that: (a) job descriptions and person specifications are kept current (b) procedures are being followed (c) procedures are being audited for compliance.

For these job descriptions and person specifications to serve their business purposes effectively, they must be kept current. They are unlikely to be current, however, unless systems and controls have been established to ensure that they are, employees are following these systems and controls, and the level of compliance is being audited.

Head of Public Service Senior Administrator Functional Head



12.3.2 For each category of worker listed in Section I except for daily paid or work-charged, is job analysis being undertaken, ie, is there a job description (written statement of duties) and a person specification (statement of the knowledge and skills needed to the job?

12.4



Reply to Questions

(Principal source in bold) Effective recruitment depends upon clearly identifying the requirements of the job and the type of individual best suited to the work. Subsequent performance evaluation, upon which promotions and transfers ideally should be based, will also require this information.

Head of Public Service Senior Administrator Functional Head

Job advertisements and applications

12.4.1 How are job advertisements disseminated. Are eligible groups targeted and, if yes, how?

Dissemination of job application forms to eligible groups supports the hiring of qualified staff. Limited dissemination of job advertisements may indicate abuses of the system (eg, patronage).

Head of Public Service Senior Administrator Head of Body Responsible for Recruitment



12.4.2 Do job advertisements include a summary of the job description and person specification?

12.4.3 Is a standard job application form used for: (a) each category of worker (b) throughout the public service?

12.4.4 Who is responsible for the design, updating and supply of job application forms?



Reply to Questions

(Principal source in bold) Inclusion of the job description and person specification supports fairness of the recruitment process and hiring of appropriately qualified staff.


The use of common and standardized application forms supports fairness of the recruitment process and more efficient processing of job applications.


This establishes accountability.






Reply to Questions


12.4.5 Do job application forms reflect current administrative procedures, eg, is their use specified in current administrative manuals? Please specify how it is known what job application form to use.

Outdated job application forms can lead to inefficiencies and errors in the processing of job applications


12.4.6 Do organizational units adapt job application forms for their own purposes? If yes, please specify why.

Standard forms may exist but not be followed. Divergence from agreed standards may undermine other requirements, such as data gathering, information sharing, consistency of service delivery, etc.


12.4.7 Are job application forms reviewed and updated regularly? If yes, are they reviewed ad hoc, or as a whole? When was the last review and update?

Regular reviews and updating of job application forms will ensure that they reflect current administrative procedures and that lack of clarity is corrected.




12.5



Reply to Questions


Administration of recruitment, promotion and transfer

12.5.1 Are standard forms used for processing approvals of recruitments, promotions, and transfers for (a) each category of worker (b) throughout the public service

The use of common and standardized forms supports fairness of the recruitment, promotion or transfer process and more efficient processing of transactions.

Head of Public Service Senior Administrator

Standard forms and procedures may exist but not be followed. Divergence from agreed standards may undermine other requirements, such as data gathering, information sharing, consistency of service delivery, etc.


If no, please explain why. 12.5.2 Do organizational units adapt for their own purposes the forms or procedures for approving recruitments, promotions, and transfers? If yes, please specify why.





Reply to Questions


12.5.3 What guidelines exist for the forms and procedures for approving recruitments, promotions, and transfers? Are the guidelines followed? If not, please specify why? Is there monitoring or auditing for compliance?

Guidelines will help ensure the efficient processing of transactions, but they will not be effective unless they are being followed. Compliance monitoring can help to ensure that guidelines are followed.


12.5.4 For the approval of recruitments, promotions and transfers, how many steps do forms have to go through before final approval is given?

Forms must be reviewed and/or signed by several persons can be an indicator of inefficiencies in the business process. Some reengineering of the process may be called for to reduce the number of steps involved

Senior Administrator Head of Public Service





Reply to Questions


12.5.5 What records are created to document how recruitment, promotion, or transfer to an individual post was handled?

Records should exist to provide documentary evidence that these processes are fair.


12.5.6 If records to document recruitment, promotion, or transfer to a post are created, do they contain evidence of any exceptions to normal recruitment, promotion, or transfer procedures?

Records should exist to provide documentary evidence that these processes are fair.


12.5.12 Has responsibility for the management of these records been assigned? If yes, to which officer or department?

This is to establish accountability.





Career paths and training

13.1

Career paths

13.1.2 Are public servants ever employed outside job classification structures? If yes, please explain why and give examples.

Reply to Questions


13

13.1.1 For each category of worker listed in Section I except for daily paid or work-charged, is there one or more documented position classification system(s) that identifies families of jobs with distinct skills, requiring distinctive career management?


Effective management of the public service is supported by rational job classification structures that set out a clear path of progression for the career of individual public servants and ensure equitable distribution of pay.


The benefits of a rational system of job classification and remuneration cannot be realized unless the system is in use.






Reply to Questions


13.1.3 Is there a link between documented job classification structures and the records which document authorized posts and individual career paths? Please specify how this link is made.

For effective management of the public service, it is important that records documenting authorized posts indicate which job classification and pay category the posts falls into. Records documenting the career path of individual public servants should indicate their job classification and pay scales over time.


13.1.4 When was the last time job classification structure(s) were reviewed and updated?

Job classification structures that have not been updated within the last five years may have become outdated and pay scales may not reflect current economic realities.


13.1.5 Where are job classification structures printed or published?

For human resources plans to serve their business purposes effectively, they must be accessible.




13.2



Reply to Questions


Career history (Note: Records that document an employees’ career history are critical to effective human resource management. Assessors should also respond to the questions relating to Procedures in Section 2.)

13.2.1 For each category of worker listed in Section I except for daily paid or work-charged employees, is there a ‘master’ official record (eg, personal file) from which it is possible to access a complete and reliable history of the career of each public servant

Information on individual public servants may exist in a number of different files and record keeping systems, as well as a personnel management information system. There must, however, be a definitive source (eg, a master personal file) that is reliable and complete and that can provide authoritative (or evidentiary) information about a public servant on which to base key decisions.






Reply to Questions

(Principal source in bold) The designation of the master record does not have to imply that there will be a single personal file for each employee; rather, there must be a clear distinction the records that contain the authoritative information, and those that contain duplicate or non-vital information and exist for convenience (eg, a departmental or running file).

13.2.2 Are the master personal records always accessible when needed? If not, please explain why.

The records will not serve their purpose as the authoritative or evidentiary record unless they are accessible.






Reply to Questions


13.2.3 Who is responsible for the safe custody and management of the authoritative personal records or master personal files? If this responsibility is transferred during the records’ life cycle, please provide details.

This establishes accountability for security, access, etc.


13.2.4 Are there guidelines or instructions (such as a set of rules or procedures manual) for managing the authoritative personal records or master personal files throughout their life cycle? If so, where are they printed or published?

The security and accessibility of records is supported by the establishment of systems and controls for their management.




13.2.5 Who is responsible for ensuring that guidelines or instructions are followed?



Reply to Questions

(Principal source in bold) These systems and controls will not be effective, however, unless they are followed. Compliance audits of systems and controls can help to ensure that they are followed.





Reply to Questions


14

Payroll administration

14.1

Structure of the payroll

14.1.1 Is there a central or standard payroll system common to all categories of public sector workers? If yes, please provide brief details. If there is no central or common payroll system, please indicate the number of different payroll systems and which categories of workers they include.


This establishes the nature of the payroll system. In some countries there is no common integrated payroll system. Rather, each government department operates a separate payroll system. Even in countries where there is a common payroll system for public servants working in the core administration, there may be separate systems for other categories of public service workers.

Head of Finance Head of Treasury Senior Administrator





Reply to Questions


14.1.2 For each payroll system, please indicate whether the institution, department, or agency covered by the system receives a block budget subvention or grant to cover its operating costs, including pay and benefits.

This indicates whether there is a strong rationale for having several different payroll systems, eg, where departments, agencies or different levels of government operate autonomously, or whether the different payroll systems could be rationalized.


14.1.3 Are there mechanisms in place to bring together information from different payroll systems and track payroll expenditure on a consolidated basis?

In order to manage public expenditure effectively, where there are a number of different payroll systems, a central department/agency (eg, the finance department) must be able to consolidate expenditure for pay and benefits.






Reply to Questions


14.1.4 Indicate whether (a) systems and control exist to ensure that consolidated figures are complete and reliable (b) systems and controls are being followed (c) systems and controls are being audited for compliance.

The temptation always exists for departments or other agencies providing consolidated figures to manipulate the numbers so that they look more favourable. Systems and controls must exist, must be followed and must be monitored to ensure that consolidated figures are reliable.


14.1.5 If these systems and controls exist, do they permit a ‘real time’ view of payroll expenditure, or is there a time delay? Please specify the length of any delay.

A real time view of expenditures will permit more effective public expenditure management. Lengthy delays in the tracking of expenditure on pay and benefits could prevent the government from averting a cash flow or fiscal crisis.






Reply to Questions


14.2 Payroll production systems (Note: If there are different payroll systems for different categories of workers, respond separately to the questions below for each system. Also, if the system is computerized respond separately to the questions in Section 2 related to IT systems) 14.2.1 What systems and controls are in place to ensure that pay is issued only to authorized persons (eg, those filling authorized/budget approved posts or daily paid workers).

These systems and controls are required to prevent payroll fraud and errors.


14.2.2 What systems and controls are in place to ensure that payroll records are accurate and up-todate (eg, all employees are at the correct rate of pay; transferred, terminated or retired employees are no longer on the payroll, pay is not issued to ‘ghost’ workers)?







Reply to Questions


14.2.3 What systems and controls are in place to ensure that departments do not exceed their approved budgets for pay and benefits?

Expenditure on pay and benefits cannot be managed effectively in the absence of hard budget constraints on departments.


14.2.4 What systems and procedures are in place to ensure that changes to the payroll are authorized and verified?



14.2.5 Do payroll records clearly show all forms of pay and benefits (ie, wages/ salaries, taxable allowances and benefits) and deductions for each employee?

Expenditure on payroll cannot be tracked and controlled effectively if costs for pay and benefits are hidden in the budget or accounts. The budget and accounts must be structured so that these categories of expenditure are completely transparent.




14.2.6 Do accounting records clearly distinguish costs for pay and benefits from operating expenses?

14.3



Reply to Questions

(Principal source in bold) Costs associated with all types of personnel must be clearly distinguishable in the accounting system from other operating expenses in order to prevent any inappropriate subsidy of personnel costs from program funds.

Head of Finance Senior Administrator Chief Accountant Auditor General

Payroll data entry

14.3.1 Are common standard data entry form(s) used for adding employees or making changes to the payroll?

Standard forms facilitate compliance, consistency, information sharing, etc.

14.3.2 Who is This establishes responsible for the accountability. design and distribution of data entry forms?

Senior Administrator Head of Payroll Administration






Reply to Questions


14.3.3 Do organizational units adapt forms for their own purposes? If yes, please specify why.

Standard forms may exist but not be followed. Divergence from agreed standards may undermine other requirements, such as data gathering, information sharing, consistency of service delivery, etc


14.3.4 Are data entry forms specified in a current administrative manual? When was the manual issued or last updated?

Outdated forms can lead to inefficiencies and errors in the processing of job applications.


14.3.5 Are there inconsistencies in the way forms are completed. If yes, please specify

Inconsistencies may cause inefficiency and errors in the payroll process.






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14.3.6 How are forms that are used to update payroll records linked to the records documenting the career history of employees (eg, they are placed on personal files)?

It is important to provide a link between forms used to change or update payroll records, the actual payroll record, and the career history of employees. This will ensure an audit trail to verify the completeness and reliability of payroll records.


14.3.7 How are payroll records and payroll change forms (eg, data entry forms) stored in the jurisdiction being assessed?

Problems with accumulation and storage of payroll change forms may indicate a difficulty in providing an audit trail to ensure completeness and reliability of the payroll.




14.4



Reply to Questions


Contract and daily paid/work charged workers

14.4.1 What systems and controls are in place to ensure that pay is issued only after contract or daily paid work has been completed satisfactorily?

A mechanism is required to ensure that work is completed satisfactorily.


14.4.2 What systems and controls are in place to ensure that daily paid or contract workers whose work assignment is complete are removed from the payroll?

A reliable mechanism is required to remove these workers from the payroll.




14.5



Reply to Questions


Payroll audit

14.5.1 Are there internal and/or external agencies (eg, internal audit and auditor general) that have a mandate to verify that all the systems and controls are functioning properly?

Effective public expenditure management depends upon the operation of payroll systems and controls. To ensure that these systems and controls are operating properly, they must be audited for compliance.

Head of Finance Head of Treasury Senior Administrator Auditor General

14.5.2 If yes, when did the last internal and/or external audit take place and what follow action was required?

Effective public expenditure management depends upon the operation of payroll systems and controls. To ensure that these systems and controls are operating properly, they must be audited for compliance.

Head of Finance Head of Treasury Senior Administrator Auditor General



15



Reply to Questions


Individual performance management (Note: If the reply to Question 15.1 is ‘no’ the remaining questions will not apply.)

15.1 For each category of public sector worker identified in Section I with the exception of daily paid or work charged employees, are there requirements for regular, formal, performance appraisal of individual employees? 15.2 What records are created as part of the performance appraisal process? How are these records linked to the records documenting the career history of employees (eg, they are placed on personal files)?

This establishes whether formal performance appraisal is carried out.

Head of Public Service Senior Administrator Head of Department

Performance appraisal records are a key part of an employee’s career history, for example, when considering suitable for promotion, transfer, etc.






Reply to Questions


15.3 Are there written organizational goals/ objective, strategic and annual action plans, and unit action plans to assist in developing performance objectives?

Developing performance appraisal objectives in alignment with organizational goals and objectives will ensure that individual employees make contributions to the realization of organizational plans. It also will help to support fairness in the appraisal process.


15.4 Are performance appraisal guidelines documented and published? If yes, where are they published?

Performance appraisal guidelines will assist supervisors in conducting annual performance appraisals and will support fairness in the process. Guidelines will not be effective if not accessible.


15.5 If there are performance appraisal forms/templates, do staff find them easy to complete? If no, please say why.

Unclear forms/ templates can undermine effective operation and compliance with the performance appraisal system.






Reply to Questions


15.6 Can past performance appraisals always be accessed as needed to meet legal and accountability requirements?

Older performance appraisals for individual employees may be needed in case a dispute arises about past performance as could be the case in a union or legal action.


15.7 Is there a link between performance appraisals and current and previous years’ action plans for performance improvement? If yes, how do the records and information systems support this link?

Effective performance appraisal entails using the previous year’s performance appraisal to guide the current year’s performance appraisal.


15.8 What systems and controls are in place to track followup actions arising from performance appraisals?

Effective performance management relies upon having systems and procedures to follow up on actions arising from the performance appraisal (eg, disciplinary action, promotions or training).






Reply to Questions


15.9 If there is a tracking system, how does it identify actions that are outstanding?

A performance management tracking system that tracks outstanding action will support effective follow-up.


15.10 Is ‘action tracking’ used to trigger a response when time limits for action are reached?

A performance management tracking system that tracks outstanding action will support effective follow-up.


15.11 Do records and information systems support links between performance appraisals and human resources plans? If yes, please say how.

Effective public service management will be supported by the use of performance appraisals in human resources planning (eg, using performance appraisals to target individuals for retrenchment).


15.12 Do records and information systems support links between performance appraisals and training plans. If yes, please say how.

Effective public service management will be supported by using performance appraisals to help to identify training requirements.




16



Reply to Questions


Service standards and measurement

16.1 Is the following information about the public service available? (a) size by category of public sector worker (b) size by professional cadre (c) size by department/ agency (d) composition by gender (e) composition by other relevant categories (please specify) (f) total wage bill (eg, wage/ salaries, allowances, benefits)

Effective design and management of public sector reform initiatives and effective management of the public service depend upon the availability of management information as the basis for analysis and monitoring.

Head of the Public Service Head of Finance Head of Planning Senior Administrator



(g)



Reply to Questions


civil service performance (please specify how this is measured.

16.2 If information about the size, composition, wage bill, etc, of the public service is collected, please state the office that collects and updates the information. Where is the information published?

Effective design and management of public sector reform initiatives and effective management of the public service depend upon the availability of management information as the basis for analysis and monitoring


16.3 How is information about the size, composition, wage bill, etc, of the public service verified for accuracy?

Information about the public service must be accurate and reliable if it is to be used for analysis and as the basis for decision making.




17



Reply to Questions


Enforcement and disciplinary issues (Note: If the reply to Question 15.1 is ‘no’ the remaining questions will not apply.)

17.1 Is there a formal procedure established in writing for conducting disciplinary hearings. If yes, where is the procedure published and how is it disseminated? 17.2 Are there guidelines on how enforcement/ disciplinary cases are to be documented and how long the records of these cases are to be kept? If yes, please specify.

This establishes the procedures for disciplinary hearings.

Head of the Public Service Senior Administrator

Effective administration of enforcement/ disciplinary cases will be supported by such guidelines. They will also support fairness in the process.






Reply to Questions


17.3 Who has access to information and records about enforcement and disciplinary cases?

Disciplinary cases are highly sensitive. To protect the confidentiality of the information and ensure fairness in the process, confidentiality requirements should be established, documented and published.


17.4 How are records relating to enforcement/ disciplinary cases linked with the individual’s career history? Please specify (eg, records are kept on the personal file).

Effective human resource management relies upon there being some link between the individual’s career history and the record of any enforcement/ disciplinary cases in which the individual may have been involved. Without such links managers and supervisors may be unaware of an employee’s past performance or actions




17.5 Are there systems in place to track the number, progress and outcome of enforcement and disciplinary cases? If yes, please specify.



Reply to Questions

(Principal source in bold) Effective administration of enforcement and disciplinary cases is supported by methods to track the progress and outcomes of cases.




18



Reply to Questions


Downsizing

18.1 Is there currently a freeze on recruitment, filling vacancies, or creating new posts? If yes, please specify the order that introduced the freeze and when it came into effect.

This establishes whether an attempt is being made to reduce the size of the public service.


18.2 If there is a freeze on recruitment, filling vacancies or creating new posts, are exceptions allowed? If yes, who authorizes the exceptions?

A freeze may not be effective if recruitment, etc, can still take place in ‘exceptional’ circumstances.


18.3 Are there complete and current lists of employees close to retirement or with long service accessible on a timely basis? If yes, how are these lists compiled?

Many downsizing exercises employ a voluntary early retirement scheme. In order to implement such schemes, lists of employees close to retirement or with long service will be needed






Reply to Questions


18.4 Is complete and current information available about individual employee’s length of service (eg, number of years)? If yes, how is this information kept up to date?

This will be necessary to implement voluntary early retirement schemes and also, in some jurisdictions, to avoid the forced absorption of daily wage and contract employees.


18.5 Are public service employees able to work beyond normal retirement age? If yes, which office or body authorizes such extensions?

Ability to work beyond retirement age may be a factor in controlling the size of the public service.


18.6 Are performance appraisal records available for use in planning downsizing exercises?

Performance appraisals can be useful in selecting employees for retrenchment in a downsizing exercise.





Pension arrangements

19.1

Pension processing

19.1.2. Is concern expressed about delays in processing pension claims? If yes, please give examples of individual complaints.

Reply to Questions


19

19.1.1 Is there complete and current information available about employees eligible for retirement within a given time prior to their retirement date? If yes, how is this information compiled? How long before retirement dates is this information available?


The availability of this information will promote efficient processing of employees’ first time pension claims. Delays may pose great hardship for retired public servants.

Head of the Public Service Head of Pension Administration Senior Administrator

This establishes whether there is a problem of delays in processing pensions.






Reply to Questions


19.1.3 What records are used as the basis for calculating pension benefits? Please specify. How are these records, or the information they contain, made available to the office

Calculation of pension benefits must be bases on authoritative and accurate information.


19.1.4 Are the records available after processing of a pension claim is complete, in the event that evidence of pension entitlement is required? Please specify how the records are stored and accessed.

Records indicating pension entitlement must be retained in case of a legal dispute over pension entitlement. In some countries, retention of these records is required by law




19.2



Reply to Questions


Pension funding

19.2.1 Who is responsible for calculating the total current commitment for pension payments? How is this information compiled?

Effective public expenditure management depends upon being able to produce accurate calculations regarding total current commitments for pension payments.


19.2.2 What information is available concerning total pension payments for a given period? How is this information compiled, and by whom?

Systems should be able to generate accurate calculations regarding future pension payment commitments for the purposes of budget forecasting. This is particularly useful during downsizing exercises involving a voluntary early retirement scheme, as the pension commitment associated with such schemes can be considerable.

