HR Audit Manual 1 5 2018 1
HR Audit Manual 1 5 2018 1
2018
Version 1
2
Objectives of the HR Audit Manual
HR Audit manual is a guide for the HR Officers to carry out HR Auditing in the
Ministries/Agencies/Dzongkhags. The manual outlines the step by step process to carry out auditing in
the entire Civil Service.
HR Audit Policy
i. Enhance good governance;
ii. Ensure compliance and uniform application of provisions of the Civil Service Act and BCSR;
iii. Improve/Enhance HR standards and practices across Civil Service; and
iv. Ensure optimal use of Human Resource.
HR Audit Strategy
i. Carry out periodic HR Audit across all Civil Service Agencies as per the HR Audit manual.
ii. Capacity building of HR personnel to minimize HR Audit issues and ensure professionalism in the
conduct of HR Audit.
iii. Creating awareness in the working agencies on significant and recurring HR Audit issues.
Types of HR Auditing
i. Compliance HR Audit
Compliance HR Audit ensures uniform application of Rules and Regulations as per
BCSR and Civil Service Act of Bhutan for the decentralized HR actions.
The first HR Auditing in all the Agencies shall be carried out for all HR actions taken
from May 2011 onwards, since the Civil Service Act of Bhutan 2010 was enacted.
The above HR auditing shall be carried out as per the five year work plan approved by the 102nd
Commission meeting held on July 11, 2017.
3
Role of HR Audit Team and Agency HRD
1 Conduct HR Audit without fear, Provide free access to all information and
favor or prejudice records of agencies that r e l a t e t o H R
m a n a g e m e n t a n d t o inspect and
inquire into and call for any information
arising from those accounts and records.
2 Be professional and observe Be required to provide with such
code of conduct and ethics facilities, assistance, information and
access to their respective offices as the
Commission may require for the
performance of its duties.
3 Inspect and inquire into and call for Keep all the necessary documents ready
any information arising from those for auditing.
accounts and records.
4 Present HR Audit findings to Provide full cooperation and support to
Agency the auditing team while conducting HR
audit.
5 Prepare HR Audit report with Provide feedback to the management
recommendations for submission and the RCSC on the conduct of HR Audit.
to the Commission.
6 Follow-up HR Audit reports to Comply with HR audit findings and
ensure that audit implement its recommendations.
recommendations are complied
with and implemented. are complied with and implemented
4
COMPLIANCE HR AUDIT
5
Introduction
The Compliance HR Audit is conducted as required by Section 27(g) of the Civil Service Act of Bhutan
2010 which states that “The Royal Civil Service Commission as the central personnel agency of the
Government shall conduct periodic HR auditing across all agencies”. The main objective is to ensure
compliance and uniform application of provisions of the CSAB 2010 and BCSR across the Civil Service;
and to ensure effective and efficient utilization of civil servants.
The Auditing exercise identifies gaps, limitations and appropriate interventions are recommended. Good
practices of the Agency if any are also highlighted. The first HR auditing started in 2013 covering all
areas of decentralized HR actions across the Civil Service. However, in future if the Agency is being
audited for the second time, the area will be determined by the HR Audit. Further, where there is a
proper system in place and HR action are captured in Civil Service Information System the frequency of
HR auditing will be lesser.
HR auditing shall be carried out after a minimum of two years in the Ministries; three years in the
Dzongkhags; and five years in Autonomous agencies.
6
Broad process for Compliance HR Audit
Agency
identified as per
the five year
work plan
Follow up with
the Agency on
Inform Agency one
the HR actions
month prior to Auditing
taken after six
months
Prepare draft
audit report and
Submit audit report present to
to Commission with Agency HRC
recommendations
7
Areas of Compliance HR Audit for Decentralized HR actions from May 2011 onwards
8
List of Activities for Compliance Auditing
Sl.
List of Activities for Compliance Auditing
No.
List of short term trainings from the Agency (Circulate the template as per the Annexure 6
1
prior to one month)
List of ESP and GSP recruited (Circulate the template as per the Annexure 3 prior to one
2
month)
List of Drivers with Vehicle Registration number (Circulate the template as per the Annexure
3
9 prior to one month)
4 Over all Staffing summary (Circulate the template as per the Annexure 8 prior to one month)
5 List of existing staff of the Agency from Civil Service Information System
6 Regular Recruitment, Selection and Appointment process (S1 and below)
7 Contract Recruitment
8 Decentralized Promotion
9 Promotion through Open Competition
10 Extraordinary Leave
11 Separation (Circulate the template as per the Annexure 10 prior to one month)
12 Human Resource Utilization
13 Disciplinary action
14 Minutes of the Human Resource Committee Meeting
15 Draft HR Audit Report and present to Agency HRC and Commission (Annexure 14)
16 Finalize HR Audit Report (Annexure 15)
17 Moderation minutes and scores
9
List of pre-requisite documents
10
Regular Recruitment, Selection and Appointment (S1 and below)
Decentralized Recruitment, Selection and Appointment process
√ Appointment order
1 Segregate the master list of Civil Servants recruited by year using pivot table
2 Cross check the recruitment list from CSIS with the list of recruitment carried out by Agency
Check if the post is approved in the five year Staffing plans (10 FYP staffing to be referred up to 16
3 June 2014 and 11 FYP staffing to be referred from 17th June onwards). Further, also check RCSC
approval for appointments from 17th June 2014 till the freeze is lifted by RCSC
From the list of shortlisted candidates, check if they meet qualifications as per the Position Directory
(PD). Recruitment from 2011 to October 2012, use 2009 and Oct 2012 PD; Recruitment from
6
December 2012 to Feb 2016, use Dec 2012 PD and; Recruitment from March 2016 onwards use the
latest PD 2016.
11
7 Verify/check if the panel members have declared Conflict of Interest.
8 Double check if the panel members comprises of at least five relevant members.
Check/verify whether the Agency has carried out the Recruitment as per the following Methodology;
9 √50% from Academic/written/practical and 50% from viva. OR;
√25% from Written/practical examination; 25% Academic/relevant training; and 50% from viva.
Check Interview forms of each panel member if the marking is done within the maximum. Re-
10 tabulate the result, if the marking is given beyond the maximum marks allocated for each field in
viva. Take the average of the marks allocated by other panel members.
Check if, 2 extreme marks during viva are taken out for the recruitment carried out from 22/8/2014
11
onwards.
12 Cross check the viva marking from individual sheet to consolidated interview result
Check/verify academic transcript, security clearance, medical certificate and CID copy of the selected
13
candidate.
12
ANNEXURE 1
13
Contract Recruitment
List of required documents for verification
RCSC From the Agencies
√ Master list from CSIS for contract recruitment process √ List of Civil Servants recruited on
(Annexure 2) contract
√ Appointment order
1 Segregate the master list from CSIS recruited on contract by year using pivot table.
2 Cross check the master list from CSIS with the list of recruitment carried out by Agency
14
From the list of shortlisted candidates, check if they meet qualifications as per the Position
Directory (PD). Recruitment from 2011 to October 2012, Use 2009 and Oct 2012 PD;
5
Recruitment from December 2012 to Feb 201, use Dec 2012 PD and ;Recruitment from March
2016 onwards, use the latest system generated PD
7 Double check if the panel members comprises of at least five relevant members.
Check Interview forms of each panel member if the marking is done within the maximum. Re-
8 tabulate the result, if the marking is given beyond the maximum marks allocated for each field
in viva. Take the average of the marks allocated by other panel members.
Check if, 2 extreme marks during viva are taken out for the recruitment carried out from
9
22/8/2014 onwards.
Check/verify academic transcript, medical certificate, security clearance and CID copy of the
10
selected candidates.
Crosscheck/verify the date in the CSIS and Appointment order. If there is an issue, make a
11
copy of the Appointment order for reference.
12 Check/verify the duration of gap between the date of announcement and date of appointment.
15
Annexure 2
EmpType
Sl. Emp Working Parent
Name (Contract/R DOB Qualification Appt dt Remarks
No No Agency Agency
egular)
PT PL SL
16
Recruitment and appointment of General and Elementary Service
List of required documents for verification
RCSC From the Agencies
√ GSP/ESP approved standard if any √ List of all existing GSP/ESP (Annexure 3)
√ Copy of Vacancy announcement
√ RCSC prior approval provided there is no standard.
√ List of shortlisted candidates
√ Consolidated mark sheet
√ Appointment order
Check/verify the following: √ Date Of Appointment; √ Date of Birth (whether the existing ESP/GSP is
1
within the superannuation age of 56)
Check the following:
2 √ Appointment as per the 10th FY Staffing Plan for recruitments carried out before June 2014 and;
√ RCSC approval for recruitment from June 2014 or approved standard for ESP/GSP
Verify/check vacancy Announcement details as follows:
√ Number of post announced and recruited
3
√ Minimum qualification of class eight for messenger and ward boy;
√ Check/verify the duration of gap between the date of announcement and date of appointment.
4 Verify/check if the panel members have declared Conflict of Interest.
Check the following documents of the selected candidates-
√ Academic Transcript(only for Messenger/Ward boy) ;
√ Security Clearance ;
5
√ CID copy ;
√ Medical certificate
√ Signed contract agreement
Verify the date of birth of all the GSP/ESP staff recruited prior to May 2011. Check if they have
6
reached superannuation age using formula.
*Highlight in sky blue for the verified recruitment in the master list and red for issues. Auditors to
note in the remarks column if there are any lapses in the above process and incomplete
documents.
17
Annexure 3
18
Decentralized Promotion
√ Position Directory (2009, 2012 and 2016) √ PE rating form for 3 yrs
√ Valid Security clearance and Audit
Clearance
√ Promotion Form
√ HRC Approval
√ Promotion Order
√ Legal Undertaking
1 Segregate the master list from CSIS promoted by year using pivot table.
2 Cross check the master list from CSIS with the promotion summary sheet.
Check whether the performance rating from PE form is correctly entered in promotion summary
5
sheet
Cross check the following performance criteria:
√ Up to Financial year 2014-2015 PE rating should be consistently outstanding for last three years for
6
those who do not meet the qualification criteria (Refer PD for qualification requirement of the
position)
19
√ Up to academic year 2015 PE rating should be consistently outstanding for last three years for
those who do not meet the qualification criteria (Refer PD for qualification requirement of the
position)
√ Up to financial year 2014-2015 PE rating should be consistently very good for last three years for
those who meet qualification criteria (Refer PD for qualification requirement of the position)
√ Up to academic year 2015 PE rating should be consistently very good for last three years for those
who meet qualification criteria (Refer PD for qualification requirement of the position)
√ For financial year 2015-2016 onwards, the PE rating should be consistently good and above.
√ For Academic year 2016 onwards, the PE rating should be consistently good and above.
Cross check the following information with CV from CSIS:
√ Study duration more than 18 months and EOL period to be deducted from the active service of the
promotion
√ Not eligible for promotion during study period and while on EOL. Further, cross check with the EOL
list.
√ Duration: PMC: 4 years; SSC Level: 4 years (S5 to S4 and above) and 5 years (S1 to SS4 and above)
with effect from 1st July 2016.
√ Prior to 1st July 2016, the duration is 4 years.
7
For promotions prior to 1/7/2016, check the remarks column of the Position directory for career
movement;
√ Civil Servants entering at S4 and S5 can go only up to SI;
8
√ Civil Servants entering at S3 can go up to P5;
√ Civil Servants entering at S2 and S1 can go up to P3. Diploma holders who have entered at S2 and
S1 can only move up to P4 to P3 for prior.
9 For promotions of doctor refer doctor career path reform
20
Promotion through Open Competition
List of required documents for verification
RCSC From the Agencies
√ Master list from CSIS for promotion through open √ List of civil servant promoted through Open
competition ( Annexure 4) Competition
√ Position Directory √ Approval from RCSC
√ Approved Staffing Pattern √ Copy of vacancy announcement
√ List of short listed candidates
√ Conflict of Interest form
√ Interview form of each panel member
√ Consolidated summary result sheet
√ PE form for last 2 years
√ Valid Security Clearance and Audit Clearance
√ HRC Approval
√ Promotion Order/Office order
Process for Auditing
Segregate the master list from CSIS promoted through open competition by year using pivot
1
table.
Cross check the master list from CSIS with the list of promotion approved through open
2
competition carried out by Agency
3 HRC's endorsement for seeking approval for vacancy announcement
4 RCSC's approval letter for announcement if applicable.
6 Check renouncement copy, if there is only one applicant for the post.
Check the following for the shortlisted candidates:
√ Qualification as per PD and superstructure as per schedule
√ Position level- One position lower or in the same position level
√ Minimum of 2 years active service in the current position level at the time of announced
application deadline.
√ Completed a minimum duration equal to the secondment period in the current agency as per
7
Annexure 5
√ Up to financial year 2014-2015, minimum PE rating of 'very good' for the last two years is
required for shortlisting.
√ For financial year 2015-2016 onwards minimum PE rating of 'good' for the last two years is
required for shortlisting.
21
√ Up to academic year 2015, minimum PE rating of ‘very good’ for last three years is required for
shortlisting.
√ For Academic year 2016 onwards, minimum PE rating of ‘good’ for the last two years is
required for shortlisting.
√ Has completed equal the duration of the study period in the same position as per
Superstructure w.e.f August 2016.
√ Has completed equal the duration of the study period to apply for the position outside the
Agency prior to August 2016.
Ineligible candidates:
√ Candidates at Entry position level without availing a single promotion( from December 17,
8
2012)
√ While undergoing long term training or on secondment.
Check Interview forms of each panel member if the marking is done within the maximum marks,
12
2 extreme marks to be taken out from 22/8/2014 onwards.
Check Interview forms of each panel member if the marking is done within the maximum. Re-
13 tabulate the result, if the marking is given beyond the maximum marks allocated for each field in
viva. Take the average of the marks allocated by other panel members.
14 Cross check the viva marking from individual sheet with the consolidated result
Check the documents of the selected candidates -NOC and Security Clearance and Audit
15
Clearance
16 √ Check duration of gap between the date of announcement and date of office order issued.
Cross check the following in the promotion order with CSIS:
√ Promotion effective date should be 1st or 15th from December 17, 2012 onwards.
17
√ Position title and;
√ Position level
*Highlight in sky blue for the verified open competition in the master list and red for issues.
Auditors to note in the remarks column if there are any lapses in the above process and
incomplete documents.
22
Annexure 4
List of Civil Servants promoted from May 2011
Before On
Promotio promoti
n on
Last date Office Working
Sl of Type of Order Agency/Division/Sect Parent
No. Name EID No. PT PL PT PL promotion Promotion No. or Agency Location Remarks
23
Annexure 5
Secondment Record
Secondment details
Position Department/Division/ Start
Sl.No. Name EID title Section date End date Duration HRC No. HRC date Remarks
24
Short Term Training
List of required documents for verification
RCSC From the Agencies
√ Short term training record (Formal & Informal
√ Master list from CSIS for Short Term (Annexure 6)
(Annexure 6)
√ In-service training nomination form
√ Security Clearance, Audit Clearance and
medical certificate for ex-country only
√ HRC Approval number and date
√ Pre departure briefing document for ex-
country only
√ Office Order/Letter of Award
√ Joining order
√ Feedback form
√ Training report
Process for Auditing
1 Cross check the master list from CSIS with the list of short term training approved by Agency
Cross check the HRC's endorsement for short term training approved (both formal and informal
2
training)
3 Check relevance of the training
Cross check eligibility of the selected/nominated candidates as follows:
√ Completed probation period, except in-country orientation/induction/professional training
programs
√ Maintained training gap of 6 months between two ex- country training prior to December 17,
2012 (as per BCSR 2010) and gap of 6 month for both in-country and ex- country training from
December 17, 2012 (BCSR 2012).
4 √ Have minimum of 6 months to superannuate
√ Served minimum of 6 months after EOL
√ Served minimum of 1 year after long term training
√ Check the documents of the selected candidates for STT- In-service training nomination form ,
Security Clearance, Audit clearance, Medical certificate if required by institute and pre-
departure briefing
√ Contract staff can avail only in country training
5 Check joining report and training report
6 Compile list of meeting attended and make a travel frequency report
7 Check if a civil servant has accumulated earned leave of 2.5 days per month to their leave
account if he/she has availed training more than one month, it is not permissible by BCSR.
8 Validate STT list with LTT (BCSR 2010 and BCSR 2012)
9 Verify EOL list with STT (BCSR 2010 and BCSR 2012)
*Highlight in sky blue for the verified short term training in the master list and red for issues.
Auditors to note in the remarks column if there are any lapses in the above process and
incomplete documents.
25
Annexure 6
Type HRC
Sl. Dept/Divisi (Formal/Infor Course Start End University number and
No. Name EID PT PL on/Sector mal) title date date Duration /Institute Country date Remarks
26
Extra Ordinary Leave (EOL)
List of required documents for verification
RCSC From the Agencies
√ Master list from CSIS for EOL (Annexure 7) √ List of civil servants on EOL
√ Legal Undertaking
√ EOL Order
√ Joining Order
Process for auditing
1 Cross check the master list from CSIS with list of civil servants on EOL from Agency
27
Annexure 7
EOL
Position Department/Div
Sl. Name EID Remarks
title ision/Section Start End Date of
Duration
date date joining
28
Over all Staffing plans
List of required documents for verification
RCSC From the Agencies
√ List of existing staff from CSIS as per the √ List of drivers and vehicle registration
Annexure 9 number
29
Annexure 8
Staffing Summary
Department/
Approved Post as per 11th FYP Existing as per CSIS Existing as per the Agency
Division/Sector GAP
staffing
O(exld.
EX P S driver) Total EX P S O Total EX P S O Total EX P S O Total
Total
30
Annexure 9
List of Drivers
Veh
Sl Dept/Division Contract or Registration Off road or
No. Name EID PL /Sector Location Regular Number not Remarks
31
Separation
List of required documents for verification
RCSC From the Agencies
√ Master list from CSIS for √ Voluntary
Resignation, √ ERS; √ Superannuation List of civil servants separated
(Annexure 10)
√ Separation order
√ Sanction order
√ Relieving order
1 Cross check the master list from CSIS with the list of separation carried out by Agency
Check if the civil servant has complied with the conditions of service laid down in the
2
training, secondment and other rules.
If the civil servants have availed Early Retirement Scheme, check/verify if they have
complied with the following conditions of service:
a) Is 51 years and above.
b) Is below 51 years of age fulfilling the following conditions:
i. A civil servant has served for a minimum of 20 years;
ii. A civil servant does not possess a minimum of Bachelor Degree; and
iii. A civil servant has no obligations to the Government.
3 c) Is on the ‘Waiting List’ for whom the RCSC has not been able to find appropriate
position.
d) Has served a minimum of eight years at the highest Position Level within the broad-
band as specified in the Position Directory.
And further Check if the civil servant has:
a) Impending disciplinary or corruption case(s); and
b) His service is determined to be required by the Government based on scarcity of such
skills and expertise.
Check/verify the relieving date of civil servants relieved from the Agencies and retirement
4
benefits claim was sanctioned within one month from relieving order
Cross check to see if all the separations are updated in the CSIS.
5 For those separations which are not updated in the CSIS, ask for separation order from
Agency HRD and accordingly update in the CSIS.
*Highlight in sky blue for the verified seperation in the master list and red for issues. Auditors to
note in the remarks column if there are any lapses in the above process and incomplete
documents.
32
Annexure 10
33
Human Resource Utilization
List of required documents for verification
Transfer
List of required documents for verification
√ Transfer file
Ensure that the Civil Servants’ (CS) who are transferred are relieved /have joined on
2
time
34
Disciplinary action
List of required documents for verification
35
Annexure 11
36
Minutes of the Human Resource Committee Meeting
List of required documents for verification
RCSC From the Agencies
Minutes of the HR Committee Meeting from May 2011
Conflict of Interest declaration form
37
Annexure 12
38
(Annexure 13)
4 EOL
5 HRC Minutes
6 GSP/ESP
7 GSP/ESP (training)
39
Draft HR Audit Report writing
HR Audit Observations: ………….. (Annexure 13)
(Date from…. to…….)
Introduction
As required by Section 27 (g) of the Civil Service Act of Bhutan 2010 which states that “The Royal Civil Service Commission as the central personnel
agency of the Government shall conduct periodic HR auditing across all agencies”. Accordingly the RCSC has audited (Agency name) from (Date till
(Date). The main objective is to ensure compliance and uniform application of provisions of the CSAB 2010, BCSR across the Civil Service and also to
ensure effective and efficient utilization of civil servants.
The Auditing exercise identifies gaps, limitations and appropriate interventions are also recommended. but good practices of the Agency if any are
highlighted Compliance auditing for a period of …..years was carried out from May 2011, the period CSAB 2010 was enacted to day/month/year.
Areas of Auditing
Compliance HR audit was carried out for decentralized HR actions such as Staffing plans and implementation; Human resource development and
implementation; Utilization of human resources; Recruitment, Selection and Appointment process; Mismatch in the Position title and Job
assignments; Individual Work Plan; Promotion; HR Committee Meeting minutes; Transfer; Leave; Administrative disciplinary procedures, decisions
and implementation; Separation; Work conditions/environment; Civil Service information and records; and Any other HR related matters.
Methodology
40
Some good practices observed during HR auditing- 1. ………
2. …………
Obs. Type of
Num Obs.
Audit Observations/Findings
ber
1. Recruitment & Selection S1 and Below and Contract Appointment (Nos. Civil servants recruited)
1.1 Staffing
2.1
3. Short Term Training (Number Of Civil servants send on informal and formal training)
3.1
41
Annexure 14
The Auditing exercise identifies gaps, limitations and appropriate interventions are also recommended. But good practices of the Agency if any are
highlighted Compliance auditing for a period of ….. years was carried out from May 2011, the period CSAB 2010 was enacted to Day/month/year
Areas of Auditing
Compliance HR audit was carried out for decentralized HR actions such as Staffing plans and implementation; Human resource development and
implementation; Utilization of human resources; Recruitment, Selection and Appointment process; Mismatch in the Position title and Job
assignments; Individual Work Plan; Promotion; HR Committee Meeting minutes; Transfer; Leave; Administrative disciplinary procedures, decisions
and implementation; Separation; Work conditions/environment; Civil Service information and records; and Any other HR related matters.
Methodology
42
Some good practices observed during HR auditing- 1. ………
2. …………
3. …………………………..
1. Recruitment & Selection S1 and Below and Contract Appointment (Number of Civil Servants recruited)
1.1 Staffing
1.2 HRD Staff Utilization
3. Short Term Training (Number of Civil Servants sent on informal and formal training)
3.1
43
STRATEGIC HR AUDTING
44
Introduction
Strategic HR Audit aims to strengthen HR Division/Services by being proactive and examining cross
cutting HR issues. HR interventions beyond HRO’s job description are also made to enhance HR
service delivery and ensure civil servants feel valued. In the process, capacity of HR Officers’ are also
built through in-house training and by involving them in carrying out strategic HR Auditing.
The methodology currently used is “Design Thinking” whereby, following activities are carried out to
get an insight of the user need and to understand the strength and weakness of the current HR
systems and process.
1. Interviews
2. HR Audit Survey
3. Co-creation of recommendation
4. Recommendations and feedbacks.
In the process the capacity of HROs’ are also built since the concerned HR Officers of the Agencies’
are fully involved in the strategic HR Auditing, from the conduct of interviews to co-creation and
presenting the recommendation to the Agency.
The recommendations made are quick wins which are very much implementable within the HR
Division and at Agency level.
45
List of activities for Strategic HR Auditing
Sl
List of Activities for strategic Auditing
No.
1 Data base of staff for HR Audit Survey
Log book analysis and HR requirement of HR Division/Section (to be circulated prior to 1
2
month)
3 List of focal person by names for Programs and Projects (If required)
4 List of interviewee (Staff, HROs of the Agency and HRC members)
5 Presentation on interview to the interviewers
6 Conduct Interview
7 Outline the HR Internal Process by HROs
8 Outline External process by the Audit team in consultation with the HROs
9 Training of HROs and Admin. Asst. on Pivot table
10 HR Google calendar by HROs
11 HRO to present on the reform and HR internal process to Admin. Asst. and Audit Team
12 Transcribing verbatim
13 Co-creation
14 Office Order standardization if required
15 Assessment on the staff requirement based on the log book
Prepare draft report presentation on issues and recommendations. Agency HROs make
16
the presentation to the Agency staff (interviewee to be included)
17 HR Audit team to present the draft report to the Agency HRC and Commission.
18 Finalize the HR Audit report.
46
Process for Strategic Auditing
Assign one HR
audit team
member as
focal for
Finalize the Strategic HR
Auditing HR Audit
HR audit
Survey
report
HRD staff
Submission to
maintain
Commission
daily log
for approval
book
Outline
Send draft
external
report to
and Internal
Agency
HR process
Presentation Conduct
Agency HRC Interview
Presentation of
Transcribing
draft report to
verbatim
Agency's staff
Co-creation of
Ideas
47
HR Audit Survey
Strategic Auditing: HR Audit Survey
HR Audit survey is carried out to check on the status of the five key roles of the HR Officers. It also gives an
insight to issues the Civil Servants have encountered during their service.
List of required documents for verification
RCSC From the Agencies
√ List of Civil Servants
√ HR Audit survey questionnaire (Annexure 1)
√ List of Civil Servants as per the sample size with
email (Annexure 2)
Process
1 Statistical Officer to insert the HR Audit questionnaire using the Google form
Based on the list of civil servants from the Agency, Statistical Officer to generate the sample size for
2
HR Audit Survey
3 The sample size to be shared with the Agency HROs to insert their emails as per Annexure 2.
The HR Audit team leader to send the request for HR Audit Survey. The timeline for the survey is for
4
a period of one month.
The analysis of the survey shall be carried out by the Statistical Officer based on the five key roles of
5 HRO. The feedback from the open-ended questions should be used along with HR findings from the
interview.
48
ANNEXURES 1
Neither
Strongly Agree Strongly
Sl. Disagree Agree
HR Audit Questions Disagree Nor Agree
Number (2) (4)
(1) Disagree (5)
(3)
I. HRO as Strategic Partner
49
HR Service designs HR development plans including
4 competency training that are critical to deliver
organizational programs/projects/activities.
The HRO are competent to advice and guide us on all
5
HR related matters.
There is proper succession planning carried out for
6
Dzongkhag by HR Service
There is support from the Management in the works
7
carried out by the HR Service
II. HRO as Administrative Expert
50
HR service provides proper procedure for handing &
15 taking over of work on
transfer/Resignation/Superannuation/Secondment.
There are proper criteria in place for nomination for
16
training.
51
The HR Service has prepared the organization in
25
accepting all changes pertaining to OD exercise.
All the information on HR/Civil service reforms are
26
shared by the HR Service frequently.
The staff concerned is engaged in the implementation
27
of change management process.
52
I have colleague(s) in the workplace whom I can share
35
both my professional and personal matter.
My Agency provides the opportunity to do my best at
36
work.
53
Annexure 2
Sl
Name EID Position Title Position level Department/Division/Sector Email
No
4
5
9
10
54
Log book
Strategic Auditing: Logbook format
Maintain logbook activity by HR Division/Section staff for a period of one month to help the
Audit team to understand the functioning of the Division/Section and determine additional
human resource requirement.
List of required documents for verification
RCSC From the Agencies
√ Logbook format (Annexure 3)
Process
HR Audit to share the logbook with HR staff on Google docs prior to one month of
1
auditing
Logbook to be maintained for a period of one month from the day the logbook is
2
shared.
55
Annexure 3
56
Assessment of HR functions and system
Interview is used as a tool to assess the strength and weakness of the HR Division/Services. Based on
the HR issues from the interviews, recommendations are co-created accordingly.
List of required documents
RCSC From the Agencies
√ Agency HROs must be involved for the entire
√ List of interviewee (Annexure 4)
process of strategic Auditing interview
Process
Prepare list of Civil Servants to be interviewed. A total of minimum 15 civil servants should be
1 interviewed across position categories. All HRC members and five each from PMC and SSC
category must be included.
2 Train the Agency's HROs on the conduct of interview using the power point. (Annexure 5)
Conduct interview as team of 2 each using the set of questions as per Annexure 6. The notes
3
have to be captured in verbatim in Annexure 7.
Interview the staff and the HRC members by respective HROS and Auditors and HROs of the
4
Agency to be interviewed by the Auditors.
A day to be allocated for transcribing of interview notes. Participants include Audit team, Agency
5 HROs, Internal Auditor and relevant officials. Agency's HROs must be involved for the entire
process of strategic Auditing.
Each note taker to share user interview stories. Other members to capture the HR findings/issues
6
on sticky note.
Based on HR issues HR Audit team to find relevant case studies/articles based on best HR
8
practices and distribute to HROs to provoke new ideas for co-creation.
9 One day session to be held for co-creation of ideas based on the issues identified.
Prepare Draft HR Audit presentation as per Annexure 12. Agency's HROs to make the
11
presentation to staff of the Agency and incorporate the feedbacks if any.
12 Draft HR Audit report presentation to the HRC and Commission by the HR Audit team
57
Annexure 4
List of Interviewee
No. of interviewee
SSC Min. 5
58
(Annexure 5)
Interview presentation
“Excellence in Service”
Strategic HR Auditing
“How Might We streamline the
functioning of HR Division/Section”
Strategic HR Auditing
Outline current HR Audit
Interview
HR process Survey
Streamline
functioning of
HR Division
“Excellence in Service”
59
HR Audit Questionnaire
• 35 questions
• Based on the following:
– Sample HR Audit survey questionnaire
– BCSR 2012
– 5 role of HRO
– APT
– IWP sample (MaX)
“Excellence in Service”
“Excellence in Service”
Interview Process
Empathy
60
Empathy?
• Appreciate others as Human Being
• Understand and relate with others feeling
• See their world through their eyes
• Communicate through Others
“Excellence in Service”
• Note taker
• Interviewer
• Interviewee (User)
“Excellence in Service”
61
Deep user interview
“Excellence in Service”
62
Story telling board
Recruitment Training Promotion
“Excellence in Service”
HR Finding/Issues
(Transforming interview to meaningful insight
Form team of min. 3 members
“Excellence in Service”
63
Interview exercise
• Conversation with your user about your
training nomination
“Excellence in Service”
Role Play
Interviewer Note taker Interviewee
“Excellence in Service”
64
Interview Exercise (MOCK)
“Excellence in Service”
65
Annexure 6
1. Introduce yourself
2. Objective of HR Auditing
a. Compliance Auditing
b. Interview part of strategic HR Auditing streamlining the functioning of HR Division/ service
delivery
c. Strength and weakness of current HR system and processes
d. Need finding/pain point of the staff of the Agency
3. How was your career like as civil servants
4. What are some of the services availed from HR Division
5. What do you think about the current Recruitment process
a. Assessment of staff requirement carried out? Why
b. What do you think about the decentralized recruitment process?
c. Induction program for new appointments
d. Office space and equipments provided by Departments
e. What do you think about the participation of HROs in preparation of Agency plans &
Program? Why?
f. How is the succession planning like in your department? Why?
66
e. How is the handing/taking over of work during transfer?
9. Human Resource Utilization
a. Mis-match in Position and work
b. Have u been recognized for the good work done? If so, how?
c. Have you received support from your supervisor who encourages your professional
development and progress?If so, how?
d. Are there technical cs working as HR focal in each department? What kind of work they do? Is
it needed?
13. What are some of the Welfare system in place besides the civil service welfare in your Agency? If so
how beneficial is it?
14. What do you think is the purpose of Leadership Feedback System (LFS)? In what ways can it be used
to improve the organization as a whole?
67
15. Are HROs able to guide you on all HR related matter? If so how?
16. How can HR division/Services help ensure division to achieve the result?
17. What should HRD focus to increase the performance of the Agency?
18. What HR Practice should get priority for HRD to increase agency’s performance?
19. What are some of the services, HR Division/Services is doing well?
20. What are the weak areas in HR and how can be improved?
68
Annexure 7
Name:
Position Title:
Position level:
Department/Division:
Years of Service
Gender:
Like:
Dislike:
Hobby:
69
Internal and External HR Process
Internal HR process
The internal HR process serves as a guide to the Agency’s HRO to carry out the day to day HR functions.
It outlines the step by step process for all the HR action starting from recruitment to separation thereby
placing a system in place.
Assign each HRO to outline the internal HR process within a period of one week to understand
1
the functioning of HR Division/Services as per the template in Annexure 8.
Using the template, following needs to outlined :
2 -Step by step process for all HR actions
-The delegation of authority between the HRC, HRO and Admin. Asst.
3 Presentation by HROs to the Audit team for further fine-tuning of the processes.
The external HR process which provides pre-information on the role of Department/Division, individual
Civil Servants, HRD and RCSC for any HR function. It also outlines the documents required for specific HR
actions and shows the time taken to complete the HR process.
HR Audit team to outline the external HR process as per Annexure 9 in consultation with the
1
Agency's HRO.
70
Annexure 8
Sl. No. Activities (for one post) HRC HRO Admin Asst.
Contract Recruitment
Contract Extension
Contract Termination
71
Annexure 9
External HR Process
HR PROCESS for
Departments/Division & ………
(Insert Agency name) Staff
HRD to submit
HRD to coordinate RCSC recruits the
requisition to RCSC by
Induction graduate through BCSE
June every year
72
Recruitment (S1 & Below)
HRD carries out staff Department/Division HRD Consult
assessment and notifies submits the requirement Department/Division to
Departments to HRD finalize vacancies
Note: The process is based on the assumption that the freeze is lifted by RCSC
Contract Recruitment
Departments/Division
Department/Division HRD carries out the
issue Office space and
conducts induction recruitment
equipments
Department role
HRD role
73
Contract Recruitment (Donor Funded)
Departments/Division
Department/Division
issue Office space and
conducts induction
equipments
Department role
HRD role
Contract Extension
Department/Division to submit to HRD Documents required
(3 months prior to expiry of contract term) 1. Contract extension form
(Annexure 5/3)
2. PE rating for 1-2 yrs
3. Valid Audit clearance
4. Valid Security clearance
RCSC approves
HRD role
HRD to convey the approval to Department RCSC role
Department
74
GSP/ESP Recruitment
HRD role
Departments submits requisition with justification to HRD Department role
HRD assess the requirement as per the standard approved by RCSC and
conveys concerned division/dept to carry on with recruitment Documents required
1. Vacancy Announcement
2. Short-listed announcement
3. Selection Result
4. Employment Application
Concerned Office to carry out the recruitment as per ESP/GSP Form (Annexure 4/1)
Recruitment Guideline and submit to HRD 5. Attested copy of CID card;
6. Valid Security Clearance
7. Valid Medical Certificate
8. Any other relevant
documents as per
HRD to issue Appointment order announcement made
75
Promotion Civil Servant role
HRD role
Open Competition
Civil Servant role
HRD role
HRD announce in-service vacancy every 6
months
Documents required
Civil servants to apply for the announced 1. Application addressed to
vacancies with the required documents CHRO
2. CV
3. PE rating for last 2 years
4. No Objection if required if
HRD carries out the selection from outside the Agency
HRD role
RCSC role
Civil servants joins the new positions Civil Servants role
76
Short Term Training (Formal)
Documents required
HRD to nominate in
Civil servants to submit the
consultation with
documents to HR Division 1. In-service training form
Department
(Annexure 9/3)
2. Valid Audit Clearance
3. Valid Security Clearance
4. Passport form
5. Visa form (if required)
Dept/Division issues HRD to Issue Letter of
relieving order Award/Passport/Visa/DSA/Ti
ckets/Government clearance
Documents required
1. Feedback Form (Annexure
9/10)
2. Joining report (Annexure
HRD Conducts PDB with Civil servants reports to 9/13)
candidates as per HR Division 3. Training report (Annexure
Annexure 9/12 9/14 )
Documents required:
HRD to Issue Letter of 1. Passport form
Award/Passport/Visa/DSA/Tickets/Gov Civil servants to submit the 2. Visa form (if
ernment clearance documents to HR Division required)
Documents required
1. Feedback Form (Annexure
Dept/Division issues 9/10)
relieving order Individual reports to HR Division 2. Joining report (Annexure
9/13)
3. Training report (Annexure
9/14)
77
Long Term Training (RCSC/Agency)
Civil Servant role
RCSC/MoAF announce the slot for LTT HRD role
RCSC role
Documents required
HRD process LTT in CSIS (RCSC) 1. In-service training form (Annexure 9/3) with HRC
approval
2. Medical Certificate from competent RGoB doctor
3. Valid Security clearance
4. Valid Audit Clearance
RCSC to issue Letter of Award 5. Course content and schedule from the Institute
6. Attested copies of academic transcripts
7. Letter of Acceptance from the Institute/CoE/Proof
of funding
8. CV
9. Undertaking for self funding and study leave
HRD to coordinate courtesy call with Lyonpo/Secretary without pay ANNEXURE 9/6(b)
10. Other documents required
78
On Completion of LTT
Civil servants to report RCSC within 21 days of the course
completion date with the required documents
Documents required
1. Joining report form (Annexure
9/13)
2. Training report form (Annexure
RCSC issues letter of confirmation to HRD 9/14)
3. Feedback Form
4. Course completion certificate
Lateral Transfer
HRD asses the vacancies and announcement made
79
Transfer by Agency
HRD generates the list of civil
servants due for transfer by
March
HRD consults
Department/Division/Dzongkhags
to finalize the transfer list
RCSC Approves
80
CSWS: Refund during voluntary resignation/ERS/Delinking
provided not a single claim has been made
Information Correction
Civil servants to fill information correction form (Annexure
21/1) and submit to HRD
81
Individual Work Plan (IWP)
Civil Servant role
HRD role
IWP for new financial year IWP for last financial year
Submit to Departments/Regional
Office/HRD by August HRD to enter IWP rating in CSIS by
November
Extraordinary Leave
Civil Servant role
HRD role
HRD reviews
82
Separation
Voluntary Resignation Superannuation
Documents required
Civil servants to submit application
routed through Department/Division to
1. Audit clearance HRD to notify Civil servants 6 months prior
HR Division (at least 1 month prior to the
resignation effective date) 3. Tax clearance to superannuation
4. Credit Information Bureau
(CIB) report/loan clearance
5.No dues form/NOC from
agency Superannuating civil
servant HRD to coordinate a courtesy call with Secretary
HRD reviews the proposal and issues 6. Last Pay Certificate and issue separation order, award Certificate of
order 7.Housing clearance if Appreciation
occupying Government
accommodation
83
Training of HR Officers and Admin Asst.
Strategic Auditing: Training of HROs and Admin. Asst.
As a part of HR auditing HRD staffs are trained to equip them with the basic computer
skills like pivot table, conditional formatting and formulas. A session on the BCSR updates
and the latest changes happening in the civil service are discussed.
List of required documents for verification
RCSC From the Agencies
√ Training on Pivot table and conditional
√ List of civil servants
formatting.
√ Relevant Civil Service Reform √List of Training
√ BCSR √List of civil servants on EOL
Process
HR Audit team to present to HRD on Pivot table and conditional formatting as per
1
the power point in Annexure 10.
HR Audit team to demonstrate mock session on the following:
√ Generate report for list of civil servant and assessing training gaps using pivot
2 table.
√ Using formula, determine the due date for superannuation and promotion.
√ Finding duplicate values using conditional formatting.
Assign Admin. Asst. and HRO to generate reports using pivot table on various HR
3
actions.
Admin. Asst. and HRO to make the presentation on the assignment to HR Audit
4
team and HRD staff after a week.
4 Agency's HRO to and discuss on the relevant civil service reform/BCSR to HRD staff.
84
Annexure 10
“Excellence in Service”
“Excellence in Service”
85
Reports
HRM HRD
Annual
Recruitment STT (6mm)
(Regular)
Superannuation
Age (Date of
Birth)
“Excellence in Service”
Conditional Formatting
Select Select
Select
data in Highlight duplicates
cell rules
excel values
Select
Click Home
Conditional
Tab
formatting
“Excellence in Service”
86
EXERCISE
Sl. Types of Reports
No.
1. Report nos. of cs eligible for promotions by Position level
2. Report of cs on EOL by PL
3. Report on number of contract recruited by PL
4. List of cs due for contract extension by Department & Position level
5. Report no. of cs undergoing study
6. Cs due for transfer (5 yrs)
7. Due for Superannuation
8. List for cs award for 2017 (Segregate those who have received the
award).
9. Frequency for STT
10. Training gap
“Excellence in Service”
87
HR Google Calendar
Strategic Auditing: HR Google Calendar
HR google calendar captures the entire HR activities for a year which gives a pop up
reminder, thereby ensuring proper management of HR functions.
Process
As per the template (Annexure 11), HRO to insert all the annual HR activity in the HR
1
calendar.
88
Annexure 11
HR Calendar – 2017
HR Actions Jan Feb Mar Apr May June Jul Aug Sept Oct Nov Dec
Recruitment
Promotion
Civil Service
Award
Transfer
Separation
IWP
Short Term
Training (STT)
Long Term
Training (LTT)
Annual
Feedback
Contract
Extension
89
Annexure 12
Outline
• Methodology
• Issues
❖ Recruitment
❖ Training
❖ Promotion
❖ HR Capacity
❖ Transfer
❖ Separation
❖ Communication
❖ Documentation
• Recommendations
• Prototype
90
Recruitment Issues
Recommendations to improve
Recruitment System
91
Sl. Department Position Approved Existing Gap Nos. of cs
Nos. /Division category superannuating
1
Cont…
Recommendations to improve Recruitment System
92
Recruitment (S1 & Below)
Note: The process is based on the assumption that the freeze is lifted by RCSC
93
Training Issues
• Presentation by HROs to
Department
Annual • HR calendar- January of every
year
Training • Travel frequency
• List of civil servants who have
report travelled frequently
• List of civil servants who have
not availed a single training
94
Annual Training report (2016)
Sl. Department Position Nos. of Nos. Total
Nos. /Division category Training Meeting/Workshop/Conferences
1
Cont..
Recommendations to improve Training system
95
Cont..
Recommendations to improve Training system
96
Short Term Training
(Informal: Meeting/seminar/workshop/conference 5 days and below)
97
Long Term Training (Open Scholarship)
On Completion of LTT
98
Promotion Issues
Recommendations to improve
Promotion system
99
Promotion
Open Competition
100
HR Capacity
101
Level of Authority
Delegation of Authority: Punakha Dzongkhag
Sl. No. HR Actions HRD (Admin. Asst) HRD (HRO) HRC
Transfer Issues
102
Recommendations: Transfer
March
Transfer July Handing-takingTransferJanuary
effective date -
Transfer order to be ready
Notification
procedure from1stthe
Jan. of every year)
predecessor
Working for personal settlements such as
finding house, admission of children and
explore transfer possibilities of the spouse
103
Lateral Transfer
Transfer by Ministry
104
Communication Issues
Recommendations to improve
Communication
105
Separation Issues
Recommendations: Separation
106
Separation
Voluntary Resignation Superannuation
107
Recommendations: Documentation & Information
Information Correction
108
Annexure 13
Strategic HR Auditing: Streamline the functioning of HR Division as per the need of …….. Staff
HR Auditing was carried out from ................. till ...................... As per Commission's directive, in addition to compliance Audit, strategic
HR Audit to streamline the functioning of HR Division as per the need of ........... staff was carried out. The report is divided into four
parts: The first column consists of list of HR findings/issues extracted directly from interviews and survey; Second column consists of
overall recommendations based on the issues; the third column shows the approving authority for implementation of each
recommendations made which is followed by the remarks from the Agency on the implementation status of recommendations.
Interviewed: …….. Number of civil servants (Executive -……...; Specialist (ES)- …….;
Methodology 2
Professional & Management category -……..; Supervisory & Support category - …..)
3 Co-creation of ideas with HROs and ………… (Insert Agency Name) staff
109
Of the .............(Nos) recommendations, ........ (Nos) are already implemented by ........... (Insert Agency name) and ............ (Nos)
recommendations by RCSC. The recommendations are quick wins meaning changes are small and very much implementable within the
authority of Head of Agency/CHRO. These recommendations were co-created with HROs and the ......... (Agency Name) staff. The
Recommendations are endorsed by ........ (Nos) Commission meeting held on ............
Agency's remarks on
Approving Authority:
Sl. HR Findings implementation status :( This
(Finding are direct extract from Recommendations
Number interview & Survey) column to be used for final
CHRO Secretary RCSC
report only)
RECRUITMENT
I
TRAINING
II
PROMOTION
III
HR CAPACITY
IV
110
TRANSFER
COMMUNICATION
VI
SEPARATION
VII
VIII
111