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This document was produced for review by the United States Agency for International Development. It was prepared by AECOM International Development, Inc. The authors’ views expressed in this document do not necessarily reflect the views of the United States Agency for International Development or the United States Government.

June 30, 2009 This document was produced for review by the United States Agency for International Development. It was prepared by AECOM International Development, Inc. The authors’ views expressed in this document do not necessarily reflect the views of the United States Agency for International Development or the United States Government.

Legislative Strengthening Program LSP Curriculum II July-December 2009

Contract No. 263-I-03-06-00015-00 (REDI Task Order No. 3)

Legislative Strengthening Program (LSP) Contract No: 263-I-03-06-00015-00 REDI Task Order No. 3

LSP Curriculum II July-December 2009

Submitted to: Contracting Officer’s Technical Representative (COTR): Dr. Miles Toder, USAID/Iraq

Submitted by: AECOM International Development, Inc. 2101 Wilson Boulevard, Suite 700 Arlington, VA 22201, USA T: +1.703.528.7444 www.aecominterdev.com

In association with: Management Systems International Contact persons: Chief of Party: James A. Hart +964 780 1099 168

Program Director: Michael Barluk +1 703 465 5871

+964 780 1099 165

The authors’ views expressed in this publication do not necessarily reflect the views of the United States Agency for

International Development or the United States Government.

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LSP Curriculum II

Table of Contents

1. Purpose of Curriculum II

2. Principles and Criteria for LSP Training under Curriculum II

3. Priorities for LSP Training Curriculum II

4. Procedures for Preparing and Distributing the Monthly Training Calendar

5. Training Quality Control (QC) Plan

6. Catalog of Courses

Annex 1: LSP Training Completed as of June 30, 2009 Annex 2: July 2009 Training Calendar Annex 3: Sample LSP Training Course

Annex 4: Passport to Parliamentary Excellence

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1. Purpose of Curriculum II Curriculum II presents the LSP training plan for the period July through December, 2009. This is the second of four curriculum plans, each with a distinct role in the program: Curriculum I Curriculum I consisted of an opening round of training courses responding to

requests made by COR staff and committees, and training linked to the review and approval of the national budget. In the period covered by Curriculum I, from LSP’s inception through June, 2009, the following were achieved:

• 31 training courses were developed (17 capacity building, 5 IT, 5 budget and

oversight , 4 outreach training courses) • 51 trainings were delivered up to and including June 22, 2009 as follows:

Type of Trainee Women Men Total Members of Parliament 10 7 17 Committee Members and Directorate Staff Members

177 779 956

Others (e.g. Journalists)

10 72 82

Total 197 858 1055

• In addition to the formal training courses, many small group and one-on-one in-service training activities were delivered on a daily basis

• Training management, monitoring, and quality control procedures were developed

A detailed list of training conducted under Curriculum I is included in Annex 1.

Curriculum II Curriculum II continues and improves training developed under Curriculum I, with the following modifications:

• Courses will be refined and adapted to better target the unique needs of the

legislature and adapted to the specific performance improvements in the COR • Additional courses will be added to support new sets of procedures developed by

LSP, such as the Committee Operations Manual, and Rules of Procedure • LSP will also add courses to support the introduction of office automation • A monthly training calendar will be produced and distributed • A training quality control plan will be adopted, and the training database will be

improved Curriculum III Curriculum III will continue to develop and refine the catalog of courses. LSP will

introduce special training courses to orient newly elected MPs and newly appointed staff. Curriculum III will include special training to equip ICPD staff and board members with the skills they need to run the ICPD.

Curriculum IV Curriculum IV will transfer training management to the ICPD. It will provide co-

management with ICPD staff to support and institutionalize training needs assessment and delivery by the ICPD. LSP will continue to serve as an incubator to develop new course material.

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The remainder of this report provides detailed information about Curriculum II: Section 2: Describes LSP principles and the criteria used to guide the selection of courses for

development and delivery under Curriculum II Section 3: Describes training priorities in response to LSP and COR objectives as filtered

through the selection principles and criteria Section 4: Describes the procedures for preparing the Monthly Training Calendar Section 5: Describes the LSP Training Quality Control Plan Section 6: Contains the current LSP Course Catalog

2. Principles and Criteria for LSP Training under Curriculum II LSP receives a steady flow of requests for training from COR counterparts. These include training ‘wish lists’ prepared by committees and directorates and ad hoc requests that range from highly specific to very general, often including requests for overseas training or study tours. LSP personnel also identify new training needs in the course of the work with COR counterparts. The training needs of the COR are vast and exceed the resources available under LSP. Therefore, LSP must prioritize COR needs and be selective in how its training resources are applied.

The following principles guide the use of LSP training resources: • USAID/LSP resources should add value that is not available locally by enabling the COR to learn

from the unique perspective and knowledge brought by international consultants familiar with global best practices;

• Because of the short duration of LSP and the short ‘attention span’ of the COR, LSP resources should primarily target specific, measurable changes (rather than providing a general education);

• LSP training should focus on practical and procedural skills needed for the functioning of the legislature, and should not engage in training on political organization or the content or politics surrounding specific legislation or political issues;

• Training should be designed to improve performance of the COR as an institution, while recognizing the need to build the skills of individual staff members;

• The importance and high profile of the COR as an institution, and the opportunity for LSP to ‘set standards’ and demonstrate best practices, demands that LSP training courses must be of high quality design and delivery (by international standards);

• Given the general lack of legislative experience and technical and management capacity in the COR, LSP must assess training needs independently, rather than accepting at face value the expressed needs of counterparts.

The following criteria are to be used in prioritizing and selecting training courses to be developed or offered by LSP: • As agreed between USAID and the Speaker, LSP training will be provided on-site at the COR (no

external training such as international study tours or degree courses);

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• Training courses will not be developed without first consulting relevant COR counterparts to obtain their insights and develop ownership; key counterparts must understand and endorse the performance improvement or reform that is being targeted, and understand how the training objective will contribute to bring about the improvement;

• The highest priority in the allocation of LSP training resources will be given to activities that clearly contribute to achieving LSP objectives and indicators;

• If space is limited, acceptance of trainees into LSP training courses should give highest priority to trainees from LSP pilot committees and directorates and others who are instrumental in leading or implementing performance improvement in the COR.

3. Priorities for LSP Training Curriculum II Capacity Building Program The capacity building training courses have been developed to strengthen the skills of members of parliament and parliamentary staff. This has been accomplished by developing courses that adapt knowledge and administrative skills to the specific work environment of the COR.

The focus of the LSP capacity building team is to design our training courses to be relevant to the daily tasks and common obstacles faced by the council in performing the legislative and oversight responsibilities of parliament.

LSP presents this second tier of training after consultation with members of parliament, director generals and staff in the COR to ensure compatibility with all administrative levels in the parliament.

In addition, LSP provides special training courses to answer the emerging needs inside the Council of Representatives through technical assistance. For example, when directorates need assistance in document management, LSP will provide technical assistance to train staff in office automation using Share Point software.

The capacity building team is committed to continued development of the COR by linking training to career development according to the overall goals and objectives of the parliament. This is reflected in the LSP recommendation to the COR to adopt the Passport to Parliamentary Excellence, a performance management model (Annex 4).

Committee Operations The committees of the Iraq Council of Representatives (COR) form the heart of the nation’s highest legislative body. Unfortunately, Iraq lacks a pool of qualified professionals with policy and political experience to carry out the work of the institution. Further, due to the current hiring practices and the dominance of rigid confessional political blocs at the COR, many committee staff members have mismatched educational and career experience for work in a legislature.

Over the past several months, LSP has conducted extensive interviews with the members of parliament and staff in the pilot committees with which LSP is working in the COR. Out of these committee operation assessments, a pattern of legislative skill deficiencies has emerged. LSP has been working with the committees to develop and regularize the use of such basic legislative tools as releasing hearing notices, committee meeting agendas, and press releases on legislative developments and oversight meetings.

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In Curriculum II, LSP training courses take the skills development in the COR to the next level and target the legislative skill needs of the staff and members of parliament. The second round of LSP training courses has been developed to strategically meet the operational needs of the committees. This approach will enhance the capacity of the Iraqi Parliament as an institution, not just the skills of individuals. The new curriculum includes courses on committee work, rules of procedure, management of legislative business, committee hearings/hosting, and introductory policy development. Committee operation courses can be modified for both committee staff and MPs.

Budget Oversight Priorities

LSP will strive to enhance the COR’s role in policymaking and executive oversight. Unfortunately, many COR members and employees have no prior experience in crafting fiscal policy or budgetary oversight. After consulting MPs, staff members, and other stakeholders, such as the Finance Committee, LSP has designed a comprehensive fiscal management seminar.

Although LSP does expect participants who are motivated and inquisitive, it does not require prior training in accounting, finance, or other related fields. After successfully completing the seminar, participants will be ready to deal with every stage of fiscal management: from budget development to budget implementation to monitoring and evaluation. Those who pass the final exam will be formally certified as “Competent Fiscal Management Observers” by the MAPDC. Upon certification, participants will service the needs of the COR in planning and overseeing Iraq’s financial affairs. Outreach Priorities The two most important training priorities for parliamentary outreach will be developing the capacity of the media covering the COR and increasing the ability of the COR to use its nascent provincial offices to reach constituents. Most journalists who cover the parliament either have little journalistic experience, having served previously as drivers, cameramen, or in other support positions, or while being familiar with basic journalistic techniques, lack the skill to contextualize their reporting. Therefore, providing capacity building for journalists to mitigate these deficiencies is necessary. LSP will provide and assist in the training of journalists with a focus on providing them basic reporting skills on techniques (interviewing, investigating, and fact-checking/research) and giving them the appropriate context to including a background on the political system and a more specific understanding parliament’s role in government, parliamentary oversight, or the Rules of Procedure. These trainings will be done in conjunction with the other implementers providing support to journalists.

The second training priority for provincial outreach is to develop the skills of the staff in the Provincial Offices. This staffs have no background in constituency and member services. Therefore, LSP will work with them on basic staff skills, including report writing and time management, and will provide an understanding of the political system. In addition, LSP will continue to develop and offer courses specific to the function of the offices with a priority placed on understanding and managing constituent inquiries and complaints, commonly referred to as “casework.” This will better enable the representation function of a parliament by improving the capacity of parliamentary “front line” staff.

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4. Procedures for Preparing and Distributing the Monthly Training Calendar LSP coordinates training with the MAPDC and other partners inside the Council of Representatives. The first step in the LSP process is to determine the training needs for the upcoming quarter with the client. A monthly calendar is then prepared and reviewed by the LSP Training Coordinator and the counterparts inside the COR. The counterpart could be the MAPDC, Presidency Council, a department, or a committee. Once agreement has been reached on the courses to be delivered during that month, an invitation letter is sent to COR by the LSP Training Coordinator. The COR then sends a request for training to the Parliamentary Affairs Department (the Clerk). The Clerk approves the course offering and informs the COR departments of the training. The Director General of each department notifies staff of the course and seeks their feedback on the course offering. Interested staff are able to participate in the course offering if they secure the approval of their supervisor. The department’s participants receive an invitation from the MAPDC. This process is managed by the LSP Training Coordinator and MAPDC.

Occasional scheduling conflicts are resolved immediately by consultations between LSP and the target group. Training is rescheduled within a reasonable timeframe. LSP distributes a hardcopy of the final calendar to the Presidency Council, MAPCD, all committees, and all directorates in the COR.

Publishing the training calendar one month in advance ensures that consultations between LSP and the parliament are continuous and that the course offerings meet the emerging training needs of the COR. Consultations in developing a monthly calendar is at the forefront of the LSP training process.

5. Training Quality Control (QC) Plan Purpose: The Training QC Plan is designed to help LSP staff to deliver high-quality and high-value training to COR counterparts. High quality refers to the technical substance, the training approach, and the manner of presentation. High value means that trainees obtain skills or knowledge that will significantly improve their job performance. Why is it important? More COR counterparts have contact with LSP through training than any other activity. Participants form opinions about the quality of our training through various features such as the conceptual design, materials provided, trainer’s expertise, and our hospitality. These characteristics will contribute significantly to the reputation of LSP. MPs and staff should benefit from attending training courses on multiple topics. However, if they do not feel they gained high value from the first course they attend, then they are unlikely to return for the second or third course. LSP is also setting up training procedures and courses that will be adopted by the Parliamentary Development Center. We should strive to demonstrate training best practices in LSP courses, so that these best practices will also be transferred to the ICPD training program. It is important that we do our best to deliver high-quality, high-value training every time. What is covered by the Training QC Plan? Every training course conducted by LSP should comply with the Training QC Plan. A training course is defined as a formal training event that seeks to achieve one or more training objectives. This includes all classroom training and less formal workshops that include capacity building activities. Who is responsible for implementing the Training QC Plan? Several people have responsibilities for implementing the Plan. Most of the work falls to team leaders and lead trainers, but the COP, DCOP, Training Coordinator and M&E/Reporting Specialist also have important roles to play.

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Standard training materials. Training courses use the following printed materials: • Course Invitation (Information Sheet) • Course Outline (for trainees) • Trainer’s Guide (for trainer) • Trainee Materials -- may include readings, PowerPoint, examples, exercises, etc. The QC Plan is part of an overall approach to training. The QC Plan is part of an approach that begins with the assessment of training needs and ends with monitoring and evaluating the impact of training in the workplace. An ideal training program should be the result of demand expressed by the target. The selection of training courses for inclusion in the LSP training program should arise from a participatory needs assessment. Client participation ensures that the training is responsive to genuine needs while making clients more interested and enthusiastic about the training. A detailed assessment of training needs is essential to produce a strong training objective to guide the development of each course. Post-training evaluations assessments are also required to generate feedback for continuous improvement of the LSP training program. This will include techniques such as surveys, interviews, and focus group discussions to ascertain whether and how trainees applied their training on the job, and to assess whether and how the training program contributed to achieving COR and LSP objectives: Has it improved the functioning of parliament? Was the new approach shared by the participant with co-workers? Has it led to requests for more advanced training on the subject?

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LSP Training Quality Control Measures

QC Measure Description QC Methods and Responsibilities

1. Strong Training Objective

The training objective must clearly identify skills and/or knowledge that will contribute to achieving LSP objectives and results.

Does the training objective assist the development of the parliament or improve its performance?

The training objective should be specific, describing an end result(s) in terms of skills mastered, knowledge acquired, and behaviors changed. The importance of the skills to the work of the COR should be stated.

The training objective must be clearly written in both languages.

Source: The training objective is included on the Course Information Sheet (announcement).

Team Leader and COP must review and approve the Information Sheet.

The Translation Manager must review and assure the accuracy of the translation of the Information Sheet so that all team members have a clear understanding of objectives in order to prepare or adapt the training materials.

2. Training Methods and Materials are Well-suited to the Training Objective(s) and Target Audience

Training methods, materials and learning activities must clearly contribute to achieving the training objective.

The level of material is appropriate to the target trainees’ level of experience and the quantity of material is reasonable for the amount of time available.

Methods and materials must utilize training best practices, e.g. experiential learning cycle.

Training methods and materials must incorporate subject-matter best practices whenever appropriate and reasonable.

Training materials, such as examples and exercises, must be adapted to Iraqi COR context.

Lead Trainer (for this module) is responsible for quality of training methods used.

Team Leader reviews the training materials. Team Leader and Training Coordinator interview the trainer(s).

Lead Trainer consults with other LSP personnel, outside experts, and counterparts as needed to adapt the examples and practice exercises to Iraqi COR context.

Team Leader must review and understand the materials well enough to have confidence in the methods and materials.

3. Training Materials are Complete

The following are required: • Course Invitation (English and Arabic) • Course Outline (for trainees) • Trainer’s Guide (for trainer) The following may be used, depending on the nature of the course: • Trainee Materials: may include readings, powerpoints, examples, exercises, etc.

Lead Trainer is responsible to provide final copies of all materials to Training Coordinator.

Training Coordinator responsible for maintain a reference version of hardcopy materials in the hardcopy training library.

Training Coordinator provides final soft copies to M&E/Reporting Manager who places them in SharePoint.

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QC Measure Description QC Methods and Responsibilities

4. Quality of Writing is High

The material is logically structured and sequenced.

The concepts are presented logically and in a way that is easy for participants to understand.

The quality of grammar and word choice meets very high professional standards.

Lead Trainer and Team Leader are responsible for review of all materials.

A copy-editor may be engaged if needed to improve the quality of writing.

5. Formatting, Production of Materials Meets LSP Standards

LSP templates have been used.

Quality of formatting is high, professional.

Quality of document production is high.

Team Leader and Communication Specialist are responsible to review and approve prior to branding and marking.

6. Quality of Training Delivery

Trainers are skilled and experienced in modern training methods.

Trainers are thoroughly familiar with the training material.

Trainers are well organized, speak clearly and well, deliver materials at an appropriate pace, dress/speak/perform professionally.

Trainers receive consolidated feedback from evaluations, and incorporate recommendations to improve the material and delivery.

Team Leader must audit courses and trainers on a sample basis for QC.

Chief of Party must audit courses occasionally to monitor quality.

Participant evaluation forms must be administered; the lead trainer must summarize participant feedback and review it with the Training Coordinator, who then reviews it with the COP.

Trainers improve materials and delivery based on feedback.

7. Quality of Written Translation and Aural Interpreting

The quality of translation/interpreting must meet or exceed standards as for any LSP materials that go to the client and counterparts.

Senior Translator responsible for translation quality control.

8. Formatting and Presentation of Translated Materials

LSP templates have been used.

Quality of formatting is high.

Quality of document production is high.

Materials are labeled for easy identification including version management.

Team Leader and Reporting Specialist are responsible to review and approve prior to branding.

Reporting Specialist and Training Coordinator responsible to develop labeling system for course materials.

9. Correct Branding and Marking

Branding and Marking should not normally be applied to working drafts, only after other QC steps are complete.

M&E/Reporting Specialist to advise on Correct Branding and Marking, and to review/approve product before distribution.

Every course must be evaluated by participants using the LSP course evaluation form. The information gleaned from the forms must be collected in the LSP database. Follow-up surveys are conducted on a sample basis to evaluate the effectiveness of training.

6. Catalog of Courses

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Course Title Target Group

Training Objective

Course Topics Level Duration

Legislative Management

Senior COR Staff

Improve participants’ management capacity of legislative work in the COR

• Prioritizing work • Developing a work plan • Preparing a calendar of

work • Managing meeting

schedules • Preparing meeting

agendas

General 12hours

Performance Management

Senior COR Staff

Introduce supervisors to the purpose, objectives, and process of performance management

• Department planning review cycle

• Scheduling performance reviews with employees

• Preparing staff review meetings

• Annual performance reviews

• Reviewing progress of employees

• Monitoring and accessing progress of the performance review cycle

General 8 hours

Art of Negotiation I

Members of Parliament, Senior COR

Managers and Committee Secretaries

Build the capacity of parliamentary offices and committees by developing the negotiation skills required in day to day parliamentary

• Basic elements of

successful negotiation skills

• Characteristics of a successful negotiator

Basic 6 hours

LSP Curriculum II Course Catalogue

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Training Objective


work

• Behavioral skills relevant for negotiation

• Understanding of the communication process

• Common problems in the negotiation process

Art of Negotiation II

Members of Parliament, Senior COR

Managers and Committee Secretaries

Improve the capability of provincial offices and committees to manage the process of negotiations and apply bargaining and negotiation techniques

• Preparation for negotiation

• Strategies and tactics of negotiation

Intermediate 6hours

Code of Conduct for

Parliamentary Staff

COR Staff

Introduce and explain the Iraq Code of Conduct for employees of the federal government and its applicability to the work of the Council of Representatives

• Introducing and reviewing the Iraq code of conduct for federal government employees

• What constitutes a code of conduct?

• Following a code of conduct in the workplace

• The role of ethics in a parliament

• Behavioral aspects which are against ethical standards/code of conducts

General 6 hours


11


Training Objective


Introduction to Policy

Development

Members of Parliament and Advisors

Introduce the theory of how democracies craft public policy by reviewing how policies are formulated, enacted, and implemented to address public problems

• What is policy development?

• Role of parliament in developing policy

• Development of policy by the executive branch of government

• Role of outside influencers in policy: media, political parties, civil society, and public opinion

General

6 hours

Crisis Management

Senior and Mid-Level COR Staff

Train senior and mid-level COR staff on how to prevent and manage crises in the workplace

• The concept of crisis management

• Types of administrative crisis

• Reasons for crisis in workplace

• Managing the crisis situation

• Finding solutions and taking preventive steps

Basic

6 hours

Art of Decision

Senior COR Managers

Teach basic skills of decision making to increase the professional

• Concept of decision General 4 hours


12


Training Objective


Making efficiency and enhance the clarity of judgment required for administrative efficiency

making • Examples of methods and

techniques of decision making

• Role of information in decision making

• Problems and challenges in decision making

MPs Toolkit COR MPs

Familiarize MPs with their role and responsibilities and provide examples illustrating characteristics of effective MPs; Equip participants with essential knowledge and skills necessary to function as an effective MP, including rules of procedure, oversight functions, the open legislative drafting process, and effective public speaking skills

• Role of MPs in representational democracy

• Characteristics of effective MPs

• Legislatures and oversight

• Open legislative process • Oversight and the role of

the Supreme Auditor • Committee powers • Woman’s role in

parliament • Effective public speaking • Rules of procedure • Code of conduct and anti

corruption - GOPAC

General 60 hours


13


Training Objective


Strengthening

the work of Committee’s

COR Committee

Staff

Explain the role of modern parliamentary committee and the organization of committee work

• The role of committees in parliament

• Understanding the relevant COR bylaws concerning committees

• Developing meeting agendas

• Taking meeting minutes • Writing reports • Developing written and

oral queries addressed to ministries

• Correspondence with ministries and civil society

• Researching and writing briefs on policy issues and topics

• Analyzing legislation • Legislative drafting

General 20 hours

Committee Hearings/ Hostings

COR Committee

Staff

Familiarize COR MPs and staff with how committees use hearings as a tool to fulfill the oversight function of parliament, in part by instructing them on how to hold an effective committee hearing

• The oversight role of committee hearings

• Developing a hearing agenda

• Informing Iraqi citizens, NGOs, and the media about upcoming committee hearings

• The role of expert

Intermediate 12 hours


14


Training Objective


testimony • Researching and

preparing questions for hearings

• Writing an opening statement

• Managing debate • Follow up on matters

discussed in hearing

Time Management COR Staff

Teach COR staff techniques to better manage their time, distribute and delegate work, and foster teamwork to enhance their efficiency and increase their productivity

• The concept of time management

• Effective time management

• Methods of time management

• Delegation of work • Proper distribution of

work • Team spirit and

motivation • Effective participation

General 12 hours

The Rules of Procedure

COR Committee

Staff

Teach COR staff how to follow the bylaws, or rules of procedure, while performing committee work

• An explanation of the role of bylaws in parliaments

• Detailed explanation of the current bylaws of the COR

• Integrating bylaws into

General 12 hours


15


Training Objective


the legislative work of the COR

Human Resources

Management Basic

Techniques for

Supervisors

Senior Staff

Equip managers with basic human resource management techniques, enabling them to enhance the capacity of staff, specifically in the context of legislative work

• Importance of human resources in an organization

• Challenges of HR management

• Building team work • Motivating employees • Conflict management

within HR

Basic 12 hours

Project Management Senior Staff

Provide senior committee staff with the skills needed to effectively develop, organize, and manage programs and projects under their supervisions and to successfully complete work plans *This training course will use case studies to elaborate on strategic planning

• The strategic importance

of project management • Setting priorities • Developing a work plan • Coordinating and

overseeing of work plan • Executing the project

according to the work plan

• Completing and delivering the project

Basic 12 hours


16


Training Objective


Stress Management

COR Staff

Assist participants in identifying causes of stress in the workplace, how to overcome stress, and how to reduce its impact on individual COR staff

• Understanding causes of work stress

• Conflict negative impact on individuals at work

• How to cope with stress in the workplace

• Individual strategies • Organizational strategies

General 12 hours

Performance Evaluation I

Senior and Mid-Level

COR managers and

supervisors

Identify the best practices in human resource management training techniques to improve productivity in COR, committees, and parliamentary offices; Highlight the importance of human resource performance evaluation as an important step in the establishment of effective COR training programs

• Objective and needs of staff performance evaluation

• Relation between Job description, work plan, and staff performance

• Method of evaluating performance

• Needs for objectivity and ethical standards in the use of performance evaluations

• Using appropriate methods in the performance of evaluation

• Discussing performance evaluations with employees

• How to improve staff performance

Basic 12 hours


17


Training Objective


Performance Evaluation II

Senior and Mid-Level COR Staff who have previously completed

Performance Evaluation I

Assist senior COR staff on how to use best practices when performing human resources evaluation, thereby enhancing staff productivity in both the parliamentary committees and in the COR offices

• Design models to analyze jobs descriptions and classifications before doing performance evaluations

• Using the latest evaluation methods

• Legal and ethical concerns involved in performance evaluation

• Making proper use of evaluation for developing human resources

• Benefits of evaluation based on right methods

Intermediate Intermediate

16 hours

Performance Evaluation Workshop • How to use performance

evaluation

TA is to be applied for

levels

As required

Coordination & Follow -up

Skills I COR Staff

Equip the participants with coordination and follow up skills to carry out administrative tasks that committees and parliamentary offices will need as their work rapidly expands *This course provides the modern technical methods of coordination

• Mutual dependence as

the cornerstone of all administration

• Coordinating work within the individual office

• Coordinating work between different offices or committees

Basic 12 hours


18


Training Objective


among committees and parliamentary offices

Coordination & Follow -up

Skills II

• Using IT skills and tools to better coordinate the work of the COR committees and offices

• Coordinating and following through with constituent complaints

• Coordinating and following through to completion on correspondence to the ministries

• Tracking draft legislation being considered by committees


Ethics in Governance COR Staff

Familiarize COR staff with the concept and principles of ethical behavior for public officials and elected representatives

• Role of public servants • Identifying the causes of

corrupt behavior • Improper use of public

funds • Gifts to public servants • Government waste of

funds and fraudulent practices

• Courses of action to eliminate instances of corruption through legal

General 12 hours


19


Training Objective


and administrative action

Using SharePoint to

Manage Citizen

Complaint Casework

Staff in Provincial

Offices and Committee on

Complaints

Make participants proficient in using the Microsoft SharePoint System to manage citizen complaints

• Opening a case • Case correspondence • Tracking a case

Basic 3 hours

Using Corresponde

nce to Manage

Inquiries and Complaints

Staff in Provincial

Offices and Committee on

Complaints

Explain how to use correspondence to manage constituent inquiries and complaints

• Constituent inquires • Information management • Proper correspondence • Managing constituent

expectations

Basic 6 hours

Introduction to Parliament for Journalists

Journalists in the COR

Help journalists develop a better understanding of the role of parliamentary democracy

• Role of a legislative body • Iraqi Constitution and

governance • Parliamentary by-laws &

the legislative process • Comparative

understanding of parliaments

Basic 8 hours

Press Writing for Staff

COR Press Secretaries

Develop the skills of COR staff to

write press releases

• Role of a press secretary • Writing and Issuing press

releases • Organizing media

conferences • Using “spin tactics” in



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Training Objective


media relations

Basic Windows XP COR Staff

Introduce staff to the basics and concepts used in Windows XP Operating System

• Computer system and benefits of Windows OS

• Important commands in Windows

• How to operate Windows • Search for files and

folders

Level 1 (Basic)

6 hours

Basic Internet COR Staff Introduce COR staff to the basics of using the internet as a research tool

• What is the internet? • Benefits of the internet • The use of Microsoft

Internet Explorer • Website navigation • Conducting research

through the internet

Level 1 (Basic)

4 hours

Basic Word 2007 COR Staff

Introduce COR staff to the basics of Microsoft Word 2007

• Word 2007 main interface • How to create and save

documents • Using fonts • Inserting images,

drawings, and shapes • Viewing and numbering

pages • Printing

Level 1 (Basic)

6 hours


21


Training Objective


Intermediate Word 2007 COR Staff

Help COR staff develop a knowledge of, and skills in, MS Word 2007

• Building complex documents

• Creating lists, tables, and sketches

• Enhancing design styles • Customizing properties

for images and drawing • Using page sections

Level 2 (Intermediate) 10 hours

Advanced Word 2007 COR Staff Enhancing understanding and skills

in MS Word 2007

• Using Word with other programs

• Collaborating in documents

• Creating multiple document versions

• Inserting references and notes

• Working on large documents

• Document protection • Building forms and

interfaces

Level 3 (Advanced) 12 hours

Basic Excel 2007 COR Staff Introduce COR staff to the basics of

using Microsoft Excel 2007

• Excel 2007 main interface • Create and save excel

data sheets • Create and change

designs • Write formulas and

Level 1 (Basic)

6 hours


22


Training Objective


calculating data • Printing

Intermediate Excel 2007 COR Staff

Develop the COR staff’s knowledge of, and skills in, MS Excel 2007

• Developing advanced formulas

• Building and changing sketches

• Enhancing documents and drawing tools

• Data sorting and filtering • Viewing and hiding data

effectively • Advanced printing

techniques


Advanced Excel 2007 COR Staff

Enhance the COR staff’s understanding and of, and skills in, MS Excel 2007

• Creating templates • Creating and changing

Macros of Excel • Data verification and

validation • Working with advanced

calculations and formulas • Creating PivotTables and

Pivot Reports • Using of multiple

documents • Protecting data

Level 3 ( Advanced )

12 hours


23


Training Objective


Basic Access 2007 Junior Staff

Introduce junior COR staff to the basics and concepts of Microsoft Access 2007

• Access 2007 main interface

• Basic database concepts • Creating data tables • Data retrieval • Access forms for user

input • Creating reports and

summaries

Level 1 (Basic) 10 hours

Intermediate Access 2007 COR Staff Develop the COR staff’s knowledge

of, and skills in, MS Access 2007

• Dealing with Access Security

• Adding features in tables and relationships

• Adding new features in queries, forms, and reports


Advanced Access 2007 COR Staff

Enhancing the COR staff’s understanding of, and skills in, MS Access 2007

• Briefing about programming language VBA

• Programming Access applications

• Programming SQL queries inside forms

• Building and using Macros • Data importing and

exporting inside MS Office • Advanced data protection

Level 3 ( Advanced ) 20 hours


24


Training Objective


Government

Accounting COR Staff

Accounting is the foundation of any fiscal management system. Having knowledge of the rules, practices and procedures used by government accountants to monitor, control and report on funds is critically important to engaging in oversight activities. This seminar will focus on the rules in place in Iraq currently; it will also display and discuss the International Public Sector Accounting Standards (IPSAS), which have been required by several international organizations including the World Bank. The Public Financial Management Law of Iraq in its present form mandates use of the IPSAS. It is anticipated that successful participants of the seminar will be fully cognizant of all important aspect and nuisances of governmental accounting. They will also be informed about IPSAS and be able to engage in implementation advocacy for these standards.

• Basic governmental accounting reports and statements

• Iraqi government financial statements

• International public sector accounting standards and World Bank and OECD promulgations

• Impact of financial reporting on sovereign credit ratings

• Quality and control systems and tools of financial management

• Examination of laws on fiscal management

• Review of government financial statements

Level 2


Budget COR Staff

• Review of best practices in budget development

Level 2 Intermediate 16 hours


25


Training Objective


Methods,

Methodology

and

Standards

The seminar is designed provide a comprehensive view into the processes and procedures of budgeting through a number of activities. Modules will include a review of the budgets of the United States, Canada and the United Kingdom. Participants will become acquainted with what positive examples of budgets and the supporting documents look like. They will also be exposed to various budget circulars including the USG OMB Circular A11. The focal point of the seminar will be the OECD’s Best Practices for Budget Transparency. The most recent Iraqi budget and associated documentation will be examined and contrasted to this and to the other documents explored. It is expected that participants will take away with them from the seminar an appreciation of what should be occurring and what is occurring elsewhere. They will be equipped with knowledge and insight which can be used as a tool for causing changes

• Examine, compare, and contrast Iraqi budget work with budget work in multiple countries

• Analysis of tools and techniques employed to control budgets

• Discussion of the policy implementation aspects of budget

• Types of monitoring tools and techniques use in pre-budget development and planning

• Examination of recent annual budgets


26


Training Objective


Supreme

Audit

Institutions –

What and

Why

COR

Supreme audit institutions across the world serve as important and effective elements in oversight activities. Where used effectively they apply their expertise in a proactive manner as subject matter experts in a range of areas to produce non-bias reports. This seminar will present and discuss examples of this type of work. It will explain the goals and objectives of professional standards promulgated and promoted by the International Organization of Supreme Audit Institutions (INTOSIA). In addition the importance and impact of “value-for-money” auditing will be studied. An overview of the Iraqi Board of Supreme Audit will be presented. Incorporated into seminar activities will be a comparison and contrast between the working of the BSA and INTOSAI’s vision. Upon completion of the seminar participants will know the value supreme audit can bring to the oversight function and be in a position to work together with the Iraqi BSA to move towards

• Examination of INTOSIA guidelines and standards

• Exploration of the Iraqi Board of Supreme Auditors’ activities

• Analysis of positive application of the audit tool – Performance Auditing, Value for Money, etc.

• Review of legislative framework for audit activities

• Study of audit terms and techniques

• Discussion of alternative auditing applications and development of accountability

Level 2 Intermediate 16 hours


27


Training Objective


achieving this.

Oversight

Activities -

How and

When

COR Staff

Oversight of policy implementation and administration takes a variety of forms and utilizes various techniques. These range from specialized investigations and hearings, from informal communications between MPs and executive personnel to the use of extra parliamentary mechanisms such as the Supreme Audit and study commissions. Oversight is an integral part of the system of checks and balances between the legislature and the executive. This seminar will develop these objectives by providing training in many of the various aspects of oversight. It is envisioned that the seminar will be linked to a pro-type oversight manual for implementation in the Iraqi COR. Successful participants will be able to quickly identify and effectively employ oversight tools and techniques upon completion. They will be empowered with a model manual for adaptation and implementation in the COR

• Exploration of the types of oversight techniques available

• Illustrative role playing in oversight

• Review of an oversight tool kit for direct application

• Linkage of oversight rights and duties and stakeholder expectations in relation to the Iraqi environment

• Examination of examples of oversight materials from other legislatures

• Review of oversight transcripts and other documentation

Level 2

Intermediate

16 hours


28


Training Objective


Budget

Research :

Methods and

Applications

COR Staff

Budget research work involves a systematic approach of evaluation. This seminar will work through this from indentifying issues, formulating questions, assessing program needs and impact through measuring efficiency and program effects. Participants in the seminar will take away practical knowledge on how to conduct research using generally accepted methods and applications. They have a foundation to build their analyst skill upon.

• In-depth examination of research techniques

• Review and discussion of OECD, UK, and USA manuals and guidance for production of research.

• Practical examples of reports, briefings, etc.

• Costing of legislation

Level 2

Intermediate

16 hours


29

Annex 1: LSP Training Completed as of June 22, 2009

# Name of Training or

Workshop Venue

Dates Status

Target Participants Total # of

Participants MPs

Staff

From To M F

1 Seminar on International Accounting Standards Baghdad/COR 12/19/2008 12/22/2008 Completed

COR Finance Committee Members

11 9 2

2 Overview of International Accounting Standards Baghdad/COR 12/22/2008 12/25/2008 Completed COR Accounting

Department Staff 11 9 2

3 Committee Operations Baghdad/COR 12/22/2008 12/22/2008 Completed Various Committees Staff 15 11 4

4 Committee Operations Baghdad/COR 1/11/2009 1/14/2009 Completed COR Director Generals and Consultants

19 2 0

5 TV Production Training (Group 1) Beriut 1/4/2009 1/19/2009 Completed COR Media

Department 6 6 0

6 Budget Preparation & Execution Baghdad/COR 1/18/2009 1/22/2009 Completed

COR Finance and Budget Research Departments

28 9 14 5

7 TV Production Training (Group 2) Beriut 1/24/2009 2/8/2009 Completed COR Media

Department 6 6 0

8 The Impact of Strategic Changes on Budget Preparation

Baghdad/COR 2/7/2009 2/9/2009 Completed COR Finance and Budget Research Departments

34 8 24 2

9 Special Training on Microsoft Office Systems Baghdad/COR 2/15/2009 3/31/2009 Completed COR Badge

Department 1 1 0

10 Journalism (Press) Training Baghdad/COR 2/23/2009 4/16/2009 Completed

Press Secretaries of various Committees

16 14 2

11 Strategic Planning Baghdad/COR 2/24/2009 2/26/2009 Completed COR Staff 54 42 12

12 Modern Management Baghdad/COR 3/3/2009 3/5/2009 Completed Various Committees Staff 38 30 8

30


Workshop Venue

Dates Status


Participants MPs

Staff

From To M F

13 Strategic Planning Baghdad/COR 3/15/2009 3/16/2009 Completed Various Committees Staff 29 27 2

14 Modern Management Baghdad/COR 3/17/2009 3/17/2009 Completed Various Committees Staff 34 32 2

15 Organizational Development Baghdad/COR 3/18/2009 3/18/2009 Completed Various

Committees Staff 34 32 2

16 Human Resources Management Baghdad/COR 3/19/2009 3/19/2009 Completed Various

Committees Staff 34 32 2

17 Strategic Planning Baghdad/Al- Sadeer Hotel 3/21/2009 3/21/2009 Completed Managers of the

Provincial Offices 12 12 0

18 Report Writing Baghdad/Al- Sadeer Hotel 3/22/2009 3/22/2009 Completed Managers of the


19 Code of Conduct Baghdad/Al- Sadeer Hotel 3/23/2009 3/23/2009 Completed Managers of the


20 Modern Management Baghdad/Al- Sadeer Hotel 3/24/2009 3/24/2009 Completed Managers of the


21 Art of Negotiation Baghdad/Al- Sadeer Hotel 3/25/2009 3/25/2009 Completed Managers of the


22 Crisis Management Baghdad/COR 3/23/2009 3/23/2009 Completed Various Committees Staff 37 35 2

23 Time Management Baghdad/COR 3/24/2009 3/24/2009 Completed Various Committees Staff 37 34 3

24 Report Writing Baghdad/COR 3/25/2009 3/25/2009 Completed Various Committees Staff 37 35 2

25 Strategic Planning Baghdad/COR 4/6/2009 4/7/2009 Completed

COR Departments, Committees Secretaries and Staff Members

13 6 7

26 Modern Management Baghdad/COR 4/8/2009 4/8/2009 Completed COR Departments, Committees

20 12 8

31


Workshop Venue

Dates Status


Participants MPs

Staff

From To M F

Secretaries and Staff Members

27 Organizational Development Baghdad/COR 4/14/2009 4/14/2009 Completed


9 6 3

28 Human Resources Management Baghdad/COR 4/15/2009 4/15/2009 Completed


20 11 9

29 Time Management Baghdad/COR 4/16/2009 4/16/2009 Completed


13 7 6

30 Crisis Management Baghdad/COR 4/20/2009 4/20/2009 Completed


15 7 8

31 Windows XP-Beginners Baghdad/COR 4/20/2009 4/21/2009 Completed


15 11 4

32 Report Writing Baghdad/COR 4/21/2009 4/21/2009 Completed


12 5 7

32


Workshop Venue

Dates Status


Participants MPs

Staff

From To M F

33 Internet - Beginners Baghdad/COR 4/27/2009 4/28/2009 Completed


20 12 8

34 Time Management Baghdad/COR 4/28/2009 4/28/2009 Completed


20 15 5

35 Budget Preparation, Iraq ,USA and Others Baghdad/COR 4/28/2009 4/30/2009 Completed

COR Finance and Budget Research Staff

27 23 4

36 Crisis Management Baghdad/COR 4/30/2009 4/30/2009 Completed


20 15 5

37 Visual Basic 6.0- Basic Level Baghdad/COR 5/1/2009 5/28/2009 Completed Badge & MAPDC 2 2 0

38 Budget Best Practice Baghdad/COR 5/3/2009 5/7/2009 Completed COR Finance and Budget Research Staff

24 20 4



19 16 3

40 Windows XP- Beginner Level Baghdad/COR 5/3/2009 5/4/2009 Completed

COR Departments, Committees Secretaries and

18 11 7

33


Workshop Venue

Dates Status


Participants MPs

Staff

From To M F

Staff Members



19 16 3

42 Windows XP-Beginners Baghdad/COR 5/12/2009 5/13/2009 Completed


9 7 2

43 Introduction to Comparative Parliamentary System

Baghdad/COR 5/19/2009 5/19/2009 Completed Independent Journalism in the COR

56 50 6

44 Word 2007 - Basic Level Baghdad/COR 5/24/2009 5/26/2009 Completed COR Staff 16 9 7

45 Journalism (Press) Training Baghdad/COR 4/28/2009 5/30/2009 Completed

Press Secretarial of various Committees

21 17 4

46 Windows XP - Beginner Level Baghdad/COR 5/31/2009 6/1/2009 Completed Provincial Field

Staff 16 11 5

47 Internet - Beginner Level Baghdad/COR 6/2/2009 6/3/2009 Completed Provincial Field Staff 11 7 4

48 The Art and Craft of Interviews Baghdad/COR 6/10/2009 6/23/2009 Completed

Independent Journalism in the COR

26 22 4

49 Word 2007-Beginner Level Baghdad/COR 6/16/2009 6/18/2009 Completed COR Staff 13 11 2

50 Strategic Planning Baghdad/COR 6/17/2009 6/18/2009 Completed COR Staff 28 24 4

51 Organizational Development Baghdad/COR 6/22/2009 6/22/2009 Completed COR Staff 27 21 6

34


Workshop Venue

Dates Status


Participants MPs

Staff

From To M F

Total 1044 17 829 187

35

Annex 2: July 2009 Training Calendar

Course Title Training Level

Target Group Training Objective Course Topics Duration

and Date No. of

Participants Instructor

Modern Trends in

Management Basic

COR Staff (1st deputy

office)

Provides a contemporary perspective on modern management theory as well as application; highlighting the significance of management techniques in modern parliamentary institutions, committees, and offices.

• Modern management concept

• Role of management

• Levels of administration

• Management for parliamentary institutions

• Management challenges in parliamentary offices and committees

4 hours X

1 day 1st week

of July

20

LSP capacity building training team

Crisis Management Basic


office)







4 hours X

1 day 1st week of July

20


36



and Date No. of


Time Management Basic


office)

Teach COR staff techniques to better manage their time, distribute and delegate work, and foster teamwork to enhance their efficiency and increase their productivity

• The concept of time management

• Effective time management

• Methods of time management

• Delegation of work • Proper distribution

of work • Team spirit and

motivation • Effective

participation

4 hours X


20


Human Resources

Management Basic


office)

Equip managers with basic human resource management techniques, enabling them to enhance the capacity of staff, specifically in the context of legislative work

• Importance of human resources in an organization

• Challenges of HR management

• Building team work • Motivating

employees • Conflict

management within HR

4 hours X


20


37



and Date No. of


Project Management Basic


office)

Provide senior committee staff with the skills needed to effectively develop, organize, and manage programs and projects under their supervisions and to successfully complete work plans *This training course will use case studies to elaborate on strategic planning

• The strategic

importance of project management

• Setting priorities • Developing a work

plan • Coordinating and

overseeing of work plan

• Executing the project according to the work plan

• Completing and delivering the project

4 hours X


20


Crisis Management Basic Senior

COR Staff







4 hours X

1 day 3rd week

of July

25


38



and Date No. of


Art of Decision Making

Basic Senior COR Staff

Teach basic skills of decision making to increase the professional efficiency and enhance the clarity of judgment required for administrative efficiency

• Concept of decision

making • Examples of

methods and techniques of decision making

• Role of information in decision making

• Problems and challenges in decision making

4 hours X

1 day 3rd week

of July

25


Modern Trends in

Management Basic Senior

COR Staff

Provides a contemporary perspective on modern management theory as well as application; highlighting the significance of management techniques in modern parliamentary institutions, committees, and offices.

• Modern

management concept

• Role of management

• Levels of administration

• Management for parliamentary institutions

• Management challenges in parliamentary offices and

4 hours X

1 day 3rd week

of July

25


39



and Date No. of


committees

Art of Negotiation Basic Senior

COR Staff

Build the capacity of parliamentary offices and committees by developing the negotiation skills required in day to day parliamentary work

• Basic elements of

successful negotiation skills

• Characteristics of a successful negotiator

• Behavioral skills relevant for negotiation

• Understanding of the communication process

• Common problems in the negotiation process

4 hours X

1 day 3rd week

of July

25


Improve the capability of provincial offices and committees to manage the process of negotiations and apply bargaining and negotiation techniques

• Preparation for negotiation

• Strategies and tactics of negotiation

40



and Date No. of


Basic Excel 2007

Level 1 (Basic)

Junior Staff (4 Groups)

Introduce COR staff to the basics of using Microsoft Excel 2007

• Excel 2007 main interface

• Create and save excel data sheets

• Create and change designs

• Write formulas and calculating data

• Printing

2 hours x 3 Days

1st week of July 2nd week of July 3rd week of July 4th week of July

16 LSP IT trainer

Budget

Methods,

Methodology

and

Standards

Level 2

Intermediate

Sr. and Jr.

COR Staff

The seminar is designed provide a comprehensive view into the processes and procedures of budgeting through a number of activities. Modules will include a review of the budgets of the United States, Canada and the United Kingdom. Participants will become acquainted with what positive examples of budgets and the supporting

• Review of best practices in budget development

• Examine, compare, and contrast Iraqi budget work with budget work in multiple countries

• Analysis of tools and techniques employed to control budgets

• Discussion of the policy implementation aspects of budget

• Types of monitoring tools and techniques use in pre-budget

5 Days

16 total contact hours

3rd week of July

20

LSP Budget and

Oversight training team

41



and Date No. of


documents look like. They will also be exposed to various budget circulars including the USG OMB Circular A11. The focal point of the seminar will be the OECD’s Best Practices for Budget Transparency. The most recent Iraqi budget and associated documentation will be examined and contrasted to this and to the other documents explored. It is expected that participants will take away with them from the seminar an appreciation of what should be occurring and what is occurring elsewhere. They will be equipped with knowledge and insight which can be used as

development and planning

• Examination of recent annual budgets

42



and Date No. of


a tool for causing changes

Press Writing for Staff Intermediate

COR Press

Secretaries

Develop the skills of

COR staff to write

press releases

• Role of a press secretary

• Writing and Issuing press releases

• Organizing media conferences

• Using “spin tactics” in media relations

2 hours x 8

Days 4th week of July

20 TBD

* All courses offered to “MP’s and Staff” will have separate classes open to Parliamentarians only

0

Annex 3: Sample LSP Training Course

Members of Parliament Toolkit

Legislatures and Oversight

Prepared by Legislative Strengthening Program

March 2009

Legislatures and Oversight Trainer Handbook

1

Introduction: This guide demonstrates how a trainer can prepare and implement a training session for members of parliament, director generals, and senior staff of the COR. This guide presents information and procedures relating to the application of a training session to enable the trainers to accomplish the training sessions efficiently and effectively. General Objective: This course is designed to introduce the members of the COR and the senior leaders to the topic of oversight responsibility and powers in accordance with the Constitution of Iraq. Specific objectives:

1. Define the role of a member of parliament in non-political functions granted to them by the Iraq Constitution, as well as familiarize them with the necessary resources to put into practice their oversight powers.

2. Demonstrate the mechanisms and elements of supervision and monitoring the executive by the COR members.

3. Enable members of the COR to develop the techniques and methods used in oversight and accountability.

Participants: Members of the COR and senior advisors Time: - 100 minutes Content 1 - Introduction 2 - Objectives 3 - Expected results 4 - General guide for the trainer 5 - Power Point 6 - Oversight Tools for MP’s

2

Outcomes of the Training: Upon completion of this training, the trainer expects the following results:

1. Participants have a full understanding of the roles and functions of oversight.

2. Participants have a clear understanding of parliamentary oversight tools.

3. Participants will be able to demonstrate their knowledge in parliamentary oversight.

Training Objectives: • Topics

Oversight Accountability

• Source of Authority

Constitution of 2005 Rules of Procedure

• Case study Training Agenda 10:10 10:00 Introductory comments participants

introductions training objectives

10:20 10:10 Oversight: What is it?

10:25 10:20 Iraq Constitution

10:30 10:25 Break

10:45 10:30 Case study

11:00 10:45 The problem

10:10 10:00 Oversight tools

10:20 10:10 GOPAC position statement

10:30 10:20 Internal measures

10:40 10:30 Break

3

10:50 10:40 External measures

11:00 10:50 Consider a resolution to improve oversight in Iraq

Introduction Trainers First Activity

1. Icebreaker activity 2. Identify the objectives of the session

Training Aids Required Flip charts / white board/ markers/ pencils, / colored paper A4 / projector and laptop for Power Point presentation Participant Introduction

1. Break participants in groups of two; give them 3 minutes to introduce their colleague to the group by sharing an interesting fact about the person they are introducing (a fun ice breaker designed to familiarize the group to the group).

2. Ask the participants the following question: What are the goals that you would expect to gain from this training?

3. Divide the class into two or three groups. The participants write their responses and then each group presents their answers to the rest of the class. The group will discuss the answers.

4. Present the goals of the training using PowerPoint.

Training Objectives After the completion of this session the participant will be able to clarify the three core functions of a legislature. (representation – lawmaking – oversight)

Session Training Aids Required Laptop / Power Point / A4 colored paper/ flip chart and paper / pencils white board / tape / pens / note books Monitoring the performance of the executive.

Oversight - accountability

Constitution Rules of procedure

4

Who does the parliament oversee? Ministries and departments of the government Ministries responsible for the implementation of legislation Government projects

Parliamentary oversight does not mean direct involvement, as defined as usage of public resources and powers granted to the executive by legislation and the constitution, in the operations of the executive branch. It does, however, see parliamentary oversight as the duty of parliamentarians to require the executive branch to: follow certain rules related to financial operations, openly report to parliament on its exercise of the powers and public resources granted, and to directly and publicly provide its interpretations of the appropriateness and wisdom of those actions.

Parliamentary Authority Expected after the completion of this session that: Participants are able to clarify the source of parliamentary authority for oversight. Sources of authority (2005 Iraqi constitution - Article 61) Council has wide powers under the Constitution: • Enacting federal laws • Monitoring the operational performance of the executive Oversight of the Iraq government is the constitutional responsibility of the Council of Representatives (parliament) Representing, legislating, and overseeing are the three core functions of the legislative bodies – oversight is the least taught or practiced of the three core functions of parliament. Why? Case Study Former President of Nigeria Mr. Obasanjo In 2008, a Nigerian House of Representatives committee investigation revealed that Nigeria had spent, under the former President Obasanjo, over $10 billion for expanding power-generating capacity and received zero kilowatt hours in return. Nigerians already have many laws, they have the money thanks to oil, and they want the government to spend it on things people need, including power generation.

The Problem

5

The people are not receiving value for money when programs are not implemented by the executive. Resources are diverted through corruption and inefficiency choices, and in many cases produce worse results than simple inaction. The Solution There is a democratic advantage of giving leaders feedback about how they are doing. Legislative oversight is an important but underused means for communicating information in a form that is typically hard for politicians to ignore. President Obasanjo was not re-elected. Oversight Tools Committee hearings

Debate and hearings in the plenary session

Commissions of inquiry

Questions, during debate

Question period, a set time each day to question ministers

Written questions to the executive (called interpellations)

Ombudsman – independent from government that reports to the parliament

Supreme Auditor – appointed by parliament independent

Public Accounts Committee

Budget Office

Request for papers, reports, and persons

GOPAC Position Statement The Global Organization of Parliamentarians against Corruption (GOPAC) states that: In the matter of parliamentary oversight, parliaments should undertake internal and external measures as follows:

6

Internal Measures ensure that they have the powers to authorize all revenues (tax rates, royalties,

fee structures) and expenditures – including expenditures by ministries and programs – and any executive decrees should be carefully circumscribed and require subsequent parliamentary review and approval;

have the authority to set its own budget and the budgets of parliamentary support agencies, but do so only for core parliamentary functions;

establish, as required, procedures for the approval of budgets and reports on actual expenditures and results;

provide in its budget the services of professional staff to assist it in its plenary and committee duties;

have the authority to call witnesses, including ministers and officials, in a way which requires their attendance and response to oversight questions.

External Measures set out through legislation core standards for the executive branch utilization of

all financial instruments, including procurement, contracts, grants, and loans; set out standards for reporting to parliament (and parliamentary access to)

actual revenues, expenditures, and results; set out through legislation standards for the public service, including

appointment, compensation, and accountability; and Establish as a parliamentary agency an independent audit office with the power

to audit departmental reports and operations, and report to parliament promptly and openly on its findings.

Consider a Resolution to improve Oversight in Iraq To debate and establish a position on parliamentary oversight for the COR.

Adopt – both internal and external measures To consider adopting the GOPAC global position statement on parliamentary

oversight to better tailor these tools to meet Iraq’s needs; Examine the need for further development and application of international

public sector accounting standards.

In the next training in the MP’s Toolkit Series, we will continue to explore the topic of oversight. We will explore the role of the Supreme Auditor in a parliamentary system.

7

Members of Parliament Toolkit

Legislatures and Oversight

Prepared by Legislative Strengthening Program

March 2009

Legislatures and Oversight Trainee Handbook

Legislatures and Oversight Two Sessions: (100 minutes) This training is designed to provide the participants with a basic knowledge of “OVERSIGHT” and enacting federal laws as well as monitoring the performance of the executive. Training Goals: After this training the participants will be able to:

1. Understanding the meaning of oversight 2. Explain why the responsibility has been given to parliament 3. Assist in the oversight function of the Council of Representatives 4. Identifying oversight problems and obstacles

8

Session One (50 minutes) Oversight – What is it? Parliamentary Oversight – General Parliamentary oversight does not mean direct involvement, as defined as usage of public resources and powers granted to the executive by legislation and the constitution, in the operations of the executive branch. It does, however, see parliamentary oversight as the duty of parliamentarians to require the executive branch to: follow certain rules related to financial operations, openly report to parliament on its exercise of the powers and public resources granted, and to directly and publicly provide its interpretations of the appropriateness and wisdom of those actions.

Parliament does this by: granting specific authorities and funds for specific purposes to the executive; imposing procedural requirements on the use of these powers and resources,

management of assets, debt, revenue, and government reporting (including accounting standards) on their use and results; and

establishing its own powers, practices, and resources to review and expose for public consideration its views on the executive’s performance; investigate specific issues; and publicly question ministers and public officials.

GOPAC members see parliamentary oversight as weak in many regions and countries and asserts that this weakness is a contributing factor to corruption. They see improved oversight as a key part of corruption prevention; parliamentary and public understanding is needed of all the resources available to government, the allocation of these resources to specific programs and activities, and the results they are to achieve. Supervision: The responsibility to supervise something - in the case of parliamentary oversight it means that parliament has the responsibility, authority and mandate to oversee government spending. Normally, this is expressly written into the country’s constitution.

9

Iraq Constitution Article 61

1. Enacting federal laws

2. Monitoring the performance of the executive

Why has this responsibility been given to parliament? Oversight of the Government of Iraq is the constitutional responsibility of the Council of Representatives (the parliament). Is the administration considered an institution that must report to parliament? Of the three core functions of legislatures—representation, lawmaking, and oversight—oversight is perhaps the least studied and practiced. Case Study Former President of Nigeria Mr. Obasanjo In 2008, a Nigeria House of Representatives committee investigation revealed that Nigeria had spent, under the former President Obasanjo, over $10 billion for expanding power-generating capacity and received zero kilowatt hours in return. Nigerians already have many laws, they have the money thanks to oil, and they want the government to spend it on things people need, including power generation.

The Problem

The people are not receiving value for money when programs are not implemented by the executive. Resources are diverted through corruption and inefficiency choices, and in many cases produce worse results than simple inaction.

The Solution

There is a democratic advantage of giving leaders feedback about how they are doing. Legislative oversight is an important but underused means for communicating information in a form that is typically hard for politicians to ignore. President Obasanjo was not re-elected.

10

Session Two (50 minutes) Oversight Tools Committee hearings

Debate and hearings in the plenary session

Commissions of inquiry

Questions: During debate

Question period: A set time each day to question ministers

Written questions to the executive (called interpellations)

Ombudsman – independent from government that reports to the parliament

Supreme Auditor – appointed by parliament independent

Public Accounts Committee

Budget Office

Request for papers, reports, and persons

GOPAC Position Statement The Global Organization of Parliamentarians against Corruption (GOPAC) states that: In the matter of parliamentary oversight, parliaments should undertake internal and external measures as follows: Internal Measures ensure that they have the powers to authorize all revenues (tax rates, royalties,

fee structures) and expenditures – including expenditures by Ministries and programs – and any executive decrees should be carefully circumscribed and require subsequent parliamentary review and approval;

have the authority to set its own budget and the budgets of parliamentary support agencies, but do so only for core parliamentary functions;

establish, as required, procedures for the approval of budgets and reports on actual expenditures and results;

provide in its budget the services of professional staff to assist it in its plenary and committee duties;

have the authority to call witnesses, including ministers and officials, in a way which requires their attendance and response to hearings related to parliamentary oversight;

11

External Measures set out through legislation core standards for the executive branch utilization of

all financial instruments, including procurement, contracts, grants, and loans; set out standards for reporting to parliament (and parliamentary access to)

actual revenues, expenditures, and results; set out through legislation standards for the public service, including

appointment, compensation, and accountability; and Establish as a parliamentary agency an independent audit office with the power

to audit departmental reports and operations, and report to parliament promptly and openly on its findings.

Consider a Resolution to improve Oversight in Iraq To debate and establish a position on parliamentary oversight for the COR.

Adopt – both internal and external measures To consider adopting the GOPAC global position statement on parliamentary

oversight to better tailor these tools to meet Iraq’s needs; Examine the need for further development and application of international

public sector accounting standards.

“In the second part of this training on Oversight we will look at the role of the Supreme Auditor in a Parliamentary system”.

12

Member of Parliament Toolkit Legislatures and Oversight

Prepared by: Legislative Strengthening Program

Training Agenda 10:10 10:00 Opening-Expectation Participants–

Acquaintance - Training Objectives

First day

10:20 10:10 Oversight. What is it?

10:25 10:20 Iraq Constitution

10:30 10:25 Break

10:45 10:30 Case Study

11:00 10:45 The Problem

10:10 10:00 Oversight Tools

Second day

10:20 10:10 GOPAC Position Statement

10:30 10:20 Internal Measures

10:40 10:30 Break

10:50 10:40 External Measures

11:00 10:50 Consider a Resolution to Improve Oversight in Iraq

13

TRAINING PARTICIPANT INFORMATION FORM

Training Course Information (to be completed by the Course Manager) Course Title: ____________________________________________________________ Venue: ________________________________________________________________ Course dates: ___________________________________________________________ Service Provider: ________________________________________________________ ILSP Contact Person: _____________________________________________________

Participant Information (to be completed by the Participant)

Personal Data

• First Name: ________________________________________________________________________

• Second Name: _____________________________________________________________________

• Last/Tribe Name (s): _______________________________ Sex : Male Female

• Age: 18 – 25; 26 – 35; 36 – 45; 46 – 55; 56 – 65; 66 –up.

• Cell Mobile (include country/city code): +_____ / ___________________________________

• E-mail: _____________________________________________________________________

Your Languages

• Mother tongue: _____________________________________________________________________

• Other Languages in which you are fluent (Please specify) : __________________________

Your Education (tick all that apply)

• University Degree

• Master’s Degree

• Doctorate Other: ________________________

Employment Information

• Your Job Title: _______________________________________________________________

Since (mm/yyyy): _______ / ________

• Name of your Department: _____________________________________________________

• Size of your Department: Less than 5; 5 – 10; 10 – 25; Over 25.

Previous LSP Training(s) Attended

• Yes No List:

14

END OF COURSE QUESTIONNAIRE ANTICIPATED BENEFITS TO YOUR PROFESSIONAL PERFORMANCE

Course Title: _____________________________________________________________________ Location: _____________________________________________________________________ Course Dates: _____________________________________________________________________ Translator: _____________________________________________________________________ Service Provider: _____________________________________________________________________ Please answer the following questions to help us understand which elements of the training are most likely to have a positive impact of your future work performance. 1. Take a few steps back from the workshop and imagine yourself in your workplace: which best

practice, lessons learnt, or other element acquired during the course will you most probably put into practice? List a maximum of three.

2. If you foresee that you will share the skills or knowledge that you have acquired during this

course with others, please specify how you plan to do this (select all that apply): 1. By organizing an informal briefing of my work colleagues 2. By organizing a formal training for my work colleagues 3. By advising or assisting work colleagues 4. By sharing the documentation with others inside your department 5. By sharing the documentation with others outside your department 6. Other (please specify):

3. Are there any other comments you would like to share with us to help LSP improve this

training course?

1.

2.

3.

15

END OF COURSE QUESTIONNAIRE TRAINING SATISFACTION AND SELF-ASSESSMENT OF IMPROVEMENT

Course title: _____________________________________________________________________ Training Objective(s):

Location: _____________________________________________________________________ Course Dates: _____________________________________________________________________ Translator: _____________________________________________________________________ Service Provider: _____________________________________________________________________

We would now like your assessment of the entire training course. Please rate all of the aspects listed below by checking the appropriate box (paying attention to the different scales used). Check only one answer for each aspect. Part I: Satisfaction with the training course

Min

imum

Max

imum

1 2 3 4 5 1. Do you feel that the course reached its objectives? 2. Were the topics appropriate with respect to what you specifically needed

to learn for your current work or functions?

3. Was the course relevant to your department’s needs? 4. Did the course provide sufficient opportunity to put what you learnt into

practice through practical exercises?

5. Was the training material you received useful? 6. Was the quantity of training material you received appropriate? 7. Was the course effective in providing networking opportunities? 8 Did you find the composition of the group appropriate to favor effective

learning?

10. Was the information/materials you received before the training timely? 11. Did you receive appropriate administrative assistance during the training?

16

Are there any part(s) of the training that was NOT useful? a. b. c. d. e.

Do you think any topics should be added to this course? Yes No

If yes, please specify:

Part II: Self assessment of knowledge and skills gained

Please rate your own capacity before and after the course:

Insert title of all parts of the course:

Non

e Pr

ofic

ient

1. Before the course After the course 2. Before the course After the course 3. Before the course After the course 4. Before the course After the course 5. Before the course After the course 6. Before the course After the course 7. Before the course After the course

Additional comments?

----------------------------------------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------- -----------------------------------------------------------------------------------------------------------------------------

17

Training Attendance Sheet

Course Title------------------------------------------------------------------- Instructor---------------------------------------------------------------------- No. Name Position Department/unit

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30.

18

Training Follow up

Course Title : Status Confirmed In process Pending Contract:

Trainers:

Invitation Letters:

Training Dates:

Training Timing:

Training Venue:

Course Materials:

Handouts:

Follow up by:

Notes

19

(Training Invitation Form)

--------------------------------------------- تاريخ الدعوة

الموعد النهائي للتسجيل-----------------------

التخطيط اسم الدورة

عدد ايام التدريب

تاريخ البدء

الجدول اليومي

أيام 2

24/2/2009

ساعة يوميا 3

العلياالكوادر الفئات المشمولة

أو إكتساب المعرفة والمهارات الضرورية في مجال / إتاحة الفرصة امام ألمشاركين لتحسين و وصف للدورة التدريبية وتعلم وسائل وطرق نقل هذه المعلومات ووضعها في خدمة عموم فئات / التخطيط اإلستراتيجي

كما تتيح الدورة الفرصة للمشاركين لإلسهام في توفير وبخلق الظروف الصحية المناسبة . المجتمع للتعامل مع التغييرات الحاصلة في مجاالت التنظيم واإلدارة ودراسة وتحليل هذا المتغييرات وتحديد

. ماهيتها والسيطرة عليها، من خالل عملية التخطيط اإلستراتيجي

.أهمية التخطيط األداري .1 المواضيع الرئيسية للدورة .مراحل اعداد التخطيط .2 . مستلزمات التخطيط .3 .تحديد اسلوب وضع األهداف .4 .واهميتها بالنسبة للتخطيط السليم خصائص األهداف .5 .نظام وأدوات الرقابة على الخطة .6 .إعداد نموذج خطة .7

، مجاميع عمل، نقاشات ودراسة ، حلقات نقاشيةالعرض تفصيلي باستخدام شرائحالعرض الشرح و ال النهج التدريبي .حالة

الوكالة األمريكية للتنمية الدولية الجهة المقدمة للتدريب

منهاج الدورة، المادة التدريبية، قرطاسية للتدريب المواد المقدمة للمشاركين

مجلس / اسم المنسق النواب

لجنة شؤون األعضاء والتطوير البرلماني

جمهورية العراق مجلس النواب

كؤمارى عيـَراق ئةنجومةنى نويَنةران

الله الرحمن الرحيم بسم

ليذنةى كاروبارى ئةندامان و ثةرةثيَدانى لجنة شؤون األعضاء والتطوير البرلماني ثةرلةمانى

20

Training Invitation Letter

Date of Invitation:-----------------------------------

Last day of Registration: -------------------------

Course Title:

Training Duration: Starting Dates: Daily Schedule:

Targeted Groups:

Course Description:

Course Outlines:

Training Methodology :

Service Providers:

Materials Provided:

COR Contact Person:

21

Annex 4: Passport to Parliamentary Excellence

A Performance Management Model for the Council of Representatives Staff

(Linking Training to Career Development)

Passport to Parliamentary Excellence

0

Table of Contents

1. PRINCIPLES AND OBJECTIVES OF PERFORMANCE MANAGEMENT ..... 1

2. THE COUNCIL OF REPRESENTATIVES (COR) PERFORMANCE MANAGEMENT PLAN FOR STAFF – THE PASSPORT TO PARLIAMENTARY EXCELLENCE 2009 ........................................................................................ 3

2.1. STAFF PERFORMANCE MANAGEMENT PROGRAM ............................ 3

Preamble ........................................................................................................ 3

Incremental Progression ................................................................................. 4

Initial Meeting - Establishing the Performance and Development Plan (“the Plan”) Planning Meeting ............................................................................................ 4

Regular Discussion and Ongoing, Informal Feedback .................................... 4

Formal Review Meeting .................................................................................. 4

Review of the Performance Management Process and the Decision to Withhold an Increment ........................................................................................................ 5

3. THE PERFORMANCE MANAGEMENT PROGRAM FOR STAFF: ………….6

3.1 The Steps ................................................................................................. 6

3.2 The Documentation (The Annual Plan or “Plan”) ...................................... 7

3.3 Outcomes of the Performance Review ..................................................... 8

3.4 Retention of the Performance Management Program Documentation ...... 8 4. ROLE OF THE COR SUPERVISOR AND THE STAFF MEMBER – AN ACTION

CHECKLIST .................................................................................................... 9

1

1. Principles and Objectives of Performance Management

The Passport to Parliamentary Excellence 2009 (PPE) is a performance management program model designed to link capacity building training with the career development needs of the Council of Representatives (COR) employees. This represents a starting point and is subject to refinement according to further consultations with the COR. The staff of the COR is the key resource of the Passport to Parliamentary Excellence Program. It is important that all staff are actively involved in planning their ongoing development and continual improvement in performance in order to have a rewarding career in the COR and in government. Performance management benefits both the COR and its staff. The performance management process ensures that all staff are working in alignment with the COR’s directions and goals, and provides input that can be used to inform a range of human resource management activities, such as the provision of relevant training and development opportunities.

What is performance management? Performance management is the ongoing, formal and informal, process whereby supervisors and staff communicate throughout the annual planning cycle, to:

• ensure that the staff member understands the goals of the COR as a whole, and those of the department, unit, or committee with which they are employed;

• set the staff member’s own work goals, and ensure they fit within the broader goals of the COR;

• identify the staff member’s development and career goals and how these goals might by pursued through developmental strategies;

• assess how the staff member has performed against the goals of the previous cycle, and ensure the staff member has enough feedback to understand his/her performance, celebrate his/her achievements, and maintain or improve performance in the future; and

• complete a range of related COR capacity building training and HR staff management mechanisms (orientation, probation, training, incremental progression, work redesign, etc).

Informal performance management occurs regularly, as staff and supervisors discuss, plan and carry out work, evaluate the results, discuss ways to improve and set in place improvement and development strategies. Formal performance management operates on an annual cycle, so that the key steps are regularly carried out.

2

The Performance Management Cycle Each COR department will establish its own specific annual cycle for performance management, and all staff should be aware of the timing of each of the annual steps in the cycle for their particular work unit. The diagram below outlines the formal performance management cycle.

* The formal performance management cycle occurs on an annual basis, it is recommended that a mid-year review also be undertaken in addition to regular informal feedback.

Benefits of performance management Performance management benefits the individual staff member, the department and the COR as it provides an opportunity for:

• Clarification of job description; • discussion of work-related issues and developing solutions; • formal review of performance and the achievement of agreed goals

and objectives; • two-way face to face feedback; • linking individual performance to broader strategic plans and key

objectives; • discussion of work goals and identification of training and

development needs; • recognition of good performance and achievements; and • discussing and planning for career development.

COR

Strategic-Operational Plans

Set Goals

• Set work goals • Identify career/ developmental goals

Review and Feedback

• Review performance • Provide feedback • Review development and career

progress • Set new goals and strategies

Implement and Monitor

• Pursue work goals • Implement development and career

goals • Monitor performance and

achievement of goals

Mid-Year Review

3

2. The Council of Representatives Performance Management Program for Staff – The Passport to Parliamentary Excellence (PPE) 2009

The Council of Representatives performance management program model is known (at this stage) as the Passport to Parliamentary Excellence 2009. This preliminary staff development program has been developed in consultation with the MAPDC, the Secretary General and the USAID Legislative Strengthening Program. The aim of the Passport to Parliamentary Excellence is to develop a career development mechanism that strategically links the employee’s training to his/her advancement within the Council of Representatives.

2.1 Staff Performance Management Program

Preamble 2.1.1 Performance management at COR encourages the development and maintenance of a culture of continuous improvement within a productive, positive, and harmonious work environment, where staff and supervisors work in partnership to achieve personal and professional goals aligned with the strategic and operational objectives of the COR. 2.1.2 The performance program or the Passport to Parliamentary Excellence (PPE) is applicable to all staff (full-time or part-time) 2.1.3 The objectives of the PPE program are as follows:

• To ensure role clarity and reach agreement on the annual goals of the position • To link individual performance and development planning to the goals and

priorities of the work unit/directorates and the COR more broadly • To provide feedback to the staff member and supervisor on a regular basis

throughout the annual performance and review cycle; (hereafter “annual cycle”) • To determine appropriate training in relation to the position and for career

development purposes • To formally review, at least annually, achievement of agreed goals and provide

feedback on performance based on self-assessment and discussion with the supervisor and/or the Head of Administrative Unit

• To provide the basis for judgments to be made in relation to incremental progression

• To plan performance goals and staff development/training activities for the next annual cycle

Incremental Progression

4

2.1.4 Incremental progression will be based on an assessment of satisfactory performance in accordance with the provisions of 2.1.9.

Initial Meeting - Establishing the Performance and Development Plan (“The Plan”) Planning Meeting 2.1.5 The staff member and the supervisor will meet to agree on manageable goals and objectives to be pursued during the forthcoming annual performance and review cycle. The goals, against which to assess whether or not satisfactory progress has been made and method of assessment, will be documented in “the plan” and a copy kept by the supervisor and the staff member. 2.1.6 Prior to undertaking supervisory responsibilities of the PPE, each supervisor should complete training in the program and develop methods of giving feedback.

Regular discussion and ongoing, informal feedback 2.1.7 The supervisor and staff member will meet regularly during the annual cycle to discuss:

• The progress in achieving the goals and the level of resources required • Any goals updated to reflect the changes to the work unit/department's plans

and priorities. The method of establishing satisfactory progress toward them will also be updated to take into account the shortened timeframe available.

Where applicable, changes to the staff member's performance and development plan will be noted, including reason for changes required and a copy kept by the supervisor and the staff member.

Formal review meeting 2.1.8 At least once every three to four months, before the pay raise of a staff member falls due, or the anniversary of appointment, the supervisor will convene a meeting at a mutually agreeable time to review the staff member's performance over the past year against the Plan. 2.1.9 Where the staff member has made satisfactory progress, it will be noted in writing. A copy of the document will be provided both the supervisor and the staff member at the conclusion of the interview. The pay raise will be paid at the due date. 2.1.10 Consideration could be given to granting an accelerated pay increase, where it can be clearly demonstrated by the supervisor that the staff member has consistently exceeded the agreed performance level.

5

2.1.11 Where the staff member has not made satisfactory progress towards meeting the goals of the plan for reasons which are within the staff member's control, the supervisor will identify in writing the factors which have not been satisfactorily met. The report will specify the improvement required to achieve the goals and objectives, or make satisfactory progress towards them, within the remaining timeframe. A copy of the document will be provided to the supervisor, the head of the department, and the staff member within five working days of the interview. 2.1.12 One month before a pay increase falls due, a staff member in receipt of advice under clause 22.8 above, will again meet with his or her supervisor to confirm whether or not the performance factors set have been met. Where they have, the staff member will be advised that the increase will be paid at the due date. Where they have not, the staff member will be advised in writing of the reasons that a pay increase will be withheld. A copy of this advice will be forwarded to the head of the Department and the Director General (Human Resources). 2.1.13 A recommendation to withhold a pay increase may only be made by a supervisor or Director General who has received training in performance management, PPE.

Review of the Performance Management Process and the Decision to Withhold a Salary Increase 2.1.14 Prior to undertaking supervisory responsibilities of the PPE, each supervisor must complete training in performance management. 2.1.15 Where a disagreement arises between the supervisor and staff member about the setting of aims and objectives and this disagreement relates to workload, the process referred to in this handbook can be utilised for dispute resolution. 2.1.16 The staff member may seek a review of the decision to withhold an increment, by written application to the relevant director general (DG). A nominee from the relevant DG and from the secretary generals staff, drawn from a pool of staff members of the COR, will consider the merits of the case. Persons ineligible for nomination will include the staff member concerned, the staff member's supervisor or department head or any staff member subject to the direction of that supervisor, or any person not a staff member of the Council of Representatives. 2.1.17 An increase is not to be withheld unless these procedures are used. Nor will it be withheld in circumstances where a staff member can demonstrate that he/she has been denied staff development and/or training necessary to achieve the goals or objectives agreed to be satisfactory performance in the position.

6

3. The Passport to Parliamentary Excellence for COR Staff

3.1 The Steps: The steps in the annual cycle of the Performance Management Program for COR Staff are summarized below.

Staff reviews their job description, their Annual Work Plan, and Annual Development & Career Plan (the Plan”)

Staff self-assess progress against annual plan to discuss with supervisor Formal review at least annually (three months before a pay raise is due, or the anniversary of appointment. Staff meeting with supervisor to review progress Supervisor and staff member agree on the annual plan for the coming year including goals and targets, development and career goals, and planned development / training

Links to operational plans of COR Administrative Unit

Informal reviews held throughout the year to discuss progress towards goals / targets in the annual plan, give and receive feedback, and discuss and resolve issues as they arise

Incremental progression is subject to satisfactory performance. Staff is advised of the outcome in writing, retained within the Plan

If performance is not satisfactory a pay increase may be withheld If so, a separate report is prepared by the supervisor and given to staff member

Plan modified if required and updated if changes made to work unit’s plans and priorities for the coming year

7

3.2 The Documentation (The Annual Plan or “Plan”)

The Plan covers the forthcoming annual cycle and is prepared by the staff member in consultation with the supervisor, within the context of COR, departments/committees, and sub-units plans. The Plan forms the basis of all of the actions in the PPE. The staff member and supervisor will collaborate in the preparation of the Plan, and the supervisor will approve the Plan at the beginning of the annual cycle. The Plan consists of a number of parts, for which a pro forma document has been developed. The content and purpose of the parts of the plan are described briefly below. a) The Annual Work Plan The Work Plan comprises:

• The key responsibilities of the staff member’s position – i.e. the major areas of work ( these will generally be taken from, or at least be consistent with, the staff member’s job description);

• specific work goals for the staff member for each key responsibility for the forthcoming cycle;

• targets for each work goal – i.e. specific measures that will show whether each goal has been achieved; (targets should include timelines for when goals are expected to be achieved, within a manageable workload for the staff member and taking into account events occurring during the year);

b) The Development and Career Plan • the development goals of the staff member (particularly including any

professional development required of the staff member by the department, committee, directorate of the Council of Representatives’ plans);

• the career goals of the staff member

• planned professional development, including training to meet the development and career goals; and

• resources required for the planned professional development. c) Progress Report (the final column of the Plan) At the end of the annual cycle, the staff member is required to ‘self-assess’ performance against the work goals and targets in the Plan and to assess progress towards achievement of the development and career goals. The completed Progress Report column will form a basis for the review discussion with the supervisor. The Progress Report provides a summary of the staff member’s achievement against the Plan established for the previous year - i.e. identifying the areas where work goals/expectations have been met or exceeded as well as identifying areas of performance which require improvement, including any mitigating circumstances;

8

d) Additional Comments This space in the Plan provides the staff member and the supervisor with the opportunity to make additional comments in relation to such things as:

• Outstanding achievement • Mitigating circumstances for targets not yet met • Identifying significant changes in work design and role • Recommendations in regard to job description revisions

e) The Job Description An updated job description, reflecting current duties and commensurate with the staff member’s COR classification level should be attached to the annual plan. The job description provides the broad parameters within which the staff member’s annual plan is formed. Staff members should review their job description prior to their annual performance review meeting so that in consultation with the supervisor, adjustments can be made where necessary.

3.3 Outcomes of the Performance Review

The supervisor will indicate in the Plan whether or not satisfactory progress has been made, or not yet made. Salary advancement is subject to satisfactory performance. In relation to incremental progression, it should be noted that:

• A pay increase may be withheld if the supervisor identifies that the staff member has not satisfactorily met the agreed goals for the cycle under review. It should also be noted that a decision to withhold a pay increase is subject to review (Clause 2.1.16) if sought by the staff member.

3.4 Retention of the Performance Management Program Documentation

• The staff member and supervisor should each retain a copy of the documentation. The documentation has the status of a personnel file, and the supervisor’s copy should be appropriately retained by the COR.

9

4. Role of the Supervisor and the Staff Member – An Action Checklist

The performance management process should be undertaken as a partnership between the staff member and the supervisor with both taking active roles deriving benefits from the process. The checklist below provides some guidance to supervisors and staff on their roles in undertaking performance management.

At the beginning of the annual cycle:

1 Be aware of COR performance planning cycle dates, including:

• when documentation must be submitted; • when review meetings will occur; and • when performance will be reviewed

2 Staff to obtain the required paper (or electronic) documentation for the program

3 Staff to review job description with supervisor, and ensure it is current and accurate

4 Supervisor and staff to consider the COR, directorates /committee, or sub- unit plans – and their impact on the staff members’ work

5 Staff to draft work goals, targets, and timelines for the coming cycle

6 Staff to draft immediate development needs and strategies, and if appropriate, longer term career goals and strategies, for the coming cycle

At the end of the annual cycle:

7 Supervisors to review the plans of each staff member for the previous cycle, and assess their performance against the work goals, and their progress against the developmental goals. Supervisors to consider the kind of feedback that would be useful for each staff member.

Staff to assess their own performance against the year’s plan – both performance against work goals and progress towards developmental and career goals, and formulate examples of performance to illustrate the self-assessment.

All staff completes the Progress Report column of the annual plan.

8 Prior to the review meeting, Supervisor to consider the feedback to be given, and the decisions to be made about performance (probation, satisfactory progress, pay increases, and amendments to each staff member’s plan for the coming cycle).

Supervisor to prepare to meet with staff and communicate the meeting time well in advance

Staff to consider how to present their own performance against last year’s plan, how to present (draft) new plan, what is important to have clarified and discussed, and what feedback is needed

9 Review meeting held to:

10

• discuss performance against last year’s plan; • discuss plan for the coming cycle; • agree on the outcomes from the meeting; and • agree to further action (draft plan for the coming cycle to be modified and

resubmitted).

10 Supervisor to advise staff, in writing, of agreed outcomes from the meeting and ensure any required action is taken

Throughout the annual cycle:

11 Throughout the cycle, supervisors and staff to monitor and assess progress in relation to the work and developmental goals in the staff member’s plan, in particular:

• What has been achieved, what has been delayed and why, what changes have occurred that should be reflected in the plan

• Note progress • Discuss issues as they arise (including any necessary changes to the plan

and/or the job description) and supervisors to provide feedback

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