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micro-activities

     Unclassified PUMA/HRM(2002)3/FINAL

     Organisation de Coopération et de Développement Economiques

     Organisation for Economic Co-operation and Development 20-Dec-2002

     ___________________________________________________________________________________________ _____________ English - Or. English PUBLIC GOVERNANCE AND TERRITORIAL DEVELOPMENT DIRECTORATE

     PUBLIC MANAGEMENT COMMITTEE PUMA/HRM(2002)3/FINAL Unclassified

    OECD SURVEY ON STRATEGIC HUMAN RESOURCES MANAGEMENT

     Human Resources Management (HRM) Working Party Meeting OECD Headquarters, Paris, 7-8 October 2002

     This document is the final version of PUMA/HRM(2002)3 presented to the Human Resources Management Working Party Meeting held on 7-8 October 2002, which accommodates various comments made by OECD Member countries. Please send your completed questionnaire to Deok-Seob Shim at the Secretariat no later than 31 March 2003.

     For further information, please contact Deok-Seob SHIM Tel: +33 (0) 1 45 24 17 58, Fax: +33 (0) 1 45 24 17 06, E-mail: deok-seob.shim@oecd.org English - Or. English

     JT00137127 Document complet disponible sur OLIS dans son format d'origine Complete document available on OLIS in its original format

    PUMA/HRM(2002)3/FINAL

    OECD SURVEY ON

    STRATEGIC HUMAN RESOURCES MANAGEMENT

Objectives of the Survey

    1. In the area of traditional or core HR management, there is a large array of micro-activities including recruitment, training & development, promotion, performance, pay and incentives, conditions of employment, classification, and senior civil service. There are also many macro issues such as the legal framework of HR management, size of the workforce, openness of the posts, managerial flexibility, role of the central HRM body, and decentralisation & devolution.

    2. It should be noted that HR policy and management are at the centre of public sector capacity of future governments. How governments should manage their human resources will be the key to the success of change as well as to enhanced productivity in the public sector. In this respect, collecting basic information on HRM systems would be the first but essential step for exploring new issues in the HR management area.

    3. The goal of this survey is to analyse HRM policies and systems across OECD Member countries, and make a cross-national comparison on the governance of civil service and civil service reforms. The survey gathers both quantitative and qualitative information and data on HR management in the public sector, which will eventually help Member governments to adapt their HRM strategies to a changing environment.

    Scope of the Survey

    4. The survey will cover only HRM systems and policies. It is very usual for discrepancies to exist

    between the system itself and its practice in any one country. Due to the subjective nature of examining practices, however, the survey will exclude the practice aspects. In order to avoid redundancy of data collection, the areas of knowledge management (a new survey was launched) as well as public service ethics (a separate survey was carried out) will be excluded from the survey.

    5. Nearly all aspects of HRM systems will be covered in the Survey. They can be categorised as

    follows: 1) institutional arrangements governance of HR management such as basic laws on the civil

    service, civil servant status, and central HRM body; 2) institutionalised HR systems such as recruitment, training and development, promotion, and classification; and 3) motivational aspects of HR systems which drive civil servants to enhance performance such as performance management, pay and incentives, working conditions, and industrial relations.

    6. In addition to the static information, the survey includes dynamic aspects to review the HRM

    developments during the past five years. In each section, the survey requests respondents to describe major changes or developments that have occurred during the fast five years. It will provide development trends in each HRM area.

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PUMA/HRM(2002)3/FINAL

    Survey methodology

    7. The survey is in the form of a questionnaire, with the target group of OECD Member countries.

    All OECD Member countries are encouraged to participate in this survey. The questionnaire comprises

    “tick-the-box” items and “open question” items. The former will help us to compare data across countries, while the latter will enrich the contents and quality of data collected. For comparative purposes, some indicators will be established in advance for some possible areas.

    8. The survey will be carried out biennially. For the second survey, the administrative burdens of

    Members will be significantly reduced because they can just revise their previous responses. In order to enhance the degree of validity and reliability, the survey will make use of peer reviews from HRM

    networks as well as external experts in the process of analysing data.

    Output of the Survey

    ; Basic source for HRM developments. The results of the survey will be presented at the HRM

    Working Party meeting and the Public Management Committee if necessary, as a background

    paper on HRM development trends.

    ; Publication on comparative analysis of HRM systems. The data will be worthy of comparison

    between countries, because data collected allow for common standards. Comparative analysis will

    provide Members with benchmarking standards and will contribute to academic knowledge in this

    field. The first edition of this publication will be available during the third semester of 2003.

    ; Basis for further study. When the survey becomes systemised, OECD’s HRM projects can be

    based on factual foundations. OECD can identify problems and challenges faced by Member

    countries from these data sets.

    ; Continuous provision of information. The country data will be posted on the HRM Electronic

    Discussion Group site so that every network member can consult the data as freely as he/she

    wishes.

    Publicity of information

    9. Please note that all results of the survey will be made publicly available, unless specifically

    requested by the respondent.

    Target respondents

    10. The HRM survey will be carried out for the central (federal) level government only, unless

    specifically indicated in the questions. Main target respondents are the HRM Working Party Members, who may co-ordinate responses from different sections within their government depending on the structure of ministries/departments.

    Process and deadline

    11. This survey offers, with some exceptions, the “tick-the-box” format: for each question, please

    tick the boxes which correspond to your answer(s). For open questions and comments, please fill in the blank space provided.

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    PUMA/HRM(2002)3/FINAL

    12. HRM Working Party members are cordially requested to designate a coordinator for the survey in their governments, and to inform the Secretariat of the name of the coordinator by 31 January 2003.

    13 Respondents are kindly asked to return the filled-in questionnaire by 31 March 2003.

    Comments and inputs received

    14. At the HRM Working Party Meeting held on 7-8 October 2002, delegates made useful and fruitful comments and inputs to the draft of the questionnaire. Apart from some technical comments on the questionnaire items, two issues were raised: possible duplication of the data collection with the EU, and the length of the survey.

    15. The Secretariat has discussed the issue of data collection with the Chair of the HR Working Group in the EU. As a result, it was revealed that although the EU has collected some data in the field of recruitment and performance related pay, this survey does not duplicate their data collection. As for the size of the questionnaire, the Secretariat tried to reduce the volume of the survey by dropping several items. But some delegates requested to include other items and issues to the survey. As a result, the total size of the survey has been reduced a little bit compared with the original questionnaire.

    Contacts

    16. Should you meet any difficulty in filling in the survey, please do not hesitate to contact Deok-

    Seob Shim at the Secretariat. Please send the filled-in questionnaire to:

    Mr. Deok-Seob SHIM

    Project Manager

    Budgeting and Management Division

    Directorate for Public Governance and Territorial Development (GOV)

    OECD

    2, rue Andre-Pascal,

    75775 Paris Cedex 16

    FRANCE

    Tel: +33 1 45 24 17 58

    Fax: +33 1 45 24 17 06

    E-mail: deok-seob.shim@oecd.org

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    PUMA/HRM(2002)3/FINAL

    TABLE OF CONTENTS SECTION 1. LEGAL BASIS FOR HUMAN RESOURCE MANAGEMENT (HRM)

SECTION 2. ROLE OF THE CENTRAL HRM BODY

SECTION 3. SENIOR PUBLIC SERVICE (SPS)

    SECTION 4. CIVIL SERVICE CLASSIFICATION AND ITS STATUS

SECTION 5. RECRUITMENT AND SELECTION

SECTION 6. TRAINING AND DEVELOPMENT

SECTION 7. PERFORMANCE MANAGEMENT (PM)

    SECTION 8. PAY DETERMINATION AND PERFORMANCE-RELATED PAY (PRP)

    SECTION 9. INDUSTRIAL RELATIONS AND WORKING CONDITIONS

    SECTION 10. EQUAL EMPLOYMENT OPPORTUNITIES (EEO)

    SECTION 11. HRM DEVELOPMENTS DURING THE PAST 5 YEARS (1996-2001)

    SECTION 12. CHALLENGES AND PROBLEMS OF THE FUTURE

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    PUMA/HRM(2002)3/FINAL SECTION 1. LEGAL BASIS FOR HUMAN RESOURCE MANAGEMENT (HRM)

    In your government, do you have specific law(s) or regulation(s) which describe the basic rules for 1.1.

    human resources management of public servants? (Different countries refer to them as Civil

    Service Act, or National Civil Service Act, or Public Service Act, etc.)

     Yes

     No (please go to Section 2)

    If yes, please list the law(s) and/or regulation(s) (which will be referred to as “Law(s)” 1.1.a

    hereafter).

    Among the following HRM areas, please tick all the items that the above-listed Law(s) deal(s) 1.2.

    with.

     Definition of public servants Performance management

     Role of central HRM body Remuneration/wage

     Number of public servants Pension

     Classification of public servants Rights/obligations of public servants

     Grading/ranking Ethics of public servants

     Recruitment/appointment Disciplinary action and procedures

     Promotion Industrial relations (labour union)

     Training/career development Retirement

     Others (please specify)

    What are the basic values of the public servants which are specifically stipulated in your Law(s)? 1.3.

     Legality Justice

     Impartiality Integrity

     Efficiency Responsibility

     Transparency Equality

     Others (please specify)

    Please indicate the specific references to the relevant laws here:

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    PUMA/HRM(2002)3/FINAL

If your government made significant revision of the Law(s) over the past five years, please describe 1.4.

    the changes made while indicating the specific years.

In order to understand and compare the scope of public employment in OECD Member countries, 1.5.

    please tick the relevant box (or boxes) which is/are appropriate for your government’s case. If

    available, please provide the number of employees for each category.

Activity performed Under civil service Under a contract Under a specific Under the system

    status governed by system governed by governed by the

    public law private law labour code Core functions of the

    state Regional, local and municipal government Public health services

    Education

    Research

    Police

    Military staff

    Commercial public

    services Social security

    Other (specify)

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    PUMA/HRM(2002)3/FINAL

    1SECTION 2. ROLE OF THE CENTRAL HRM BODY

Does your government have a central HRM body (or bodies) which co-ordinates HRM activities 2.1.

    for all ministries/departments/agencies?

     Yes

     No

    If no, who has the legal responsibility to take decisions on HRM policies? Please specify 2.1.a

    and go to Section 3.

Please list the name(s), organisational types of the central HRM body (bodies), and levels of the 2.2.

    heads of HRM body (bodies).

    Name(s) Types

    Levels of Heads Department/Commission Others

    (please describe) ministry

    e.g.) Civil Service Commission Minister level

    1.

    2.

    3.

    How many staff belong to the central HRM body (bodies) which are indicated in 2.2.a

    Question 2.2? Please do not include the number of HRM staff working for a specific

    ministry or department.

     Less than 50 50 99

     100 199 200 or more

    If available, please provide the exact number of staff. ( people )

    1. Central HRM Body refers to the ministry/commission which takes charge of formulating and

    implementing HRM policies applied to all public servants of the government, or to all employees in the

    central government (in some countries, this group is referred to as “Civil Service”). Some countries have a

    separate ministry or commission for this function. In other countries, the Ministry of Finance or the

    Ministry of the Interior takes charge of the central HRM function.

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    PUMA/HRM(2002)3/FINAL

Please select one statement which describes the relationships between central HRM body (A) and 2.3.

    line ministries/departments/agencies (B) most appropriately in your government.

     (A) has a wide-range of HRM responsibilities from policy formulation to implementation. (B)

    should follow the very detailed guidelines and/or directions of (A) in HR management, with

    very little discretion or autonomy.

     (A) has legal authorities for HRM policy formulation and development of new HRM systems

    in a wide-range of HRM areas. Under quite general policy directions of (A), (B) can enjoy a

    high degree of flexibility in implementing HRM policies and systems.

     (A) has legal responsibilities in certain HRM areas such as those affecting costs, conduct and

    discipline, health and safety, and equal employment opportunities. Other than those areas, (B)

    has the overall responsibility of policy formulation and implementation.

     (A) has a very limited authority for example, screening candidates for senior posts, or

    recommending some policies to Parliament. (B) has the full-range of responsibility and

    autonomy in deciding HR policies for its own staff.

Please indicate whether your central HRM body (bodies) is given the legal responsibility in the 2.4.

    following HRM areas, and how important a role your central HRM body (bodies) plays in practice?

    HRM Policy Formulation Process 2.4.a

     Responsible, Responsible, Not Not responsible,

    and initiative but not an responsible, and no

    role active role but important particular role

    role

    Reforming existing HRM policies

    Introducing new HRM policies

    Processing HRM-related laws

    Playing a role as the State Employer

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    PUMA/HRM(2002)3/FINAL

    Personnel Management 2.4.b.

     Responsible, Responsible, but Not Not responsible,

    and initiative not an active responsible, and no

    role role but important particular role

    role

    Setting up “Manpower 2Planning” for the entire government

    Determining (ceilings of)

    number of employees for other

    ministries/departments

    Publicising employment

    opportunities for the entire government

    Recruiting/selecting

    candidates for other ministries/departments

    Moving employees from one ministry to another

    Exchanging employees

    between government and private companies

     3Managing Senior Public Service (SPS) If you don’t have an SPS system (see 2.4.c.

    Question 3.1) in your government, please skip this question.

     Responsible, Responsible, Not Not responsible,

    and initiative but not an responsible, and no

    role active role but important particular role

    role

    Developing/managing the SPS system

    Setting up basic terms and conditions of SPS

    Recruiting/selecting candidates for SPS

    2. Manpower Planning refers to an activity of predicting the number of public servants needed sector by

    sector or as a whole in the longer term, and of planning on how to recruit them more strategically.

    3. Senior Public Service (SPS) refers to a unique HRM system in which senior civil servants are grouped

    and managed in a different manner from other civil servants.

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