Plan Patriota: 58 

125 Part II: Human Resources Assessment

It may be preferable to use an external consultant to carry out the assessment who has no stake in the existing arrangements. However it is important that the process is as open as possible and that key stakeholders are given feedback. Where judgements are made, those affected should be invited to review the opinion and ideally agree the results. This may involve some negotiation.

Data is gathered to complete the Levels of Responsibility Matrix and the Training Needs Assessment by means of the structured questionnaire, normally by means of interviews with key stakeholders such as:

• Accountant General

• Head of the National Records and Archives Institution

• Head of Personnel, Ministry of Finance

• Head of Personnel, spending ministry

• Head of Personnel, revenue gathering ministry

• Representative, Civil Service Training College

• Records Manager, National Records and Archives Administration

• [Sample of records and accounting staff at different levels as appropriate].

It is important that as many records and accounting staff are interviewed as possible, within time and resource constraints, in order to get a balanced picture of skills and training needs. Relevant documentation and legislation should also be studied, including the schemes of service for both records and accounting staff.

The process is an iterative one. It is good practice to verify facts by cross checking statements from more than one source. A blank Levels of Responsibility Matrix should be completed showing the staff structures in the country under assessment. Differences between the model and the reality should be highlighted and drawn out in the report to management. The Competencies Framework summarises the skills and knowledge needed at different functional levels to manage financial records. It incorporates both financial and records staff. It can be used as the benchmark for assessing training needs for specific staff. It is also a useful tool for preparing job descriptions for specific posts and for recruiting new members of staff for particular posts.

To plan a training programme and identify training needs there are a number of issues that must be considered before the assessment commences.

Part II: Human Resources Assessment 126

Without this basic infrastructure it is unlikely that even the most comprehensive training programme will bring sustainable benefits.

The Training Needs Assessment comprises a structured worksheet. It is organised into sections, each of which should be completed at one time because the questions are interrelated. After reading each section, tick the boxes provided and fill in the information requested as necessary. At the end of each section the assessor is asked to score the function on a scale of 1 to 4. Please circle the appropriate score after completing the questions:

1 = Poor: the existing arrangements fail to meet the training needs

2 = Inadequate: the existing arrangements do not fully meet the training needs

3 = Adequate: the existing arrangements do meet the training needs

4 = Good: the existing arrangements fully meet all training needs.

There is space given at the end of each section to add any additional comments. Making notes about conclusions and recommendations will make it easier to write the assessment report later.

The scores for each aspect of the training needs assessment should be summarised in the table at the end of the worksheet and any additional findings noted in the space provided.

The assessment should be written up and recommendations made. The narrative summary of findings should inform the design of a training programme in accordance with the needs identified.

The results of the analysis should be summarised and written up in a short report for management.

Within the government to be assessed there must be:

• an adequate pay and career structure

• adequate numbers of staff carrying out record keeping for financial records

• clear and appropriate reporting lines

127 Part II: Human Resources Assessment Definitions

Essential Financial records management could not be successful without this skill or knowledge

Important Difficulties would arise in the performance of financial records management without this skill or knowledge

Desirable Financial records management can only be partially performed without this skill or knowledge

Not required Financial records management function can be performed successfully without this skill or knowledge

Awareness Understanding the function but not executing the tasks Operational Executing related tasks

Part II: Human Resources Assessment: Levels of Responsibility Matrix 128

LEVELS OF RESPONSIBILITY MATRIX

Top management: Directs and takes responsibility for policy and operations. Middle management: Responsible for implementation of policy.

Supervisory: Oversees procedures to give effect to policy. Operational: Executes tasks to achieve policy objectives.

LEVELS RECORDS MANAGEMENT

Examples of job titles

ACCOUNTING Examples of job titles

TOP MANAGEMENT National

Policy National Archivist/ Director of Archives and Records Management Line Ministry Director of Information/ Director of Administration National Policy Accountant General Line Ministry Accounting Officer (usually the Permanent Secretary) MIDDLE MANAGEMENT Head of Records Management1 Records Manager2 Accountant SUPERVISORY Records supervisor

Senior Accounts Clerk

OPERATIONAL

Records Clerk

Accounts Clerk

Junior Accounts Clerk Notes

1 _{External authority, usually from the National Archives, providing records management guidance to} ministries at management level. An important function is to produce authorised disposal schedules for financial records.

129 Part II: Human Resources Assessment: Competencies Framework