Ready for Europe? Ready for Europe? Applying a Public - - PowerPoint PPT Presentation
Ready for Europe? Ready for Europe? Applying a Public Administration Assessment Tool (PAAT) Presented to: Presented by: World Bank Staff Barbara Nunberg PREM Knowledge & Learning Week Sector Manager-EAP Washington, DC April 17-19,
Applying a Public Administration Assessment Tool (PAAT)
Presented to: World Bank Staff PREM Knowledge & Learning Week Washington, DC April 17-19, 2007 Presented by: Barbara Nunberg
Sector Manager-EAP
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The context and the problem The approach and basic principles The tool
Methodology Content
Country findings Lessons and Applications
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Countries wishing to join EU needed public
administrations that worked at advanced country levels
Acquis Communautaire requirement Member Countries wanted to look across the
table at “equals”
More broadly, CEE countries needed
modern administrations to compete in global economy
So CEE chasing 2 Rabbits: EU and OECD
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Establish center-of-government
institutions for cohesive policy making
Create dedicated management structures
to move EU accession process forward
Develop Politically Neutral, merit-based,
professional civil service (today’s focus)
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1.
Politicization (fusion of Party cadres and govt. bureaucracy)
2.
Lack of civil service legal framework and oversight institutions (cs statute, redress mechanisms, cs commission or merit protection board)
3.
Fused pay and benefits; low and compressed basic pay
4.
Overstaffing in “budget sphere; ” in deconcentrated local govt.
5.
Lack of modern HRM systems (HRMIS, payroll; job evaluation system)
6.
Lack of performance and or merit-based HR practice (appraisal, pay, promotion)
7.
Lack of competitive recruitment mechanisms
8.
Lack of horizontal mobility across agencies
9.
Highly centralized authority; little delegation
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Public administration requirements for EU
accession: crucial for entry but vague
How to define concrete targets and standards for
assessment?
How to determine the starting point and measure
progress?
How to design targeted reform/ assistance programs?
Need a diagnostic tool to set bar and monitor
actions
Overarching question: What constitutes a modern
civil service?
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Develop analytic framework to assess administrative
capacity and performance for 3 pre-accession countries:
Estonia Hungary Czech Republic
Identify essential – the minimal – characteristics of
advanced administrations
Highlight criteria by which presence or absence of these
“desirable” characteristics determined
Specify range of performance indicators for characteristics Apply indicators across country cases as objective tracking
Framework shows gaps between desired state of
administrative performance and current reality
Framework generates more precise prescription for steps
needed to reach desired status
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Standards distilled from EU members and
No particular model offered; systematic
but flexible definition of international good practice includes basic levels of:
Probity Political neutrality Professionalism and transparency Competitiveness accountability
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More precise prescription for steps (and
technical assistance) needed to reach desired status
Assessment performed by experts in
consultation with self-analysis by country
Methodology remains “work in progress”
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characteristics Score: X. Objective
TA Action Required Evaluat- ion Sum- mary
Performance Indicators and Benchmark Information
Score Good Practice Criteria Ref
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Objective Desirable Characteristics Good Practice Criteria Performance Indicators and Benchmark
Info.
Score Evaluation Summary Action Required Technical Assistance
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Objective = specific dim ensions or goals
associated w ith w ell-perform ing, advanced country public adm inistrations
E.G., All modern civil services governed by legal and
ethical framework.
E.G., Modern civil services have fair and effective HRM
policies and practices
Desirable Characteristics= those attributes
that define reasonably advanced state of developm ent on particular objective
E.G., advanced govt. legal frameworks ensure impartial
treatment of citizens
E.G., staff selection and promotion is open and
transparent and merit-based
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Good Practice Criteria= basis by w hich to
assess w hether govt. possesses desirable characteristic
E.G., Existence of public redress mechanism to air
citizens’ grievance against cs ruling
E.G., Promotion through open, merit based procedures
Perform ance I ndicator/ Benchm ark
I nfo= evidence that govt. m eets criteria ( and som e m easure of quality/ extent)
E.G., Statute providing for establishment of ombudsman
with powers independent of civil service
E.g., Promotion process overseen by third party
(measured by percent of promotion decisions reviewed by assessors unconnected with the decision)
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Nature of indicators varies
Numerical quotient suggests better or worse
performance (i.e. % of staff recruited through advertisement)
Affirmative or negative assessment (i.e. legal provision
for ombudsman)
Som e indicators un-usable due to lack of
data but w orth incorporating for robust, longer term assessm ent and future data collection
Som e indicators precisely linked to EU
norm s
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dim ension/ characteristic
country officials reached consensus
inform ally, on 3 underlying variables:
1 .
Country understanding of issues & types of reform s needed
2 .
Level of govt. com m itm ent to serious reform
3 .
Country capacity to undertake reform s
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Num erical ratings understandably contentious ( Bank
staff blood on floor)
Additional, im portant m atrix colum ns:
Evaluation sum m ary ( qualitative discussion of
assessm ent basis for each criteria)
Action required ( recom m endations for specific actions
to reach good practice on each criteria)
Technical assistance ( aggregated into program m atic
fram ew ork for future international aid)
Findings based on extensive applied research --not
back-of-envelope
I n-country, in-depth analysis and interview s over
several m issions distilled in 3 country case studies
Extensive research on advanced country practice and
norm s to develop applicable m etrics/ standards
E.g. US 1: 394, Sweden 1: 2051, UK no political appointees Is the ratio of political appointees to civil servants similar to good practice? Is there a clear distinction between political appointees and career civil servants? Enforcement measured by absence
electioneering while on duty or on governmental premises Is explicit political activity prohibited by law? The civil service is politically neutral A4 Resemble OECD published civil service codes of conduct Is there an adequate code of conduct or equivalent framework for civil servants? There is a code of conduct
that governs the behaviour
A3 Does the law define which categories and types of staff are civil servants? The scope of the civil service is clearly defined A2 Are there subsidiary regulations describing procedures? Is there a civil service law? The civil service is governed by specific legislation A1
Desirable characteristics
rules/ procedures/ system s for personnel m anagem ent
Conduct
Other Optim al I ndicators Perform ance I ndicators Used & Benchm ark I nform ation Good Practice Criteria
Re f
Evaluation of Civil Service Hum an Resource Managem ent
Disclosure policies widely promulgated within ministries Is civil service policy and performance widely published? Do civil servants have access to their personnel files? Open access to information A8 Is there a data protection act? Data protection A9 Establishment of citizens’ grievance process provided in law Is there an ombudsman provided for in law? Citizens have access to fair and transparent means of redressing grievances with the civil service A7 Observation / sample percent posts complying with provisions (view personnel files) Is there an overall statement on the civil service operating on the basis of an individual’s merit? All EU countries recognise the principle of a civil service
The notion of merit-based procedures established in law A6 Are conflicts of interest inspected formally? Resemble OECD published civil service legal provisions; observation / sample percent disclosure Are there statements on the need to disclose conflicts of interest, which are in accordance with good practice? There are legal provisions to ensure probity, e.g. requirements to disclose conflicts of interest, and which agencies should enforce these provisions A5
Other Optimal Indicators Performance Indicators Used & Benchmark Information Good Practice Criteria R ef
Is there a body with the mandate to undertake independent decisions on the fairness of civil service policies? Key government and civil society actors agree on policy and management organs for CS Does the single institution have sufficient authority to ensure policies are adopted and complied with? Does the single institution have sufficient resources to ensure policies are developed and complied with? Do line ministries’ Human Resources Departments have appropriate capacity in terms of numbers of staff skills? Diverse high-prestige government and non-government composition of oversight body/ies Is the body governed independently from civil service management and political institutions? Does the oversight body have sufficient authority to enforce decisions? There is/are oversight body/ies to ensure fairness of civil service policies B2 Single central institution formulates policy and establishes framework for CS management Is there a single institution to formulate civil service human resources policy? Explicit institutional stipulation in CS law with direct reference to assignments of functions and reporting relationships; no significant debate on legal basis or nature
Does the civil service law define all of the relevant institutions required to manage the civil service? There are clearly defined institutions to develop and coordinate civil service policy B1
Desirable characteristics
clearly defined role and responsibilities
Other Optimal Indicators Performance Indicators Used & Benchmark Information Good Practice Criteria Re f
Is there any evidence of overstaffing in the private sector? Are goods and services as a proportion of government expenditure in line with EU member states? EU wage bill expenditures, as % of (range; median; mean) Goods & services: 24.6% (DE) to 82.2% (EL); 67.4%; 58.9% Total expenditure: 5.6% (SE) to 29.7% (PT); 11.2%; 13.2 Total revenue: 5.7% (SE) to 36.2% (EL); 11.5%; 14.9% Goods & services expenditure as % of total expenditure: 14.2% (SE) to 96% (CH); 19.1%; 22.5% Is the wage bill as a proportion of government expenditure in line with EU member states? EU: 2.7% (EL) to 17.4% (SE); median 7.1%; mean 7.7% Is the ratio of all public sector employees per head of population in line with EU member states? Numbers of civil and public servants are in line with international practice C1 Does the oversight body report on its activities and
Does the mandate of the oversight body cover all relevant policies? Oversight body/ies (cont.) B2 Evidence of active operations, such as public hearing, audit reviews, published reports There is evidence of effective institutions (such as Legislative Committees, Judicial Reviews, National Audit Office) and published reports Resources allocated to oversight tasks match scope of required activities, and capacity to monitor CS behaviour installed Does the oversight body have monitoring and evaluation capacities to monitor civil service management performance?
Other Optimal Indicators / Notes Performance Indicators Used & Benchmark Information Good Practice Criteria Re f
Is there any evidence of shortages of goods and materials, which are affecting administrative performance or service delivery?
Desirable characteristics
provide adequate budget control of personnel expenditure
Are there well-defined lines of technology and systemic lines
budget department in the Ministry of Finance? Is a computerised system operating to support establishment control? Robust, standardised pay and grading system operating throughout CS; no evidence of significant pay discrepancies across agencies or by non-job-related characteristics Is there a system of post-based establishment control? Are regular reports produced to confirm accurate employment information, and credible patterns of intake and attrition? Are % of non-wage allowances and supplements in line with OECD ranges? The compensation system is simple, monetised, transparent and fair C4 Is the grade structure sufficient to provide incentives to advancement without introducing undue complexity/non- transparency? There is a uniform and effective grading structure that optimises decision-making C3 Is there evidence of grade creep to circumvent salary constraints? Levels of pay are sufficiently competitive to recruit, retain and motivate qualified staff at all levels C2 Is remuneration at senior levels appropriate to skills, as indicated by compression ratios? Are turnover rates comparable to EU norms? Private-CS comparator pay surveys show basic competitiveness EU annual gross average earnings public relative to private sector: range 1.02 (UK) to 1.64 (PT) EU turnover rates: range 0.9-1.2% (UK) to 10% (SE) EU compression ratios: range 4.6 (FR) to 9.8 (UK) Is the ratio of civil service to private sector pay in line with EU
Other Optimal Indicators / Notes Performance Indicators Used & Benchmark Information Good Practice Criteria R ef
Is there predictability and containment of personnel costs in the budget?
Personnel staff available with training in staff inspection and forecasting methods? Are human resource practitioners trained in the use of personnel management information systems? Personnel information available on skills, age, experience, placement, and attrition rates? Can a system be demonstrated that registers basic personnel information for the entire civil service, containing personal characteristics such as education and skills, personnel actions, appraisal results, training and career history? Effective personnel information systems are in place D2 Evidence of forward staffing plan prepared? Is there a national planning strategy and procedure for deployment of civil servants throughout the structure? There are effective planning arrangements for deployment of civil servants D1 Is the personnel management information system used effectively in decision making?
Desirable characteristics
management decisions
and feedback to individuals
There is a pensions system that is affordable, effective and fair
C5 Is there independent audit of the pension fund and system? Is the pensions system based upon sound actuarial practice? Desirable characteristics include: “stable, reliable, sufficiently flexible to adjust to economic, demographic and other changes … easy to understand and administer … perceived as fair and there is a clear relationship between performance – as measured by earnings – and pensions. Benefits and costs are reasonable and predictable” (SIGMA Policy Brief No. 2, Civil Service Pension Schemes) Is the construction of the pensions system in line with best practice?
Other Optimal Indicators Performance Indicators Used & Benchmark Information Good Practice Criteria Re f
Numbers of disciplinary cases where action taken; percent appealed; and change since transition Are statistics held on the number of disciplinary hearings and their outcomes? Are there common objective criteria for disciplinary action?
There are disciplinary procedures based upon transparent and fair principles
D6 Spot survey of staff views on fairness of promotion process Is there recourse to appeal for promotion grievances? Results of promotions published? Are the procedures open and transparent? Is the process used consistently across the civil service? Percent of promotion decisions reviewed by independent assessors Is the process overseen by a third party? Is there a written process of conducting hearings? Are categories of appraisal similar to best practice? Is the appraisal linked to other human resources procedures? Evidence of written appraisals for last two years available for review? Percent of posts currently being evaluated equivalent to EU member country administrations Is there a formal unified performance appraisal system? Are performance appraisals undertaken on a regular basis for all staff?
Performance evaluation is
and focused on performance improvement and career development
D4 Is recruitment process checked by multiple reviewers? Are job descriptions prepared and utilised? Public exam with selective success for recruitment? Is there a competitive process including objective assessment for recruitment? Are all posts advertised publicly to ensure equal competition for posts?
Recruitment is based upon merit
D3 Are there consistent practices across the civil service? Is there a uniform process, with legal basis, for making promotion decisions?
Promotion is open and transparent, and based upon merit
D5
Other Optimal Indicators Performance Indicators Used & Benchmark Information Good Practice Criteria
Re f
Are there defined procedures for evaluation training courses? Is there a sufficient range of public and private sector providers to compete for training provision? Training provision is sufficient to meet the requirements of the civil service E3 Have options been considered for contracting out training provision? Are there specific training budgets identified in the state budget? Training budgets are sufficient to implement the training policies, within fiscal constraints E2 Is the level of training expenditure consistent with international practice? Does training evaluation examine relevant of training, and cost effectiveness? Training evaluation is undertaken to identify the relevance and cost effectiveness of training E4 Evaluation criteria for trainees, based on benchmarks devised from wider EU experience Are trainees utilised well-placed in the civil service upon completion of training? Is there institutional capacity for developing training policies at different levels? Completed training needs analysis? Documented strategy? Is there a national training policy based upon training needs analysis? Is there clear responsibility for civil service training policy? There is an appropriate training system to re-skill staff to prepare new recruits and develop existing staff E1
Desirable characteristics
responsibility assigned for training policy formulation and implementation
Other Optimal Indicators Performance Indicators Used & Benchmark Information Good Practice Criteria Re f
Are service standards as published, e.g. in a citizens’ charter? Are standards published for public services? Service delivery is based upon public consultation regarding priorities and standards of service F2 Are standards based upon public consultation? Are there clear mechanisms for delegating decisions and holding individuals to account for their performance (in terms
Are budgets devolved decision-makers? Decision-making is placed at the lowest possible level to ensure effective management and service delivery F1
Desirable characteristics
Other Optimal Indicators Performance Indicators Used & Benchmark Information Good Practice Criteria R ef
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Going in, CEE had large “institutional overhang”
from previous era; govts. had redefined state functions from “rowing” to “steering” but in early transition, public administration reforms moved more slowly than expected.
Still, administrative reform progress on several
fronts:
Credible efforts to delineate legal and institutional basics
for professional, depoliticized cs
Formal restrictions on political appointments and
activities in place, helping to constrain partiality
Affordable govt. employment levels for general govt. (in
some cases, achieved through downsizing)
Effective policy making structures being established Effective EU integration institutional apparatus created
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performance incentives
(compressed, non-competitive) to attract and retain needed skills; mitigated by proliferation of opaque non-salary benefits/ allowances
automatic, seniority-based
“europeanize” selected functions: drivers licenses, passports, auto inspections
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Rabbit pow er – EU ( regional) m odel
provides useful m odel tow ards w hich country civil service can strive
Possible and helpful to break dow n soft and
hard aspects of HRM into concrete features and actions ( a la PEFA)
Most useful w hen tied to m onitoring,
program m ing, and resourcing of reform initiatives
Transition is a relative ( but universal)
construct; even countries at m ore rudim entary starting points and som e advanced countries and organizations can still progress along these PAAT dim ensions
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