Auditor General’s Department Human Resource ...

Auditor General’s Department Human Resource & Administration Policies and Procedures Manual April 2012

Human Resources & Administration Policies and Procedures Manual

TABLE OF CONTENTS

SECTION 1

INTRODUCTION 1-1 1.1 Background and Purpose of Manual……………………..…………………….… 1-1 1.1.1 Talent Management……………………………………………………………..………. 1-2 1.1.2 Objectives of the Human Resource and Administration Manual ……... 1-2 1.2 Basis for Development of the Manual………………………………………….…. 1-3 1.3 Employee Responsibility to the Department..………………………….…..…. 1-3 1.4 The Department’s Responsibility to the Employee…………………….……. 1-3 1.5 Management and Control of the Manual…………………………………..……. 1-3 1.6 Structure and Remainder of the Manual…………………………………..……. 1-4

SECTION 2

HUMAN RESOURCE PLANNING 2-1 2.1 Human Resource Planning…………………………………………………..…….... 2-1 2.2 Business Conduct/Ethics……………………………………………………………… 2-1 2.2.1 Confidential Information……………………………………………………………… 2-1 2.2.2 Conflict of Interest……………………………………………………………………….. 2-2 2.2.3 Gifts……………………………………………………………………………………………. 2-3 2.2.4 Political Activities………………………………………………………………………… 2-4 2.2.5 Appearance and Dress Code………………………………………….................... 2-4 2.2.6 Work Hours………………………………………………………………………………… 2-5 2.2.6.1 Opening Hours……………………………………………………………………………. 2-5 2.2.6.2 Lunch Break………………………………………………………………………………… 2-5 2.2.6.3 Overtime Work……………………………………………………………………………. 2-5 2.2.7 Attendance and Punctuality………………………………………….................... 2-6 2.2.7.1 Absence during the Course of the work day……………………………………. 2-5 2.3 Communication…………………………………………………………………………… 2-6 2.3.1 Personal Cellular Phone……………………………………………………………….. 2-6 2.3.2 Company Telephones…………………………………………………………………… 2-7 2.3.3 Sound Devices…………………………………………………………………………….. 2-7 2.3.4 E-mail………………………………………………………………………………………… 2-7 2.3.5 Personal Use of E-mail………………………………………………...................... 2-8 2.3.6 Use of Social Media……………………………………………………………………… 2-8 2.4 Occupational Health, Safety and Security………………………………………. 2-9 2.4.1 Workplace Violence…………………………………………………........................ 2-9


2.4.1.1 Prohibited Conduct……………………………………………………………………… 2-9 2.4.1.2 Enforcement……………………………………………………………..………………… 2-9 2.4.1.3 Reporting Procedures…………………………………………………………..………. 2-9 2.4.1.4 Dangerous Situations………………………………………………………….……….. 2-10 2.4.2 Visitors……………………………………………………………………………………..... 2-10 2.4.3 Handling Emergencies………………………………………………………….……… 2-10 2.4.4 Communicable Diseases…………………………………………………………….…. 2-10 2.4.5 Human Immunodeficiency Virus/Acquired Immune Deficiency Syndrome

(HIV/AIDS)………………………………………………………………………………..

2-11 2.4.6 Physical Disability………………………………………………………………………. 2-12

SECTION 3

RECRUITMENT AND SELECTION 3-1 3.1 Non-Discrimination……………………………………………………………..……… 3-1 3.2 Qualification ……………………………………………………………………………... 3-1 3.3 Advertisement………………………………………………………………………………. 3-1 3.4 Selection……………….. 3-2 3.5 Background Investigations and Reference

Check…………..……………………………………………………………………………………… 3-2

3.6 Approval of Employment……………………………………………………………… 3-2 3.7 Appointment 3-3 3.7.1 Permanent Appointment………………………………………………………………. 3-3 3.7.2 Temporary Appointment………………………………………………………………. 3-3 3.7.3 Casual Appointment…………………………………………………………………….. 3-3 3.7.4 Fixed Term Appointment……………………………………………………………... 3-4 3.7.5 Acting Appointment…………………………………………………………………….. 3-4 3.9 Onboarding…………………………………………………………………………………. 3-5 3.10 Probation……………………………………………………………………….……………. 3-6 3.11 Extended Probation…………………………………………………..…………………. 3-7 3.12 Confirmation of Employment………………………………………….……………. 3-7 3.13 Gratuity of Payments……………………………………………………………..…….. 3-9

SECTION 4 LEARNING AND DEVELOPMENT 4-1 4.1 Nomination and Approval of Training Courses…………….…………………. 4-1 4.2 Internal Training…………………………………………………………………………. 4-2 4.3 External Training………………………………………………………………….……… 4-2 4.4 Financial Support for Training………………………………………………………. 4-4 4.5 Attendance at Training……………………………………………….………………... 4-4 4.6 Post Training Evaluation……………………………………………………………… 4-5 4.7 Continuing Professional Development…………………………………………... 4-5


4.8 Knowledge-Sharing……………………………………………………………………… 4-6 4.9 Performance Management…………………………………………..……………….. 4-6 4.10 Promotion…………………………………………………………………………………... 4-6 4.11 Succession Planning ……………………………………………………………………. 4-7 4.12 Secondment………………………………………………………………………………… 4-8

SECTION 5 REWARD 5-1 5.1 Compensation………………………………………………………………………….……. 5-1 5.1.1 Salary………………………………..………………………………………………….……… 5-1 5.1.2 Method and Timing of Salary Payments…………………………………………… 5-1 5.1.3 Increment…………………………………………………………………………………….. 5-2 5.1.4 Salary Deductions…………………………………………………………………..…….. 5-2 5.1.4.1 Statutory Deductions…………………………………………………………………….. 5-2 5.1.4.2 Non-Statutory Deductions………………………………………………………….….. 5-2 5.1.5 Allowances………………………………………………………………………..…………. 5-3 5.1.5.1 Acting Allowance………………………………………………………………….….……. 5-3 5.1.5.2 Seniority Allowance………………………………………………………………….……. 5-3 5.1.6 Overtime Payment……………………………………………………………………..….. 5-4 5.2 Benefits………………………………………………………………………………………… 5-4 5.2.1 Motor Vehicle Upkeep……………………………………………………………….…… 5-4 5.2.2 Health Insurance………………………………………………………………..…………. 5-5 5.2.3 Pension………………………………………………………………………………………… 5-5 5.3 Leave………………………………………………………………………………………..….. 5-5 5.3.1 Authority for the Grant of Leave……………………………………………………… 5-6 5.3.2 Accumulation of Leave…………………………………………………………………… 5-6 5.3.3 Vacation Leave………………………………………………………………………………. 5-6 5.3.4 Sick Leave…………………………………………………………………………………….. 5-8 5.3.5 Maternity Leave…………………………………………………….………………………. 5-10 5.3.6 Special Leave……………………………………………………………..…………………. 5-10 5.3.7 Casual Leave………………………………………………………………………………… 5-11 5.3.8 Departmental Leave……………………………………………………………………… 5-11 5.3.9 Study Leave……………………………………………………………..…………………… 5-11 5.3.10 No-Pay Leave…………………………………………………………………….…………. 5-13 5.3.11 Payment in Lieu of Leave………………………………………….……………………. 5-13 5.4 Staff Loans……………………………………………………………………..…………….. 5-13

SECTION 6 SEPARATION 6-1 6.1 Voluntary Separation…………………………………………………….……………….. 6-1 6.1.1 Resignation…………………………………………………………………….……………. 6-1 6.1.2 Retirement………………………………………………………………………..………….. 6-3


6.1.2.1 Normal Retirement……………………………………………………..…………………. 6-3 6.1.2.2 Early Retirement…………………………………………………………..………………. 6-3 6.1.2.3 Premature Retirement…………………………………………………………………… 6-3 6.1.2.4 Retirement on Medical Grounds…………………………….………………………. 6-4 6.2 Exit Interviews……………………………………………………………………….……… 6-5 6.3 Involuntary Separation…………………………………………………………………... 6-5 6.3.1 Termination…………………………………………………………………………………… 6-5 6.3.2 Death…………………………………………………………………………………..……….. 6-7

SECTION 7 INFORMATION MANAGEMENT 7-1 7.1 Maintenance of Employee Information…………………………..……………….. 7-1 7.2 External Communication………………………………………………………………… 7-1

SECTION 8 DISCIPLINE AND GRIEVANCE 8-1 8.1 General Policy Statements………………………………………………..…………….. 8-1 8.2 Employees Rights & Responsibilities………………………………..……………… 8-2 8.3 Repeal of Sanction……………………………………………………………………….…. 8-2 8.4 Interdiction from Duty……………………………………………………………….…… 8-2 8.5 Right of Appeal………………………………………………………………………………. 8-2 8.6 Stages in the Disciplinary and Grievance Process……………..……………….. 8-3 8.7 Timeframe from Filing and Duration of Process…………………..…………… 8-3 8.8 Managing the Process…………………………………………………………….………. 8-4 8.9 Disciplinary Procedures………………………………………………………………….. 8-5 8.10 Grievance Procedures……………………………………………………………………. 8-7 8.11 Appeals Process……………………………………………………………….……………. 8-9 8.12 Disciplinary Code…………………………………………………………………………… 8-10 8.13 Exercise of Authority………………………………………………………………………. 8-14

SECTION 9 ADMINISTRATION 9-1 9.1 Maintenance of Building and Office Facilities…………………………………. 9-1 9.2 Records Management……………………………………………………………………. 9-2 9.3 Assignment of Assets……………………………………….…………………………….. 9-2


SECTION 1

INTRODUCTION


Date Prepared: April 18, 2012 Last Revised: April 18, 2012

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1.1 Background and Purpose of the Manual The Auditor General is mandated by Section 122 of the Jamaican Constitution to audit the accounts of all government bodies; including those entities and projects on which Government money is spent. Further to this Section 30(3) of the Constitution allows the Auditor General to conduct special investigations to assess the economic use of government resources. Section 48(B) (6) of the FAA (Amendment (No.2)) Act 2010, stipulates that the Auditor General now has the responsibility to comment on the fiscal management of the Government by way of a report to be tabled in parliament which seeks to give an opinion on the reasonableness of the assumptions and conventions and the justification for deviations from the said targets of the Fiscal Responsibility Paper to be tabled with the budget by the Ministry of Finance. The Auditor General’s Department (AuGD or the Department) is charged with the responsibility to ensure that transparency, accountability and best practices are maintained in government operations. In addition, the AuGD has been given delegated authority of the Human Resource functions under the Public Service Regulations. The functions delegated include:

• Appointments- all appointments for activities for persons entering into and moving within the public service

o Recruitment o First appointment o Promotion o Transfer o Assignments i.e. acting, deployment, secondment

• Separation

o For cause (misconduct, poor performance, criminal offence, etc.) o Reorganization o Voluntary departure (resignation, abandonment of post, etc. o Mandatory departure (upon reaching the age of mandatory retirement)

• Discipline – employees are subject to discipline if they are found to violate any of

the established rules governing their employment

• Training- determining the training needs for the Department and implementing the necessary measures to address the needs

Our Vision: Our vision is aimed at “Promoting a better country through effective audit scrutiny of government operations.” Our Mission is to:

• Conduct independent audits and make reports to improve the lives of citizens • Promote transparency, accountability and best practices in government

operations



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• Encourage compliance with the wishes of parliament, relevant laws and regulations

• Promote the efficiency and effectiveness of government operations with regards to the protection of the environment and diminish the practice and perception of corruption and fraud

• Ensure the sustained utilization of technology to drive and improve the audit and reporting processes.

• Promote transparency, accountability and best practices in government practices.

1.1.1 Talent Management The expertise of staff is critical to the Department achieving its status as a Supreme Audit Institution. The Department is therefore committed to ensuring that staff are able to develop their potential to meet their own goals and enhance the value that is provided to clients. We are therefore committed to using best practice approaches to ensure development of our people. As such the Department will seek to implement guidelines to ensure that:

• All appointments to positions in the Department are based on fair, transparent and equitable processes.

• A succession plan is in place for all mission critical positions and relevant

training conducted to support the process.

• Each employee has a development plan aimed at improving his/her performance in the current role as well as preparing him/her for possible future roles.

• Each employee is assigned a mentor or coach to facilitate ongoing professional and personal development.

• The Department maintains a robust performance management system. 1.1.2 Objectives of the Human Resource and Administration Manual The objectives of the Human Resource and Administration Manual include:

• To set out the approved policies, procedures and prescribed forms relating to all aspects of human resource management and administration for use by the Department.

• To provide standardized rules in order to ensure equitable and consistent

application of the policies.

• To communicate to all employees through a single, standard document the

approved policies and procedures applicable to all employees of the Department.



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• To ensure comprehensive documentation is in place to support human resource and administration decisions.

1.2 Basis for Development of the Manual This Manual has been developed in conformance with standard practices of the AuGD, the Staff Orders for the Public Service, and the laws of Jamaica. The policies and procedures have also been prepared to conform to the directives given in relation to Delegation of Functions- Public Service Regulations (1961). 1.3 Employees’ Responsibility to the Department

All employees of the Department are expected to demonstrate high standards of performance and professional attitude towards their jobs at all times. Employees of the Department are expected to:

• Conform to the general policies and principles. • Maintain and improve the Department’s quality of service. • Display good judgement, tact and decorum. • Display sound ethical standards inside and outside of the workplace. • Be earnest in completing tasks and meeting established standards. • Maintain good relationships with clients. • Treat fellow employees with respect and demonstrate willingness to be part of a

team.

1.4 The Department’s Responsibility to the Employee

Employees are critical to the Department and as such the Department has a responsibility to employees. The AuGD is expected to:

• Provide clarity of direction to all employees. • Ensure employees are apprised of information that may affect them and the

operations of the Department in a timely manner. • Foster an environment of employee involvement. • Treat employees as persons of worth and demonstrate that employees are

valuable to the Department. • Provide a safe, harmonious working environment. • Foster an environment of learning and development.

1.5 Management and Control of the Manual

The Director, Human Resource and Administration (HRA) is responsible for the maintenance of this manual. All matters or enquiries related to this manual should be directed to the Director, HRA.



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The manual will be placed on the intranet to allow each employee access to the information. The information within this manual is confidential and is intended for internal use only. The information within the manual should not be revealed to persons outside of the Department without the written permission of the Auditor General.

The Director HRA shall be responsible to:

• Maintain a record of the distribution of the Manual. Hard copies of the Manual are distributed to the following:

o The Auditor General o Assistant Auditors General (AGs) o Senior Directors o Directors o Managers o Team Leads

• Conduct a review of the Manual periodically. In cases where general policies and procedures, as stated in this Manual, are no longer practical or additional procedures are deemed necessary for the efficient operation of the AuGD, recommendations should be made to the Director, HRA for improvements to the procedures.

• Review requests for an update from any user of the Manual. The user shall put in writing a description of the amendment with the justification for the amendment and present it to the Director, HRA. The Human Resource Executive Committee (HREC) will assess the request and if it is practical, make the amendment to the Manual.

• Maintain strict procedures if changes (additions and/or deletions) are made to the manual. All the manuals in circulation may be recalled and the changes made to the respective sections and communicated to the employees through the intranet. All updates shall identify the revision date and communicated to the users of the manual. The Director- HRA shall maintain a record of all updates to the manual.

1.6 Structure and Remainder of the Manual This manual is organised in a manner that facilitates easy reference to the policies documented herein. It has been organized using the following headings:

• Human Resource Planning • Recruitment and Selection • Learning and Development • Reward • Separation • Information Management • Discipline and Grievance • Administration



SECTION 2

HUMAN RESOURCE PLANNING



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2.1 Human Resource Planning The Department’s human resource function is a means to achieving its corporate goals. Consequently, the Human Resource & Administration Unit (HRA) will participate as a contributing partner in the strategic planning process. The HRA Unit has responsibility for developing the Department’s HR strategy and workforce plan to provide strategic support to the Department in carrying out its initiatives and periodically review the plan to ensure that it is consistently aligned with the strategic plan and remains current.

The Director HRA will:

• Develop strategies which will align the human resource function with the AuGD’s strategic direction and address the short and long term objectives.

• Annually assess the strategic initiatives of the Department and develop:

o a Human Resource Plan and an; o Administration plan

which will detail practical programmes to address the Human Resource and Administration needs as well as measure HRA’s contribution to the AuGD’s development.

2.2 Business Conduct/Ethics

The aim of these policies is to define appropriate standards of conduct for employees in the execution of their duties. The policies are as follows: 2.2.1 Confidential Information

The professional nature of the Department’s work requires a high standard of performance and responsibility. The AuGD’s work is of a confidential nature. In the employee’s execution of duties, he/she may have access to personal and confidential information regarding the AuGD, its clients, and fellow employees. The principles governing confidentiality are as follows:

• Each employee will be required to sign an Official Secrets Act Declaration in acknowledgement of the principles governing confidentiality.

• Employees shall not disclose confidential information without the prior written permission of the Auditor General. The disclosure or use of any confidential information, reports, plans or any other information that might be contrary to the interest of the Department without prior authorization from the Auditor General is prohibited.

• Knowledge of confidential information should not be discussed in public places (such as elevators, lunch room, shopping centres, taxis, etc) or with members of one’s family or be the subject of discussion with other members of staff.



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• Confidential documents shall be disposed of only by shredding using office equipment once the required protocol is followed.

• All employees shall adhere to the provisions of the relevant legislation pertaining to the utilization and dissemination of public information.

• Employees shall protect the confidentiality of non-public information that they receive in the execution of their duties. This obligation continues to apply after the termination of employment except for information required to be disclosed by law.

• Employees who are required to produce into evidence, in any court of law or to the Contractor General, any official document of a confidential nature, shall inform the Auditor General of the nature of the document.

• Employees may not participate in any public forum on matters relating to the Department without prior approval of the Auditor General.

• Knowledge of the location of employees either travelling or attending meetings shall not be disclosed to callers or visitors as this may infringe on their privacy.

This policy should be read in conjunction with the Disciplinary Code. See Disciplinary Code (Section 8.10). 2.2.2 Conflict of Interest

Employees should at all times separate their personal interest from that of the Department. As in all other areas of responsibilities, employees providing service for the AuGD, its clients or any other person seeking to do business with the Department are expected to act in the best interest of the Department. Employees shall make prompt and full disclosure in writing to the Auditor General, through the Director - HRA of any potential situation that may involve a conflict of interest. Conflicts of interest may include, but are not limited to:

• Soliciting and/or accepting payment and/or any other consideration regarding the performance of or neglect of official duties.

• Conducting private business during work hours and/or on the Department’s

property or using the Department’s assets.

• Engagement in private activity similar to official Department’s functions.

• Any other arrangements or circumstances, including family or other personal relationships which might result in the employee not acting in the best interest of the Department.

All employees shall disclose to the Director, HRA all particulars of any direct or indirect interest in any other organisation requiring his/her involvement in its management or



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which could intrude upon the employee’s time while on the business of the Department. Failure to disclose any potential conflict of interest could result in termination of employment.

Employees should seek to clarify what is deemed a conflict of interest with the Director, HRA in a confidential discussion. The final decision on any dispute over the determination of such conflict shall rest with the Auditor General.

2.2.3 Gifts Employees of the AuGD, shall not accept any gifts, favours, entertainment or payment in cash or kind from persons/organisations in any form that would impair their ability to execute their duties in keeping with the Code of Conduct for the Department. Employees may accept gifts or favours from the Department’s clients/business associates providing that they meet all of the following criteria:

• They are consistent with accepted business practices and are not in violation of applicable law and generally accepted ethical standards

• Public disclosures of the facts will not embarrass the Department

• They are of token nature; sufficiently limited value and in a form that will not be construed as a bribe or payoff

Employees are advised to act with prudence in the acceptance of gifts and if in doubt to seek the advice and approval of the Director – HRA. 2.2.4 Political Activities

The AuGD understands that employees may be connected to or involved with political parties. The following policy guides the expectation of employees:

• Employees shall not exercise political bias in the execution of their duties or use

their positions to promote their party’s agenda.

• Employees are forbidden to engage in any type of partisan political activity in any elections at any level

• In the exercise of official duties, no service or benefit should be denied or provided to anyone on the basis of partisan political affiliation

• In the exercise of official duties, employees may be required to provide factual information to explain or clarify government policy.

2.2.5 Appearance and Dress Code

The Department does not require employees to wear uniforms. However, employees should be appropriately dressed for work at all times in a manner which demonstrates professionalism, decency and respect for colleagues, clients, and members of the general public.



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Employees are allowed to enjoy a relaxed/business casual dress code on the last Friday of each month. The following are examples of what is considered acceptable and unacceptable business casual attire:

Acceptable

Unacceptable

Collared shirts and blouses Denim (shirts, dresses) Cardigan sweater sets T-shirts/sweatshirts Oxford Shits Sleeveless shirts and blouses Neatly pressed khakis Spandex/leggings/athletic wear Slacks or trousers Shorts/pedal-pushers Skirts of appropriate length Capri pants Blazers/sport coats Sandals Shoes with socks Athletic shoes/sneakers Jeans pants (on last Fridays)

2.2.6 Work Hours

2.2.6.1 Opening Hours

The normal work week for employees is Monday to Thursday, 8:30 a.m. to 5:00 p.m. and on Fridays, 8:30 a.m. to 4:00 p.m. 2.2.6.2 Lunch Break Lunch times are between the hours of 12 noon and 2:00 p.m. daily. However, employees are expected to abide by the standard lunch period of one (1) hour. 2.2.6.3 Working Beyond Regular Working Hours Due to the exigencies of the services of the Department, employees will from time to time, be expected to work beyond normal hours and on weekends. Senior Directors and Unit Managers should put in place the relevant arrangements to allow employees to conduct their work.

2.2.7 Attendance and Punctuality

• Employees are expected to report for work on time and adhere to the established lunch period.

• All non-management staff are expected to sign a register to record their attendance.

• An employee who is not at his/her assigned workstation and prepared to work at the scheduled time is considered to be late.



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• Managers and supervisors have the authority to establish mechanisms and procedures to monitor the punctuality of employees under their supervision and to recommend disciplinary action for repeated lateness in accordance with the disciplinary procedures.

• An employee who is late for more than seven (7) hours for the month will lose a day, for every seven (7) hours lost due to lateness, from his/her Department or Vacation leave. A memo will be sent to the employee advising him/her of the action(s) taken. This memo should be copied to the personal file.

• Where an employee is absent, without permission for more than five (5) consecutive days, that employee may be subjected to disciplinary action.

• Disciplinary action will not be taken against an employee who is late for

circumstances over which the employee has no control, such as acts of God, road blocks or lateness for which prior approval was received from their Division Head.

2.2.7.1 Absence During the Course of the Work Day Employees who require time-off during the workday are required to request permission from their supervisors. The supervisor should be informed of the reason and duration of the absence as well as the employee’s contact details during the period. If persons are expected to be absent for more than four (4) hours they may be required to apply for casual or vacation leave for the day. The following are examples of cases of absence:

• An employee is considered to be absent when he/she does not report to work by 11:oo a.m. within a normal workday without prior authorization.

• Absence for several days due to the same illness, injury or other incident will be treated as one (1) occurrence. A medical certificate must be produced to support absence of three or more days due to illness.

The following outlines the procedures for managing attendance:

RESPONSIBILITY TASKS

Telephone Operator • Prepares attendance register and places at front desk.

Employee • Arrives at work and signs attendance register.

Supervisor • Retrieves register by 11:00 a.m. each Friday and prepares weekly report.

• Prepares monthly report and submits to Unit Head for



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review and dispatch.

Unit Head • Reviews report and dispatches to HR

HR Officer • Reviews report. • Dispatches report and relevant memo to Heads of

Departments. • Prepares and submits report to Director, HRA for cases

which require disciplinary action.

Supervisor/Unit Head • Reviews report and holds discussions with employees who have excessive lateness and absence recorded.

Director, HRA • Reviews report and initiates disciplinary action where necessary.

2.3 Communication

The policy on communication is aimed at ensuring that all employees maintain acceptable standards as it relates to use of telephone (cellular and company), electronic mail, sound devices and the social media. This policy should be read in conjunction with the Information Technology policy.

2.3.1 Personal Cellular Phone

Use of personal cellular phones during the workday can interfere with employee productivity and be distracting to other staff members. Calls should therefore be held at a minimum, restricted to non-work time where possible and must not interfere with the employee’s work. In particular, employees are encouraged to:

• Advise family members and friends of the Department’s policy and restrict incoming personal calls to cases of emergency.

• Turn off cellular phones or set them on the vibration mode for the duration of meetings.

• Reduce the volume of ring tones and use ring tones that are not offensive to others.

• Lower the volume of conversations to levels where they will not be distracting to others.



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2.3.2 Company Telephones

The Department’s telephones are primarily to facilitate the business of the AuGD. However, the Department understands that it is occasionally necessary to conduct personal business during office hours and as such, employees are allowed to use the telephones for personal business. This should however be kept at a minimum.

The Telephone Operator will make all calls on behalf of employees. Employees will be charged for personal cell and overseas call. Payment for these calls will be deducted from employees’ salaries.

The procedures regarding the use of the company’s telephones are as follows:


Employees • Request Telephone Operator to make calls advising of the nature of the call.

Telephone Operator • Maintains a log of all calls made by employees (personal or business)

• Reconciles telephone bill with the telephone log. • Prepares report of all calls to be charged for and submits

report to the Administration Manager.

Administration Manager

• Checks report and submits to Finance Department for processing.

2.3.3 Sound Devices Employees are allowed to use sound devices such as, transistor radios, tape recorders, CD players, MP3 Players and Ipods. These devices if played at excessively loud volumes may hinder employee productivity. Employees are therefore expected to exercise discretion in the use of these devices and maintain volumes at levels where they do not infringe on the rights of other employees. The privilege to use these devices may be removed at the discretion of the Assistant Auditor General.

2.3.4 E-mail

This policy should be read in conjunction with all other policies including but not limited to those prohibiting discrimination, harassment, offensive conduct or inappropriate behavior. All electronic communications and stored information transmitted, received, or archived in the Department's information system are the property of the Department. The AuGD reserves the right to access and disclose all messages sent by e-mail, as well as remove e-mail privileges if so desired.



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Management reserves the right without prior notice to examine e-mail, personal file directories and other information stored on the Department’s computers with the view to ensure compliance with internal policies and to assist with the management of information systems.

Employees are responsible for assigned username and password. Use of the username and password by other individuals to gain access to the Department’s network is prohibited. Any communication sent from an employee’s account is the responsibility of the employee assigned to the account. Therefore, employees should not allow other persons to send electronic mail from their account and should not use another person’s account to send communications for their own purposes.

2.3.5 Personal Use of E-mail

Personal use of the Department’s electronic mail system is allowed. However, an employee’s personal use should not interfere with the Department’s operations, nor should it cause any embarrassment or harm to the Department. Personal use of e-mail should be on the employee’s own time and should not interfere with job responsibilities.

Employees are prohibited from using electronic mail for any unethical purposes, including but not limited to racism, violence, harassment, pornography, gambling, or any illegal activity. Employees are prohibited from using profane language or vulgarity when using electronic mail services. Employees should exercise the same restraint and caution in drafting and transmitting messages over the electronic mail as they would when writing a memorandum and should assume that their message may be saved and reviewed by someone other than the intended recipients. Employees are prohibited from using the Department’s electronic mail system:

• To conduct business or participate in any profit making activity

• To disclose any confidential information to any party not entitled to that information

2.3.6 Use of the Social Media

The aim of this policy is to provide guidelines for the use of social media within the Department and to ensure the Department is in no way compromised by the actions of employees using the social media. This policy should be read in conjunction with the policy on Business Conduct/Ethics. The following are the guidelines for use of the social media:

• Employees are expected to treat all online activity as public activity.

• Employees shall take responsibility for what they write/post in the social media. • Employees shall exercise good judgement in the use of the social media



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2.4 Occupational Health, Safety and Security The aim of this policy is to ensure the provision of a healthy and safe environment for the Department’s employees. Refer to Manual on Occupational Health, Safety and Security

2.4.1 Workplace Violence

The following are guidelines by which employees will deal with intimidation, harassment, or other threats of violence that may occur during business hours or on the premises: 2.4.1.1 Prohibited Conduct

The Department does not condone any form of workplace violence committed by or against employees. Employees are prohibited from making threats or engaging in violent activities such as:

o Causing physical injury to another person

o Displaying aggressive or hostile behaviour that creates a reasonable fear of injury to another person or subjects another individual to emotional distress

o Intentionally damaging property of another employee or the Department’s property

o Committing acts motivated by, or related to, sexual harassment

o Making threatening remarks 2.4.1.2 Enforcement

The Department does not condone any acts of aggression, threats, threatening conduct or any other or violence in the workplace. Any employee deemed to have committed such acts will be subject to disciplinary action, up to and including termination. Visitors engaged in violent acts on the Department’s premises will be reported to the relevant authorities.

2.4.1.3 Reporting Procedures

Employees are required to report any potentially dangerous situation immediately to a supervisor or the HRA Unit. Reports can be made anonymously and all reported incidents will be investigated. Reports or incidents warranting confidentiality will be handled appropriately and information will be disclosed to others on a need-to-know basis.

All parties involved in any violence will be counseled and the results of the investigations discussed with them. The Department will actively intervene at any indication of a possibly hostile or violent situation.



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2.4.1.4 Dangerous Situations

Employee safety is a high priority for the Department, as such employees are advised not to confront, challenge, or disarm an armed or dangerous person.

2.4.2 Visitors

• All visitors must register their visit with the security guard at the gate before entering the premises of the AuGD.

• All visitors must report to the Telephone Operator/Receptionist and will be

announced to the appropriate personnel before entering the offices of the Department.

• All employees and visitors are expected to comply with all safety rules, regulations and policies while on the premises of the AuGD.

2.4.3 Handling Emergencies

Refer to the Manual on Emergency Management.

2.4.4 Communicable Diseases

The AuGD reserves the right to make decisions involving persons who have communicable diseases based on current and well-informed medical judgments concerning the disease, available memoranda from the Ministry of Health on the particular matter, the risks of transmitting the illness to others, the symptoms and special circumstances of each individual who has a communicable disease, and a careful weighing of the identified risks and the available alternative for responding to an employee with a communicable disease. Communicable diseases include but are not limited to:

• Measles • Mumps • Chickenpox • Influenza • Dengue fever • Whooping Cough • Viral Hepatitis-A (infectious Hepatitis) • Viral Hepatitis-B (serum Hepatitis) • Leprosy • Severe Acute Respiratory Syndrome (SARS) • Tuberculosis • Conjunctivitis (“pink eye”)



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• Leptospirosis • Ringworm • Rabies

The Department may choose to broaden this definition in accordance with information received from the Ministry of Health and within its best interest. No employee or job applicant will be discriminated against based on the individual having a communicable disease. However, the Department reserves the right to exclude a person with a communicable disease from its premises, programmes and functions if, based on medical determination. This determination will be in cases where such restriction is necessary for the welfare of the person who has the communicable disease and/or the welfare of others within the workplace. The Department will comply with all applicable statutes and regulations that protect the privacy of persons who have a communicable disease. Every effort shall be made to sufficiently safeguard the personal information related to persons with communicable diseases.

2.4.5 HIV/AIDS

The Department recognizes the stigma that is attached to persons living with and/or are affected by HIV/AIDS. HIV/AIDS will be treated in the same manner as other life-threatening illnesses and handicaps in terms of our policies and benefits where they apply.

The Department shall not discriminate against a qualified individual with regard to job applications, hiring, advancement, discharge, compensation, training, or other terms, conditions or privileges of employment. The Department will be supportive of and make reasonable accommodation for the employee who is medically able to perform his or her job. An employee's medical information is personal and will be treated as confidential.

The Department recognizes its obligation to provide a safe work environment for all employees and has therefore provided the following policy as it relates to persons living with HIV/AIDS:

• Employees with AIDS or HIV infection are entitled to the same rights, benefits and opportunities as employees with other serious or life-threatening illnesses.

• The Department’s employment practices are based on the scientific evidence that people with HIV infection or AIDS do not pose a risk of transmission of the virus to coworkers through ordinary workplace contact.

• The Department will communicate policies and practices to employees in simple, clear, and unambiguous terms.

• The Department will protect the confidentiality of employees’ medical insurance information.



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• The Department will undertake education for all employees to prevent work disruption and rejection by coworkers of an employee with AIDS or HIV infection before such an incident occurs and as needed.

• The Department does not require HIV screening as part of pre-employment or general workplace physical examinations.

2.4.6 Physical Disability

The purpose of the policy on physical disability is to perpetuate the need for equal opportunities for employees with a physical disability in the workplace. The intention of the policy is also to increase the awareness within the Department on matters relating to persons with a disability and foster a climate of non-discrimination within the Department.

The following are the policy guidelines:

• The Department shall not discriminate against persons with a disability.

• The Department shall ensure that relevant infrastructure to facilitate the needs of persons with a disability.

• The Department shall have ongoing staff development activities to promote inclusion and build awareness around addressing issues related to persons with a disability.

• The Department shall actively support the integration of persons with

disabilities into the activities of the Department.


Date Prepared: Last Revised:

SECTION 3

RECRUITMENT & SELECTION



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3 Recruitment & Selection

The aim of these policies is to ensure that the Department recruits and selects the most suitable candidate for each job vacancy. The terms of employment may be permanent, temporary or fixed term. The following are the policies which will guide the recruitment and selection process:

3.1 Non- Discrimination

The Department shall provide equal employment opportunities to all eligible applicants. Applicants will be considered on the basis of their competencies, qualification, character and physical fitness for the position to be filled. The Department shall not discriminate against applicants for employment based on race, religion, race, sexual orientation, disability, national origin, gender, age, membership or non-membership in any social, labour or political organisation or other personal characteristics.

3.2 Qualifications

• All candidates are required to have at least the minimum qualifications as described in the job description for the intended job.

• All candidates are required to present originals or certified copies of documents including, birth certificate, academic certificate, diploma, degree or other documents relevant to their educational achievements.

• All applicants for permanent employment will be required to submit a detailed resume and to complete the Department’s application form upon invitation for an interview.

3.3 Advertisement

Vacancies for all positions will be advertised internally and externally simultaneously to provide the widest possible access and opportunity for individuals interested in the position.

The Department reserves the right to use various media for recruitment such as publication in daily newspapers or a recruitment company to identify new employees.

3.4 Selection

• The Department shall use various means of evaluation in the selection process depending on the nature and level of the position in order to maintain equity and fairness in the selection process. The evaluation tools may include any or a combination of the following elements:

o Interviews



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o Written tests

o Simulation

o Psychometric assessments

o Skills/technical assessments

• Interviews shall be conducted using a panel approach. The panel should comprise the:

o Director, HRA

o The relevant Assistant AG

o The Auditor General (where appropriate)

o An independent party if required.

(Notwithstanding, the Department reserves the right to reconstitute the panel depending on the level and nature of the job).

• In cases where multiple selection tools are used, candidates will be selected based on the results of all elements of the selection process.

3.5 Background Investigations and Reference

Checking The Department reserves the right to conduct thorough background investigations on all applicants.

• At least three references are required from each applicant.

• There may be cases where the Department needs to contact the applicant’s present or former employer, in such cases consent must be given by the applicant.

• Applications will be held, pending the receipt of satisfactory references. If necessary, applicants will be requested to furnish additional referees.

• A Criminal Records Search may also be conducted if the Department deems it necessary to determine if the applicants have any misdemeanour convictions, felony convictions, open arrest warrants, and/or related activities reported will form an input into the employment decision.

3.6 Approval of Employment

The Department shall determine the requirements upon which employees are permanently, temporarily and contractually employed.

• The Governor General will appoint the Auditor General.



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• All employment shall be approved by the Auditor General. The Public Services Commission shall be duly notified of the appointments.

3.7 Appointment Persons entering the Public Service may be on a fixed term contract or placed temporarily in a permanent post.

3.7.1 Permanent Appointment

Permanent appointment may be made where the appointment is to a position which is on the Public Service Establishment is clearly vacant. The following should guide the recruitment of permanent employees:

• All prospective employees should be provided with a job offer letter outlining the terms and conditions of appointment, which may include the requirement for probation and medical certification at least twenty (20) working days prior to the commencement of employment unless otherwise agreed between the parties.

• Acceptance of the job offer should be done in writing and submitted to the HRA

Unit at least ten (10) working days prior to the commencement of employment.

3.7.2 Temporary Appointment

The Department will periodically employ individuals for a stipulated period subject to the exigencies of the Department’s work. The following should guide the recruitment of temporary employees:

• Temporary employment must be offered for a specific period, not exceeding six (6) months.

• Extensions to the period must be approved by the Auditor General on the recommendation of the relevant Assistant AG and the Director HRA. Extensions should not be for more than an additional six (6) months.

• A letter confirming the assignment, period, rate of pay and any other terms and conditions must be issued to the employee at the commencement of the employment and reconfirmed in writing for any period of extension.

3.7.3 Casual Appointment

• All requests for casual employment shall be recommended by the respective Assistant AG and forwarded to the Director HRA for processing.



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• The name of all workers shall be referred through the HRA Unit to the Accounts Unit for entry on staff payroll.

3.7.4 Fixed Term Appointment

A fixed term appointment is a contractual arrangement for the performance of specific functions for a pre-determined period under terms and conditions under the contract. The following should guide the recruitment of employees on fixed term appointment:

• Contracts for fixed term appointments must be consistent with existing guidelines issued by the appropriate authority.

• Contract employees shall not be employed for periods greater than the times specified in their contract without written approval and agreement by both parties. The employment of these officers shall be in accordance with the Department’s procedures for employment of staff. All contract officers shall be subject to the Department’s code of ethics.

3.7.5 Acting Appointment

An acting appointment is for a specified period, where an individual in one position is required to perform the duties of another position at a higher level. The following should guide acting appointments:

• An acting appointment does not confer an automatic right of permanent appointment to the position.

• Opportunities for acting should be managed in a manner that will not result in an unfair advantage to anyone in any subsequent process.

The relevant procedures that guide the recruitment and selection are outlined below:


Assistant AG • Complete requisition form to fill vacancy • Submits requisition form to Director HRA

Director HRA • Receives requisition form. • Reviews and makes recommendation to the Auditor General for

filling the vacancy. • Prepares advertisement to fill vacancy. • Advertises post both internally and externally.

Applicant • Submits application.

Director HRA • Receives and reviews application • Shortlists applicants. • Schedules interviews and informs applicants of interview. • Coordinates interview



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Applicant • Receives invitation to interview

Director HRA • Coordinates interview • Facilitates interview session with panel and applicant

Panel • Makes recommendations on prospective employee

Director HRA • Submits recommendation to the Auditor General for approval.

Auditor General • Approves or declines recommendation and returns decision to the Director HRA.

Director HRA • Communicates results to Senior Director. • Instructs HR Officer to prepare offer and/or decline letters to

respective applicants.

HR Officer • Conducts background checks on approved candidates. • Prepares and dispatches letter to respective candidate.

Prospective Employee

• Accepts or declines job offer.

3.9 Onboarding

Each new employee to the Department is required to participate in an orientation programme. Orientation for new employees will commence on the first day of employment and should be completed within the first month of employment.

•

The HRA Unit has the responsibility to ensure that all administrative matters in relation to the employee’s tenure are completed and the employee provided with an overview of the Department’s policies and procedures and the orientation programme.

Human Resource & Administration Unit

The activities will include:

o Providing copies of relevant literature including human resources policies and procedures, and any other related documents.

o Providing information on ethical and confidentiality standards.

o Providing information on salary, benefits and methods of payment



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o Providing relevant forms for completion such as, information for payroll processing, confidentiality agreement, etc.

o Providing overview of the function of the Department, and the role of the employee.

o Familiarization with the physical facilities.

o Providing information on general conditions of work

o Introducing the new employee to other employees.

•

Division/Unit orientation will be organized by the Assistant AG of the respective Division. The activities will include:

Division Orientation

o Introducing new employees to co-workers

o Discussing job responsibilities, expectations, and duties

o Providing basic training to undertake the immediate job function

3.10 Probation

The policies underlying probation are applicable to those employees who are employed on a permanent basis. The guidelines are as follows:

• An employee shall be required to serve a probationary period of not less than three (3) months.

• The employee must be given regular feedback (at least one prior to formal assessment) on his/her performance during the probationary period.

• The employee’s immediate supervisor should assess his/her performance and formally advise the employee of his/her status at least one (1) month prior to the end of the probationary period.

• The appraisal will form the basis of the decision to be made on the employee’s status which may be:

o Appointments

o Extension of probation

o Termination of employment



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3.11 Extended Probation

It may become necessary to recommend an extension of an employee’s probationary period based on performance. The following are the guidelines for:

• The period shall not exceed six (6) months and only one period of extension is allowed.

• The employee shall be provided with continuous feedback and a written evaluation done thirty (30) days prior to the end of the period.

• If at the end of the extended probationary period, performance is still unsatisfactory, the employee shall be terminated.

3.12 Confirmation of Employment

• At the end of the probationary period, employees who are recommended for confirmation will be required to undergo a medical examination by the Department’s approved Doctor.

• Employees with a satisfactory medical report will receive a letter confirming their appointment as a permanent employee.

The probation and confirmation procedures are as follows:


Supervisor • Monitors and provides feedback to the employee (feedback may be oral or written).

• Conducts performance appraisal at the end of the probationary period and makes recommendation on the status of the employee.

• Submits performance appraisal to the Director HRA.

Director, HRA • Reviews performance appraisal and determines action to be taken.

• Recommends action to the Auditor General for approval. • Instructs the HR Officer to initiate approved action.

HR Officer • Prepares letter for medical examination and dispatches to employee.

OR

• Prepares letter of termination and submits to Director HRA for dispatch to the employee.



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Director HRA If employee is terminated:

• Conducts meeting with employee and supervisor to discuss termination.

• Makes arrangement with employee for handing over items including the return of company property.

Employee If employee is confirmed:

• Undergoes medical examination.

Director, HRA • Reviews medical report. • Directs HR Officer to prepare letter of confirmation if medical

report is satisfactory.

OR

• Discusses unsatisfactory medical report and status of employment with Auditor General and employee.

HR Officer • Prepares letter based on approved status (confirmation or termination) and dispatches to Director HRA.

Director HRA • Discusses status with supervisor and employee. • Makes arrangement with employee for handing over activities

including the return of company property. • Conducts handing over exercise.

Employee • If employment is confirmed, completes necessary forms in relation to benefits and submits to HR Officer for processing.

OR

• If employment is terminated, carries out handing over activities including the return of company property.

3.13 Gratuity Payments Gratuity is made to employees with a fixed of term employment usually paid at the end of the contract period. However, subject to the terms of the contract and the availability of funds, gratuity may be paid annually after the first two (2) years of continuous contract service.



SECTION 4

LEARNING & DEVELOPMENT



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4 Learning and Development The policies in this section are aimed at fostering capacity building and ensuring that the Department’s workforce meets current and future organisational and individual needs. The Director HRA has the responsibility to prepare the Department’s Annual Training Plan using the training needs analysis as a support tool in developing the plan. The following are the policies which will guide the training process: 4.1 Nomination and Approval of Training Courses The Department facilitates learning and development through various forms of training. Employees may receive training in the following areas: personal development, professional development/technical expertise.

• The training needs of employees shall be based on the following criteria: o Requirements of their present job o Possible promotions and transfers o Skills gaps that may have been identified through the performance

appraisal process or during the course of work by the supervisor or by the employee.

• Training shall not be sanctioned if there is no clear business need for the

employee to receive specific training or how the course of study will help the employee to achieve his/her professional goals and objectives. Priority is given to what is directly related to the Department.

• All requests for training shall be accompanied with a justification explaining the positive impact that such training is likely to have on the employee’s performance, and how this would benefit the Department.

• The training needs analysis shall identify the specific training requirements in the areas of personal development, professional development/technical expertise. These requirements may arise from performance reviews or at any time during the year.

The following are the procedures for employees making request to attend training:


Employee • Identifies training programme. • Completes requisition form outlining details of the

programme • Submits requisition form to respective Assistant AG

Assistant AG • Receives requisition form • Discusses with employee • Signs off on request • Submits requisition form to HRA Unit.



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Manager Talent Management

• Reviews requisition • Submits requisition to Director HRA

Director HRA • Reviews requisition form

• Presents requisition for training to the HREC.

HREC • Reviews requisition form. • Makes recommendation. • Submits to Auditor General for approval.

Auditor General • Reviews recommendations.

• Approves training. • Submits decision to Director HRA

Director HRA • Discusses outcome with employee.

• Submits request to Accounts & Finance Unit for payment for training

4.2 Internal Training Internal training refers to training using in-house trainers as resource personnel for the courses. Internal training may also include cross training of employees within and between Divisions/Units. Training may take place on or off site. The following are the guidelines for implementing internal training:

• Guidance and instruction shall be provided to internal trainers used for in-house courses and on-the-job training to ensure that the training provided to employees is at the highest possible standard.

• Managers and supervisors shall recommend employees for cross training to the Director HRA.

4.3 External Training External training refers to training using external service providers. Training may take place on or off site. The following are the guidelines for implementing external training:

• Qualifications of training providers should meet the standards for government training and the respective professional bodies/associations for example ___.

• Where customised external training is required for groups of staff the Director HRA will prepare a written training specification. Procurement for these services should be done in accordance with the Department’s procurement guidelines.

• Assistant AGs, Managers and supervisors must ensure that employees meet the entrance requirements for training courses.

• All course materials obtained at training courses sponsored by the Department shall be made available for use by the Department.



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• Employees shall indicate in advance whether or not they will be able to attend training courses for which they have been selected.

• Failure to attend training courses paid for by the Department without a suitable and acceptable explanation or obtain the required passing grade where grades are awarded will result in the deduction of the cost of the course from the employee’s salary.

The relevant procedures are outlined below for selection of internal courses:



• Reviews training needs recorded on appraisal and/or requests for training received from Assistant AGs

• Identifies courses and internal presenters. • Reviews approved budget, courses identified for

respective employees and submits to Director HRA for review and decision.

Director HRA • Reviews submissions and makes a decision. • Advises Assistant AGs of decision and obtains feedback.

HR Officer • Prepares draft memo to advise participating employees of training date, location, etc. and attaches evaluation of training form.

• Distributes memo to employee.

The relevant procedures are outlined below for selection of external courses:



• Reviews training needs recorded on appraisal and/or requests for training received from Assistant AGs.

• Identifies courses offered by approved institutions, noting

course contents, duration, time and costs. • Reviews approved budget, selects courses identified for

respective employees and submits to Director HRA for review and decision.

Director HRA • Reviews submissions and makes a decision. • Submits requests to Auditor General for approval. • Advises Assistant AGS of decision and obtains feedback.

HR Officer • Advises institution of intention to send employees for training and requests pro forma invoice.



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• Submits pro forma invoice to Director HRA for approval. • Requests payment from the Accounts Unit and prepares

letter with cheque to the institution. • Prepares draft memo to advise participating employees of

training date, institution, etc. and attaches evaluation of training form.

• Distributes memo to relevant employee.

4.4 Financial Support for Training • The Ministry with responsibility for the Public Service shall, from time to time,

determine the expenses which may be paid from public funds in connection with the training of personnel for the Public Service.

• Where the government determines the need for training and the course of the

training is held outside of Jamaica, the entire cost of economy-class passages for the employee by a direct route to and from the country in which the training is to be undertaken may be provided from public funds.

• In some circumstances, at the discretion of the Ministry with responsibility for the

Public Service, persons selected for training may be required to enter into a loan agreement before the start of the training programme.

• The loan agreement may require that the recipient gives an undertaking to resume

duties, or take up employment in the civil service immediately following completion of the course of study, for a period of up to five (5) years.

• Persons who enter into loan agreements will be required to provide two (2)

guarantors who reside in Jamaica to co-sign on their behalf. Guarantors must have demonstrable financial resources, be at least twenty-one (21) years and should not be serving a bond or be undertaking a course of study for which they are bonded.

4.5 Attendance at Training The provision of training courses is viewed as an investment. In this regard it is essential that employees participate in the courses approved. In light of this, employees should be given due notification of date and time of training course and make every effort to attend.



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4.6 Post Training Evaluation

An important part of training is to determine if the learner achieved the goals of the training. The policies guiding evaluation are as follows:

• The Manager, Talent Management shall conduct an analysis of all the internal training courses provided and prepare a report. The report may be used to determine future training courses.

Internal Training

• All employees who return from training programmes which focus on technical/professional development with a duration of two (2) or more days shall present a summary report on the course to their immediate supervisor and the HRA. The report should include an evaluation of the effectiveness of the programme.

External Training

• An employee’s performance shall be assessed prior to and after the training to assist in determining the benefits of the course to the employee.

• Repeat training shall only be carried out if the training course has added value, and the objectives of the training have been met.

4.7 Continuing Professional Development

• Employees are required to take responsibility for their continuing professional development. All employees are expected to ensure that their skills and qualifications remain up-to-date and current.

• Employees should keep a personal record of their continuing professional development activities which may include reading professional journals, books, attending conferences and seminars, participating as an active member of a professional association and other related activities. Such records may be useful to demonstrate competence when required.

• The Department will, where financially possible, contribute to professional development through sponsorship to conferences, seminars or workshops.

4.8 Knowledge-sharing

The Department encourages employees to share information that may contribute to work improvement or an employee’s growth and development. Based on an agreement with the Assistant AG, employees shall be required to conduct work sessions with persons from their Division/Unit where they will make presentations on the details of a specific topic to the Unit.



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4.9 Performance Management The Department’s Performance Management and Appraisal System shall establish provide a structured approach to the continuous development of the employee to meet the needs of the Department. Each employee should participate in the performance management and appraisal process. The Assistant AG/Unit Head/Supervisor and the employee should develop and agree on the Performance Plan for the appraisal period. All employees should undergo quarterly reviews each year. Assistant AG/Unit Heads/Supervisors should meet with employees at intervals during the year and provide regular feedback on their performance to facilitate growth and development. In addition to regular performance appraisal, appraisals may also be conducted to determine promotion and employee status at the end of the probationary period. For further details refer to the Performance Management and Appraisal Manual. The following are the procedures for the performance appraisal meeting:


Supervisor • Informs employee of date for appraisal meeting. • Informs employee to conduct self-appraisal before

meeting.

Employee • Conducts self-appraisal. • Prepares notes for appraisal meeting.

Supervisor and Employee • Meet for appraisal exercise. • Employee, Supervisor note comments on appraisal

form and sign appraisal form acknowledging participation in the appraisal meeting.

Supervisor • Submits completed appraisal form to the HRA Unit for processing.

4.10 Promotion The potential for promotion of employees will be assessed as part of the performance management system. The Director HRA will record all employees who have been noted for promotion and will invite these persons to the third stage of the selection process when appropriate vacancies arise. The policies underlying promotions are as follows:

• All positions will be advertised internally and externally and selection made in keeping with the Department’s recruitment procedures. Invited applicants with



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recognized promotion or succession potential will have the opportunity to demonstrate their competence alongside other internal and external candidates.

• All selection decisions will be based on a fair and open assessment of applicant’s capabilities.

• The Director HRA will notify the successful candidate and offer the appointment in writing setting out the terms and conditions of employment.

• In exceptional cases at the discretion of the Auditor General, direct promotions may be made. These cases will be communicated to staff.

• Where two or more candidates are assessed to be equally suitable, seniority may be used to select the candidate.

4.11 Succession Planning

The aim of these policies is to ensure that the Department plans to fill critical positions in the event of resignation, long term sickness, retirement, or some other departure by an employee. The plan primarily aims to develop and enable the progression of existing employees into previously identified critical positions and should remain confidential. The policies are as follows: • The Auditor General, Assistant AGs and the Director HRA shall make the key

decisions to determine the critical positions and the potential successors for the positions.

• The criteria for deciding an employee’s suitability to potentially move into a position

shall be based on their fit to the position’s job competencies, their technical background, performance reviews, and their expected potential within the company.

• Succession planning shall only be carried out for senior level positions and any other

key positions that may be identified. The succession plan shall include detailed training and development plans, timeframes and organisation charts if necessary.

• Succession plans do not entitle positions, promotions, or transfers to employees. The Department’s recruitment and selection process will be applied to fill all vacant positions.

The critical positions to be considered for succession planning include but are not limited to:

o The Auditor General o Assistant Auditor General



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The following are the procedures for developing a succession plan:


Director HRA/Auditor General/Assistant AGs

• Identify critical positions to form part of the succession plan

Director HRA • Conduct analysis of each position by identifying the specific skill sets that will be needed by each of the positions.

• Use information gathered to develop the succession plan.

• Implements the succession plan • Monitors, evaluates and revises the plan at

intervals

4.12 Secondment

Secondment is viewed as important for both employee and organisational development. In cases where opportunities for promotion through a succession of line management positions are limited a secondment makes provision for a temporary assignment of an employee to another entity in the public service or to other organisations. The need for such development should arise from discussion held as part of the employee’s performance review. The Director, HRA should be consulted and will assist in the coordination of the secondment which is largely dependent on the availability of positions and the number of other interested employees.

A secondment may be either for a fixed term with a guarantee to return to the Department, or it may be an interim arrangement for a specified period leading to a permanent change in employment. Assignment is normally for a period no more than twelve (12) months and the same terms and conditions of the person’s employment shall apply, except in special cases. The Director, HRA shall advise the employee of any variation of terms that will apply and employees shall be required to sign acknowledging the agreement of such variation for the period of the secondment.

Where employees are seconded, the rules and regulations of the agencies to which they are assigned will take precedence over any stipulations made in this Manual.



SECTION 5

REWARD



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5 Reward

These policies are intended to provide clarity on the Department’s reward and retention strategies to ensure that equity is maintained in the system at all times. The policies also outline a coherent and comprehensive set of guidelines for compensation, benefits, leave administration and staff loans.

5.1 Compensation

5.1.1 Salary

The Director HRA shall be responsible for assigning the salary band, compensation and benefits for all positions. The policy guidelines are as follows:

• At the start of employment, or on promotion, individuals will be advised in writing of their basic pay. This communication will be made in the employee’s employment letter or contract and at each time there is a revision of an employee’s salary.

• All salaries shall be quoted gross on an annual basis.

• Salaries will normally be reviewed annually, with any change, inclusive of increment adjustments taking effect at the anniversary date of appointment. It should be clear that there is no automatic cost of living increase.

• Salary increases shall be made within the guidelines provided by the Ministry of Finance and the Public Service.

5.1.2 Method and Timing of Salary Payments

Employees will be paid monthly and will receive a pay slip showing all payments that have been credited, all taxes withheld, other deductions that have been authorized and net pay for the period. Salary shall be paid net by way of direct deposit to an employee’s bank account or by cheque. The following policies govern the practices in this area:

• Employees shall provide their personal information to the Accounts Department for the purpose of processing their salaries.

• The Director - Finance shall be responsible for ensuring that all employees receive their salary statements.

All salaries are paid on the 25th of each month. In cases where the 25th falls on a Friday, Saturday or Sunday salaries will be paid on the preceding Thursday.

Further details on the payment time and method are set out in the Accounting and Financial Management Policies and Procedures Manual.



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5.1.3 Increments

The merit increment is based on the need for the Department to create transparency in the system of salary adjustments and to provide opportunity for persons who consistently deliver exceptional performance as indicated by the performance appraisal score to move within the salary range. The Division/Unit Head will make a recommendation to the Director HRA where an employee is to be paid an increment. The Director HRA will then submit the recommendation to the Auditor General for approval. The following are the guidelines for the payment of increments:

• Increment becomes payable after the employee has given at least one (1) year of service to the Department.

• Application of increment is based on performance. • Increment adjustment is made with annual salary adjustment when approved. • Increment may be applied outside of the regular period if justified by the

assignment of additional special duties to an employee. Increments may be withheld as a result of unsatisfactory job performance or as a penalty following a disciplinary procedure. In cases where increments are to be withheld the employee will be informed and the Auditor General at least two (2) months before increments are due.

5.1.4 Salary Deductions

5.1.4.1 Statutory Deductions

Statutory deductions will be made from all employees’ gross salaries before payments are issued. The deductions include Income Tax, Education Tax, National Housing Trust and National Insurance Scheme contributions. These deductions will be paid over to the respective organisations in accordance with the Government of Jamaica requirements.

5.1.4.2 Non-Statutory Deductions

The Department will deduct compulsory payments such as health from the salaries of employees. In addition, the Department may facilitate employees making payments from their salaries to certain institutions. These will be deducted from employees’ salaries before they are issued. The payments may be made to institutions such as:

• Other Health and Insurance Companies • Commercial Organisations • Credit Unions • Finance Companies • Mortgage Loan Companies and Building Societies

The Department reserves the right to discontinue this service at any time.



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The employee should sign an agreement for all non-statutory payments to be deducted. The Department shall deduct any amount owed by an employee from their salary, e.g. cost of telephone calls made, etc.

The record of all payroll deductions will be noted on employees’ salary slips and totalled on employees’ annual returns.

5.1.5 Allowances

5.1.5.1 Acting Allowance

An acting allowance will be paid where permanent full time employees are requested to act in a position of a higher grade and assume the full duties of that position for a continuous period exceeding twenty (20) working days. The acting allowance will be paid in addition to his/her substantive salary. Other guidelines to the policy include:

• The Assistant AG must obtain prior approval from the Director HRA and the Director Finance before agreeing the temporary upgrade arrangement.

• The acting allowance is to be calculated from the date of the working day on which the acting duties are assumed to the last working day preceding the date on which the employee resumes normal duties.

• An acting allowance should be calculated on the basis of the difference between the officer’s salary and the minimum salary of the post in which the officer is acting.

• The acting allowance to be paid should be equivalent to at least one increment in the salary scale of the higher post. If the calculation falls between, the allowance to be paid will move to the higher point.

5.1.5.2 Seniority Allowance

In consideration of the performance standards as required under the Performance Management and Appraisal System the following guidelines should be adhered to:

• An employee who holds a post to which an annual scalar salary is attached and who has served at the maximum salary of the scale for two (2) years, is eligible to receive a seniority allowance.

• Additional seniority allowances/increments are payable every two (2) years while employees remain at the maximum of the same salary scale. Employees should not be paid more than three (3) seniority increments.

• When an employee is in receipt of three (3) seniority increments, that officer can be awarded a one-off lump sum equivalent to one (1) increment. This is payable at two (2) year intervals after the receipt of the third seniority increment. In all cases the employee must have earned the seniority increments in the same grade or salary scale.

• Seniority payments are to be based on the performance appraisal for the preceding evaluation year.



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• Qualification for seniority allowance and the lump sum payment are to be based on a rating of 75% and above under the (PMAS).

• A weekly paid employee who holds a post to which a scalar salary is attached and who has served at the maximum salary of the scale for a period of two (2) years, will be granted a seniority allowance at a rate equivalent to the highest incremental rate of his/her scale, except where there is established evidence that he/she is not performing satisfactorily.

• The grant of any seniority allowance will only be made if there is no increase in the number of increments attached to the particular scale.

• All employees who have been granted a seniority allowance will be considered for the grant of a further increment, if in the absence of promotion opportunity, he/she serves three (3) more years in the same post, provided his/her respective Assistant AG is able to certify that his services have been satisfactory in all respects.

• Seniority allowances are personal to the employees who have earned them and are taken into account in the calculation of retiring benefits.

5.1.6 Overtime Payment

Overtime payment is applicable to employees in the ancillary staff category. Employees must work a minimum of 1 hour beyond regular working hours before they are eligible for overtime payment. The procedures for overtime payment are detailed in the table below:


Employee • Completes overtime claim form

• Submits to Manager for approval Manager • Reviews form

• Signs off on form.

Employee • Submits claim form to HRA

Director HRA • Reviews claim and submits to Accounts and Finance for payment.

5.2 Benefits

5.2.1 Motor Vehicle Upkeep

This benefit is provided in accordance with the guidelines issued by the Ministry of Finance and Planning for travelling officers.



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5.2.2 Health Insurance

The Department provides health insurance coverage for all temporary and permanent employees. The benefits of the plan may vary according to the agreement of the provider. Employees qualify for the scheme on joining the Department.

For further information, refer to the Government of Jamaica Health Plan.

5.2.3 Pension

Pension is provided under the Government of Jamaica Pension scheme.

5.3 Leave The Department, in accordance with statutory and contractual obligations provides leave and time-off as part of its overall employment benefit. Employees shall be entitled to leave as set out in the following policy guidelines. However, the grant of leave shall be subject to the exigencies of the Division/Unit in order to:

• Ensure that an adequate number of employees are present at any given time to carry out activities necessary to meet the business needs of the Department.

• Ensure that all employees get vacation time in an effort to create work life balance and the motivation necessary for effective performance at the work place.

• Provide time-off in line with statutory provisions for sickness, maternity, study and other special situations.

• Ensure effective management and administration of all leave provided.

Permanent employees are entitled to various types of leave depending on the circumstances. The following are the types of leave available:

• Vacation Leave

• Sick Leave

• Maternity Leave

• Special Leave (e.g., Court Duties, National Service, Elections)

• Casual Leave

• Departmental

• Study Leave

• No-pay Leave



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5.3.1 Authority for the Granting of Leave

The authority to grant leave is vested in the HRA Unit, on the recommendation of the Assistant AGs, subject to the limitations set out in these guidelines. In turn, employees must obtain the approval of the HRA Unit before proceeding on leave. The Director HRA should be notified of all requests for leave, including vacation, sick, maternity, special, casual, departmental, study and no-pay, by way of the completion of the appropriate leave forms.

5.3.2 Accumulation of Leave

The Department does not encourage the practice of employees accumulating leave. However, if an employee is unable to take his/her vacation leave during a calendar year the employee should seek permission in writing from the Assistant AG for the respective Division to defer the leave to the ensuing year and approval granted by the Director HRA. Where such approval is granted, the following guidelines should be followed:

• Employees may accumulate leave to a maximum not exceeding the leave entitlement for three (3) years subject to permission of the Assistant AG and the Director HRA.

• Requests to defer leave must be submitted to the HRA Unit at least four (4)

weeks in advance.

• Permanent employees shall be allowed to earn and accumulate additional full-pay vacation leave for a further period not exceeding two (2) years if applications for all or any portion of their accumulated leave cannot be granted due to the exigencies of the service. In such cases, this must be approved by the Auditor General.

5.3.3 Vacation Leave

All permanent employees on completion of one continuous year of service to the Department shall be entitled to paid vacation leave. Employees may take vacation leave at any time during the year with the approval of their Assistant AG. The policy guidelines are outlined below:

• Vacation leave should be taken during the calendar year in which it falls, January 1st - December 31st. Completed years of service are counted at the start of the vacation year within which the leave entitlement falls.

• Vacation leave for new employees joining during the calendar year will in the year

of joining be calculated on a pro-rata basis in respect of completed months of service up to December 31st and is to be taken in the succeeding year.



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• New employees will not be eligible to take paid vacation during the first year of their employment unless under exceptional circumstances and on the recommendation of the Assistant AG and the Director HRA and with approval from the Auditor General.

• Employees will be advised of their leave entitlement in January of each year.

• Leave will be granted in accordance with a Leave Roster for each Division/Unit.

• The Vacation Leave Roster for each Division/Unit must be completed by January

31st each year and must be recommended by the respective Assistant AG.

• A copy of the approved Leave Roster must be given to the Auditor General, Assistant AGs.

• Employees will be officially informed in writing of the approval of his/her leave

and will be expected to take up the leave at the prescribed time. The table below outlines details of vacation leave for permanent employees in the service who were earning leave prior to January 1, 2002. Permanent Employees Vacation

Sick

Departmental

35 working days per annum (p.a.) accumulative to 105 days

14 calendar days

14 working days

28 working days p.a. accumulative to 84 days

14 calendar days

14 working days


14 calendar days

10 working days


14 calendar days

10 working days



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The table below outlines details of vacation leave, sick and departmental leave for employees in the service on or after to January 1, 2002. Permanent Employees No. of years of service

Vacation (Working Days)

Sick (Working Days)

Departmental (Working Days)

Under 15 years

14 days per annum accumulative to 42 days

10 days p.a.

10 days p.a.

15-25 years 21 days p.a. accumulative to 63 days

10 days per annum

10 days p.a.

Over 25 years

25 days per annum Accumulative to 75 days

10 days p.a.

10 days p.a.

All temporary employees should be granted sick, departmental and casual leave on a pro-rata basis during the first year of service.

5.3.4 Sick Leave

The Department’s sick leave policy provides for employees to receive full pay while prevented from attending to their duties because of illness. Sick leave is a provision that should be taken only in cases of genuine illness. Employees who abuse sick leave will be disciplined in accordance with the disciplinary policy. The following guidelines apply to leave granted on the grounds of ill health.

• Permanent employees who have completed three months service with the Department will be eligible for ten (10) working days paid sick leave in each calendar year, to cover short periods of absences due to ill-health or incapacity without affecting vacation or casual leave.

Eligibility

• Permanent employees may carry forward any sick leave not taken in one year to subsequent years up to a maximum accumulation of the sick leave entitlement for two (2) years.

• An employee who has to be absent from work due to illness, may be granted sick leave with or without pay (if leave entitlement is fully utilized).

• Employees falling ill should ensure that the respective Assistant AG, HR Unit or Supervisor for their Unit is notified as early as possible, within 4 hours of the start of business on the first working day of illness.

• Sick leave may run consecutively with vacation leave or vice versa on the production of satisfactory medical evidence. However, if an employee falls ill during his/her vacation leave, the sick period will be included as part of the scheduled vacation leave. Where an employee falls ill immediately prior to the



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start of his vacation leave, the vacation leave may be postponed at the discretion of the Director HRA, and the normal procedure for absence due to illness will apply.

• If the duration of illness continues for more than three (3) consecutive days, a medical certificate from a registered medical practitioner must be submitted.

Medical Certificates

• Medical certificates duly signed by the doctor, are required to state the following:

o Date of issue o Date of onset of illness o A statement as to whether the employee is unable to perform his/her

duties because of the nature of his/her illness o If the employee is unable to perform his duties, an opinion as to the likely

duration of his/her incapacity

• Failure to notify the Assistant AG on the first day of absence or submit a medical certificate on returning to work may lead to the absence being treated as no pay leave and disciplinary action initiated.

• On return to work employees must complete and submit a leave form with a medical certificate attached to the Director HRA. Depending on the nature of the illness, he/she may be required to provide a certificate indicating his/her fitness to return to work.

The certificate should be regarded as being effective from the date of its issue unless the medical practitioner specifies otherwise, that the leave should commence on a particular date. In either case, the leave recommended in the medical certificate should be regarded as being additional to any period on the grounds of ill health which the employee may have already taken on that occasion and which is not covered by such certificate.

• The Department reserves the right to validate any medical certificate or report

submitted in respect of sick leave and request that an employee have a medical examination effected by medical personnel appointed by the Department.

• If the employee has already exhausted his/her sick leave he/she shall be allowed to utilise departmental leave for the required period.

Prolonged Sick Leave

• If the employee has exhausted both his/her sick and departmental leave the employee shall utilize vacation leave not exceeding 50% of such leave which the employee has available at the date of commencement of the sick leave.

• In cases of grave illness or periods of sickness involving hospitalisation or convalescence arising from hospitalisation, a further 30 days sick leave with full pay may be granted at the discretion of the Auditor General to permanent full time employees, subject to verification of the illness by a medical practitioner.



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• An employee may at any time be required to submit to an examination by a Medical Board appointed by the Chief Medical Officer if the employee’s state of health warrants such an examination.

• If an employee has been absent from duty on the grounds of ill-health and the total period of absence exceeds ninety (90) calendar days then the Auditor General should request the Chief Medical Officer to appoint a Medical Board to examine the employee. The Auditor General would then be required to provide a report on how much sick leave has been taken by the employee and the effect of the illness on performance.

• The Director HRA shall monitor employees’ absence due to sickness and ensure that employees receive full support when they return to work.

• Employees will not be allowed to earn vacation leave during periods of extended

sick leave.

5.3.5 Maternity Leave

All female employees are eligible for Maternity Leave, after having completed twelve (12) months of service at the Department. The following are the guidelines that govern maternity leave:

• Maternity leave of forty (40) working days will be granted at full pay.

• Vacation leave may be taken immediately before or after maternity leave entitlement.

• Leave without pay for an additional period not exceeding sixty-five (65) working days may also be taken.

• The Auditor General may grant an extension of leave without pay for up to three (3) months in extenuating circumstances such as if the newborn or the mother is ill. This would need to be supported by a medical certificate stating the need for the mother to be away during the time of illness.

• Applications for maternity leave shall be made in writing to the Director HRA at least three (3) months in advance of the expected date of confinement and must indicate the date on which the leave is expected to begin, the duration of the leave and the employee’s intention to return to work. Employees should attach to the application, a Certificate from a registered medical practitioner confirming the details of pregnancy and expected date of delivery.

• Before returning to work, the employee is required to give the Department three (3) weeks notice in writing of her intention to return to service.



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5.3.6 Special Leave

Special Leave may be granted by the HR Committee to employees upon presentation of relevant documentary evidence. Special Leave on full pay may be granted for the following purposes:

• To attend Jury Duty, Petty Sessions Court or to act as a witness before Court or a Government body having the power to issue summons.

• To allow employees up to three (3) hours on a polling day to vote in a General or Local Government Election.

• To represent Jamaica or the West Indies at a recognised national or international event.

• To allow employees who belong to civic organisations such as Boy Scouts, Boys’ Brigade, Girl Guides and similar organisations and are selected to represent their organisation at a national or international event to attend.

• To allow employees who belong to the National Reserve or the Jamaica Combined Cadet Force who are called to duty or to attend annual training camp.

5.3.7 Casual Leave

Casual leave may be granted to part-time workers and employees who are on Fixed Term Appointments in positions which are not on the Public Service Establishment.

5.3.8 Departmental Leave

Departmental leave is a provision whereby employees may be granted short periods of absence to attend to personal or family matters. The following are the guidelines for the policy:

• Departmental leave is not intended to be used for vacation purposes or in lieu of vacation leave.

• The granting of Departmental Leave is at the discretion of the Auditor General,

subject to the exigencies of the service.

• Departmental leave will not normally be granted to run consecutively with vacation leave or vice-versa, except when such leave is granted on medical grounds or for urgent private affairs.

• Employees may carry forward any Departmental leave not taken in one year into subsequent years up to a maximum accumulation of the Department leave entitlement/eligibility for two (2) years.

• Any Departmental Leave accumulated may be used during periods of prolonged illnesses, on the basis of medical certificate from a duly registered medical



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practitioner, once the sick/departmental leave entitlement/eligibility for the current year has been exhausted.

5.3.9 Study Leave

Study leave is a period of absence granted to employees to pursue courses of study. Study leave may be based on those programmes mandated by the government, those that are job related, programmes for future advancement and pogrammes for personal interest. Employees must complete one (1) year of service with the Department in order to qualify for study leave.

The following are the policy guidelines:

• Employees who are granted study leave may be eligible for financial assistance depending on the category within which the course of study falls.

• Where the selection of candidates extends beyond the boundary of the Department for e.g. in the case of national training programmes, scholarships then the Public Service Commission will manage the study leave process.

• Employees who are selected to pursue government mandated courses of study qualify for full financial support from public funds with no forfeiture of any accumulated vacation leave.

• Employees who are selected to pursue job-related or future advancement courses of study may receive the equivalent of up to two (2) years fully-paid leave. The employee would be required to forfeit leaver or salary equivalent to his/her maximum leave accumulation. Any additional leave required to complete the study shall be without pay.

• Where an employee submits a request to participate in a training programme and requests funding from the Department, the HREC will conduct a review of the request and make recommendations for approval by the Auditor General.

The following outlines the procedure for applying for Study Leave:

RESPONSIBILITY

TASKS

Employee • Completes Application for Study Leave. • Submits to Assistant AG for approval along with details of the

course from the institution.

Assistant AG • Reviews application and makes recommendation. • Submits form to Director HRA.

Director HRA • Reviews application.

• Submits application to the HREC.



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RESPONSIBILITY

TASKS

HREC • Reviews application and makes recommendation to the Auditor General.

Auditor General • Reviews recommendation and makes decision. • Submits decision to Director HRA.

Director HRA • Prepares correspondence for employee stating decision and

terms and conditions of approval. • Submits recommendation to Public Service Commission.

5.3.10 No-Pay Leave

Leave of absence without pay may be granted to employees in exceptional circumstances. Application must be made through the Assistant AG and forwarded to the Director HRA for submission to the HR Committee for recommendations to be made. Approval must be granted by the Auditor General. The policy guidelines include:

• Where employees are not eligible for paid leave for any reason, employees may apply in writing to their Assistant AG for up to one hundred and eighty (180) days unpaid leave to be taken in any one (1) calendar year. Reasons may include, allowing for extended periods of sickness or time off to deal with personal and family problems.

• The HREC will consider the circumstances surrounding the application and

staffing implications make recommendations to the Auditor General.

• The Auditor General will review the recommendations and make a decision.

• Approval must be given prior to employees taking unpaid leave.

• An employee on leave without pay is bound by all the general rules and regulations of the Department and to any specific conditions that may be laid down. He/she may not, without prior permission accept any paid employment.

5.3.11 Payment in Lieu of Leave

Employees who have been allowed to accumulate additional vacation leave beyond the normal maximum level accumulated due to work commitments may be given the option to accept pay in lieu of the additional leave.



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5.4 STAFF LOANS All loan related matters are managed by the Accountant General’s Department. The following are the procedures related to internal management of staff loans:

RESPONSIBILITY

TASKS

Employee • Completes staff loan form along with relevant invoices. • Submits form to HRA.

HRA • Reviews loan application.

• Submits loan application to Auditor General for sign-off. Auditor General • Reviews application.

• Signs-off on application. • Returns application to HRA

HRA • Prepares employee data file. • Submits application and employee data file to Accountant

General’s Department.



SECTION 6

SEPARATION



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6 Separation The aim of this section is to outline the policies and procedures regarding the separation of employees from the Department either voluntary or involuntary. The policies are as follows: 6.1 Voluntary Separation

6.1.1 Resignation

• All employees shall notify the Department of his/her intention to resign from his/her position.

• All resignations shall be addressed to the Director, HRA.

• The notice period for the resignation of permanent employees shall be guided by the terms of appointment.

• The Department reserves the right to request the immediate cessation of employment prior to the effective date of resignation or in the interest of the Department, request that the employee proceed on any vacation leave due.

• All payments due to the employee will be made on the last date of employment with the Department and shall include full payment of remuneration earned up to the date of resignation, payment in lieu of vacation leave earned up to the date of resignation, and any other payments.

• The Department shall deduct any debts owed by the employee from final payments due. In circumstances where the amount due to the employee is less than the debt owed to the Department, the employee shall be required to settle the outstanding sum by one of the following:

o Make payment to the Department prior to the last day of employment

o Provide the Department with written authorization to deduct such sums from his/her pension refund where applicable.

• During the notice period, an employee shall be expected to continue to work in a conscientious and professional manner. All company property – records, keys, assignments and identification cards must be handed over prior to departure.



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The procedures regarding resignation are as follows:


Employee • Writes resignation letter and gives to Assistant AG

Assistant AG • Discusses resignation with employee. • Forwards original letter to Director HRA for further

action.

Director HRA • Reviews resignation letter. • Advises Auditor General. • Directs the HR Officer to schedule exit interview with

employee.

HR Officer • Schedules exit interview with staff member. • Reviews the employee’s personnel file for

outstanding/accrued leave. • Prepares relevant memos regarding payment to the

employee and forwards to the Accounts Department.

Accounts Department

• Reviews employee account for debts owed. • Prepares final cheque for the employee.

Director HRA • Conducts exit interview with staff member. • Makes arrangement with employee for handing over

activities including the return of company property. • Gives final cheque to employee.

Employee • Returns company property and hands over outstanding assignment/s.

• Collects final cheque.

6.1.2 Retirement

6.1.2.1 Normal Retirement

o The normal retirement age for permanent employees shall be sixty (60) years.

o Employees may be permitted by the Public Service Commission to extend service for specific periods of the employment of staff members beyond the age of sixty (60) years.

o An employee on reaching retirement age would normally be retired on his/her birthday.



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o An employee approaching the age of retirement should consult the Director, HRA at least twelve (12) months in advance of the retirement date to ascertain all benefits entitlement.

o A retiring employee shall be paid his/her full salary to the effective date of retirement and any additional payments.

o Employees are entitled to any outstanding vacation leave leading to the effective date of retirement.

6.1.2.2 Early Retirement

o An employee may during the five (5) year period prior to reaching the age of normal retirement, i.e. at age fifty-five (55) onward may exercise the option to retire.

o The application of retirement shall be done in writing to the Director, HRA.

6.1.2.3 Premature Retirement

o An employee who has reached the minimum age of fifty (50) years may apply

in writing to the Governor General outlining the reasons for pre-mature retirement. He/She must have at least ten (10) years of service in order to qualify for a pension.

o An employee who has reached the age of fifty (50) years may be called upon by the Department to retire.

o The reasons for such a decision must be disclosed to the employee and a

recommendation made to the Public Service Commission. o The employee shall be afforded the opportunity to make representation in

writing to the Public Service Commission. o The Public Service Commission shall advise the Governor General whether

the recommendation should be approved.

6.1.2.4 Retirement on Medical Grounds

o The Department reserves the right to retire an employee on the grounds of ill health on the basis of a medical report from a Medical Board.

o The report should state clearly that the employee is incapable of discharging the duties of his office or any other related office.

o The employee shall be required to be examined by his/her medical doctor. The report shall be sent directly to the Director, HRA and should clearly state that the employee is incapable of executing his/her normal duties as a result



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of incapacity of either mind or body and that the incapacity is likely to be permanent.

o The Medical Board shall make a determination on the status of the employee.

The procedures regarding retirement are as follows:


Employee • Consults Director, HRA twelve months in advance to discuss retirement plan.

• Discusses with HRA the nature of the retirement (e.g. premature, medical etc.)

Director, HRA • Discusses retirement plan with employee.

• Informs employee of retirement decision based on medical grounds as decided by the Medical Board.

OR

• Directs HR Officer to initiate retirement action.

HRA • Checks employee’s personnel file for eligibility of retirement.

• Prepares all documentation e.g. leave computation, service records and submits to Ministry of Finance – Pensions Unit and OSC.

• Prepares relevant memos for payment including outstanding/accrued leave and forwards to Finance & Accounts Unit.

• Coordinates separation support e.g. counseling. • Communicates information to Pension administrators.

• Coordinates medical examination on behalf of employee if retiring on medical grounds.

OR

• Collects medical report. • Advises employee of recommendation. • Prepares documentation for retirement if approved. • Notifies employee of medical appointment.

Director HRA • Reviews medical report.

Finance & Accounts Unit

• Reviews employee’s account for debts owed. • Sends memo to Accountant General outlining debts owed.

HRA • Makes arrangement with employee for handing over activities including the return of company property.



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• Makes arrangement for conducting exit interview. • Conducts handing over exercise with the employee.

Director HRA • Conducts exit interview

Employee • Returns company property and hands over assignment/s.

6.2 Exit Interviews

• Employees who have resigned will be asked to participate in an exit interview during the notice period. This interview is entirely voluntary. The purpose of this interview is to identify workplace, organisational or human resource factors which have contributed to the employee’s decision to leave the employment of the Department. The interview shall be conducted by the Director, HRA. The key points of the interview shall be conveyed in confidence to the respective Assistant AG.

• Employees who are retiring will be asked to participate in an exit interview. This interview is entirely voluntary. The purpose of this interview is to identify how the Department has impacted their lives during their tenure and suggestions for improvement opportunities within the Department. The key points of the interview shall be conveyed in confidence to the respective Assistant AG.

6.3 Involuntary Separation The Auditor General shall be the sole person authorized to effect termination of employees’ services. However, the Auditor General shall consult with the HR Committee and the respective Assistant AG before arriving at such a decision. Termination may be under the following circumstances:

• For cause which includes: o Absence from the island without permission from the date of such

departure o Absence from duty without permission for five (5) consecutive working

days • For misconduct, poor performance, criminal offence • Reorganization of the organization structure

6.3.1 Termination

Subject to the established disciplinary procedures as outlined in Chapter 8 of this manual, the Auditor General may summarily dismiss an employee below the



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administrative level. In consultation with the Public Services Commission, the Auditor General may also summarily dismiss any employee at or above the administrative level. The procedures regarding termination are as follows:


HREC

• Discusses disciplinary action for repeated offence with the employee.

• Recommends to Auditor General, the termination of the employee’s service for repeated offence.

Auditor General • Holds discussion with Director, HRA and respective Assistant AG to make decision to terminate the employee’s service.

Director, HRA • Directs HR Officer to schedule meeting to discuss decision with employee.

HR Officer • Schedules meeting with employee to discuss termination details with the Director, HRA.

Employee • Discusses termination decision with Director, HRA

Director, HRA • Directs HR Officer to initiate termination activities.

HR Officer

• Reviews the employee’s personnel file for outstanding/accrued leave.

• Prepares memo to Finance & Accounts Department regarding payment to the employee.

Finance & Accounts Department • Reviews employee’s account for debts owed.

• Submits documentation to the Accountant General’s Department.

HR Officer • Makes arrangement with employee for handing over activities including the return of company property.

• Conducts handing over exercise with the employee.

• Makes arrangement for exit interview.



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Director HRA • Conducts exit interview.

Employee • Returns company property and hands over outstanding assignment/s

• Participates in exit interview.

6.3.2 Death

The Director, HRA should be notified immediately in the event of the death of an employee while in service. In cases of application for death gratuities, the Death Certificate as well as the Birth Certificate of the deceased should be submitted to the HRA Unit. If the Death Certificate is not immediately available, the original Order for Burial Form may be submitted. These will then be forwarded to Auditor General for review and the Accountant General’s Department.



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SECTION 7

INFORMATION MANAGEMENT



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7 Information Management This policy is designed to ensure the accuracy, security and confidentiality of employees’ personal information.

7.1 Maintenance of Employee Information • The personnel records of employees contain all relevant biographic data as well as

full documentation of the employees’ records in the Department, including leave, performance evaluation, any disciplinary action taken, information on promotions, transfers and reassignments.

• Employees shall be aware of the contents of their personal files at all times, and have the right to review such files, with the consent of the Director, HRA and in the presence of the HR Officer/Director, HRA.

• Employees’ records are confidential and approval from the Director, HRA must be obtained in order to obtain copies of official correspondence from their files.

• Employees shall advise the HRA Unit of any changes in personal status or any other information which is deemed necessary to maintain currency in personnel records, such as marital status or change of address, telephone numbers and qualifications.

7.2 External Communication As a Supreme Audit Institution, the AuGD is expected to adhere to the principles of transparency and accountability which include:

• SAIs make public the results of their conclusions and recommendations resulting from audits unless they are considered unlawful by special laws and regulations.

• SAIs communicate openly with the media or other interested parties on their operations and audit results and are visible in the public arena.

• SAIs encourage public and academic interest in their most important

conclusions.

• SAIs reports are available and understandable to the wide public through various means (e.g. summaries, graphics, video presentations, press releases.

It is therefore critical to effectively manage external communication and ensure information is shared with various audiences. The Department’s external audience includes, Parliament, the general public and the media.

The policies below shall guide all external communication and should be read in conjunction with the Department’s communication policy:



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• The Auditor General is the chief spokesperson for the Department.

• All communication with external audiences must be managed by employee/s appointed by the Auditor General.

• No employee is allowed to publicize any information related to the activities of the Department without authorization from the Auditor General.

• Information to be posted on the Department’s website should be duly approved by

the Auditor General before it is posted.



SECTION 8

DISCIPLINE AND GRIEVANCE



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8 DISCIPLINE AND GRIEVANCE The aim of these policies is to establish fair and consistent guidelines for the standard of behavior expected from the Department’s employees, guidelines to deal with grievances in a consistent manner, and to foster good employee relations. Below are the policies which will guide the Department. 8.1 General Policy Statements • The maintenance of socially acceptable and ethically correct behavioural

standards (standards that do not conflict with the purpose of the Department) shall be considered essential and in the best interests of the Department and its employees.

• Where such standards are breached, the persons appointed with authority shall have the right and responsibility to initiate corrective action.

• The Department shall make provisions for a medium for employees to take

problems concerning their well being at work to the attention of Management. The Department shall seek to address these concerns in a prompt and equitable manner without placing an unreasonable strain on its resources.

• The Director HRA shall be responsible for managing the administration of discipline in the Department and overall compliance of employees to the disciplinary code of the organisation.

• The Department shall make every effort to be fair in the treatment of employees. If an employee’s performance or conduct is deemed to jeopardize the Department’s interest or if the employee fails to observe the terms and conditions of employment or the Department’s policies and procedures, this will result in him/her being liable for disciplinary action.

• The disciplinary and grievance procedures shall not be used to:

o Appeal matters related to performance evaluation and compensation. o Address situations over which the Department has no authority to

remedy. o Address dissatisfaction of the grievance policy or procedure.



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8.2 Employees Rights & Responsibilities • It is the responsibility of each employee to learn, understand and consistently

observe the rules, procedures and standards of conduct established by the Department. Failure on the part of an employee to familiarize him/her self with these requirements shall not exclude him/her from disciplinary action.

• All employees are eligible to access the provisions of the grievance procedures.

• Filing of a grievance shall not jeopardize the employee’s position, opportunities for advancement or salary increases.

• No employee may be coerced by management or any other employee into not proceeding with a grievance or not appearing as a witness at an inquiry.

• All employees, (including the grievant) shall cooperate at all stages in an investigation of a grievance or misconduct. This cooperation shall include, but not be limited to, appearing to answer questions and presenting truthful information. Failure to present truthful information may result in disciplinary action.

• If the party/ies involved are dissatisfied with the outcome of any stage in a disciplinary or grievance inquiry, movement of the inquiry to the next stage may be requested.

8.3 Repeal of Sanction

Offences with the sanction of verbal warning will not be taken into account for the purpose of dismissal if a period of one year has elapsed since the last offence. 8.4 Interdiction from Duty

• If an infraction is considered to be serious, and pending the outcome of the

disciplinary proceedings, the accused employee may be interdicted from duty on half, a quarter or no salary.

• Where an employee has been or is about to be charged with a criminal offence, he/she may be interdicted from duty on one half, a quarter or no salary, pending the outcome of the criminal proceedings.

8.5 Right of Appeal

Employees who have reason to believe that a disciplinary process was unfair, or who are displeased with the disciplinary penalty imposed, may appeal to the Public Service Commission and then to the Privy Council if the matter is not resolved.



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8.6 Stages in the Disciplinary and Grievance Process

The disciplinary procedure should adhere to the following criteria:

o Be consistent with the conditions of employment o Begin with a thorough investigation o Follow due process; documentation, filing and retrieval of relevant

documents, reports, records, letters are important o Guarantee all parties the right to be heard and the right to representation o Guarantee the right of appeal o Be conducted as quickly as possible The Disciplinary and Grievance process shall be administered in stages according to the nature of the infringement:

STAGES

RESPONSIBILITY SANCTIONS

Stage 1 Division/Unit Verbal and written warnings

Stage 2

Disciplinary Committee Recommendations for disciplinary action

Stage 3 Auditor General Suspensions and termination

• The disciplinary process may begin and terminate at any stage once a resolution appropriate to the stage is reached.

• In order to proceed to Stage 3, the sanction must be limited to a charge of

employment termination or an appeal by the affected parties of the sanction posed at Stage 2.

• In all cases recommendations made at Stage 3 of the process are final.

8.6 Timeframe for Filing and Duration of Process

• A disciplinary or grievance action should be filed within ten (10) working days of the occurrence of the action or from the day the employee or the Department could reasonably have been aware of the action.

• Below is the time period stipulated for each stage:

o Stage 1 – 10 working days





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8.7 Managing the Process

• The Department is responsible for initiating a disciplinary action and an employee is responsible for initiating a grievance action.

• A disciplinary committee shall be established to support the administration of the discipline and grievance procedures. The committee shall consist of:

o Assistant AG

o Unit Head

o Staff Representative

o An independent staff member

o An independent person, unconnected to the Department

The Committee members shall nominate a member to chair the Committee. • When a written complaint is made to the HRA Unit, the Director, HRA shall launch

an inquiry. The parties involved shall be informed in writing of the precise nature of the complaint and be asked to provide written explanation in relation to the complaint. If necessary, an opportunity shall be given to the parties involved to appear before the Disciplinary Committee to elaborate on the written explanation submitted.

• An inquiry may take the form of:

o Review of personnel file, and other related documents

o Collection of statements from witnesses and any other method of collecting comprehensive data in order to obtain the facts

o Ensuring that facts are reported accurately to the proper authority, in order to arrive at a decision based on the facts.

• An employee may file an appeal if he/she does not agree with the outcome of a

disciplinary proceeding.



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8.8 Disciplinary Procedures The following outlines the disciplinary procedures: Stage 1 – Unit The following outlines the disciplinary procedures at the Unit level. At this level minor infringements with sanctions of verbal and written warning are addressed. RESPONSIBILITY

TASKS

Supervisor • Receives information on breach of disciplinary code • Initiates meeting to discuss infringement with party/ies

involved. • Conducts hearing. • Consults disciplinary code to determine associated sanction. • Completes and signs the disciplinary form and indicates

recommended sanction. • Ensures form is signed by party/ies.

Employee • Signs form acknowledging discussion held. • Indicates agreement or disagreement with recommended

sanction.

Supervisor • Submits form to Assistant AG for review and approval. • Submits form to HRA.

Director HRA • Reviews disciplinary form. • If party/ies disagree with sanctions, convenes meeting to further

discuss issue. • Recommend new sanction/confirm supervisor’s

recommendation • Signs form. • Submits form to HRA department for information and filing. • If party/ies agree with sanctions, approves/initiates sanction. • Signs form and submit to HRA Unit for information and filing.

Employee • Signs disciplinary form confirming discussion. • Complies with or appeal sanction.

Director HRA • Reviews disciplinary form for completeness and compliance with disciplinary code.

• Submits form to HR Officer for filing.

HR Officer • Files disciplinary form on employee’s personnel file.



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Stage 2 – Disciplinary Committee Level The following outlines the disciplinary procedures at the Disciplinary Committee level. At this level referrals coming from Stage 1 and/or initiated at this level will be addressed. RESPONSIBILITY

TASKS

Assistant AG/Employee

• Submits form referring case to the Disciplinary Committee.

HR Officer

• Coordinates activities for conducting inquiry with involved parties.

Disciplinary Committee

• Conducts inquiry • Prepares report with recommendations in keeping with

disciplinary code. • Completes disciplinary form.

Director, HRA • Reviews recommendation to ensure compliance with disciplinary code, labour laws and other relevant legal regulations.

• Initiates recommendation. • If the recommended sanction is dismissal, prepares and

submits file to HREC for review.

Employee • Signs disciplinary form confirming discussion. • Complies with or requests referral to the next stage.

Director, HRA • Submits form to HR Officer for filing.

HR Officer • Files disciplinary form on employee’s personnel file.



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Stage 3 – Auditor General Cases heard at this stage are those referred from Stage 2 or cases with sanction of dismissal. RESPONSIBILITY

TASKS

Employee • Submits form referring case to Director, HRA to refer case to the Auditor General.

Director, HRA • Prepares and submits case file to the Auditor General for review of recommendation (e.g. termination)

HR Officer • Coordinates review meeting • Coordinates inquiry (if necessary)

Auditor General • Reviews case file • Conducts inquiry if necessary • Prepares and submits new recommendation or confirms

recommendation from the Disciplinary Committee.

Director HRA • Reviews recommendation. • Initiates recommendation.

Employee • Complies with sanction

OR

• Appeals to the Public Service Commission

8.9 Grievance The aim of these policies is to provide a method for employees to express any grievance they may have and approach different levels of authority in the Department to address that grievance. The policies are as follows:

• Employees shall be encouraged to bring to the attention of their supervisor any on-the-job problems or disputes as they arise or within three (3) days of the occurrence of the matter. Any employee declaring a complaint or grievance shall be directly concerned with the cause.

• Any job-related complaint or grievance presented by an employee shall be handled in accordance with the procedure outlined under the Labour Relations and Industrial Disputes Act (LRIDA) and the reporting relationships of the AuGD.



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The following sets out the stages in the grievance procedures:

STAGES RESPONSIBILITY ACTION

Stage 1 – Division/Unit Level

Employee

• Completes grievance form and submits to Assistant AG.

Assistant AG • Assesses grievance.

• Arranges and conducts meeting with grievant. • Conducts inquiry if necessary. • Prepares and submits written response to

employee stating resolution of grievance. • Submits copy of response to HRA Unit for filing.

Employee • Acknowledges receipt of recommendation and states intent of acceptance or appeal.

Stage 2 – HRA Employee

• Submits grievance form to Director, HRA requesting review of decision.

Director, HRA • Acknowledges receipt of grievance form to the grievant.

HR Officer • Coordinates the inquiry. • Invites affected parties to the inquiry.

HRA • Conducts inquiry and prepares report with recommendations.

Director, HRA • Submits report to the Auditor General for information

• Responds in writing to the employee and other relevant parties informing them of recommendation.

Employee • Acknowledges receipt of recommendation and states intent of acceptance or appeal.



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STAGES RESPONSIBILITY ACTION

Stage 3 – HREC Employee

• Submits grievance form requesting inquiry move to the next stage to Director HRA.

HREC • Acknowledges receipt of grievance form to the grievant.

• Sends written invitation to affected parties. • Conducts inquiry. • Prepares and submits written response to

employee stating resolution of grievance. • Submits copy of response to HRA Unit for filing.

Employee

• Acknowledges receipt of recommendation and states intent of acceptance or appeal.

• Submits to Director, HRA.

HR Officer • Receives signed copy of grievance form. • Files grievance form on employee’s personnel file.

8.10 Appeals Process

The table below outlines the procedure in the Appeals process

RESPONSIBILITY

ACTION TIMEFRAME (Days)

Employee • Completes Appeals form stating dissatisfaction with decision and submits to Director, HRA for initiation.

3 days after employee receives sanction

Director, HRA • Reviews and acknowledges Appeals form.

• Informs HR Officer to coordinate meeting for hearing.

2 days after receipt of Appeals form.

HR Officer • Coordinates activities for hearing including the compilation of relevant documents.

5 days after receipt of Appeals form

HRA • Convenes hearing with affected party/ies.

15 days after appeal is requested

HREC • Prepares report with recommendation and submits to HRA Unit.

10 days after hearing



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RESPONSIBILITY

ACTION TIMEFRAME (Days)

Director, HRA • Reviews recommendation to ensure compliance with disciplinary code, labour laws and other relevant legal regulations.

• Informs party/ies in writing of recommendation.

• Submits recommendation to the Auditor General for information.

• Submits case file to HR Officer for filing.

5 days after receipt of recommendation

HR Officer • Files case file on party/ies personnel file.

Employee/s • Complies with sanction.

8.11 Disciplinary Code The Disciplinary Code shall be as follows:

TYPE OF OFFENCE

NUMBER OF OFFENCE

FIRST SECOND THIRD FOURTH

1 Insubordination in word, act or demeanour

Verbal Warning

Written warning

Suspension

(minimum _ – maximum _days)

Dismissal

2 Absence from work without leave or permission

Verbal warning

Written warning

Suspension (minimum _ – maximum _days)

3 Leaving work before the end of the day or frequent lateness without permission from Supervisor

Verbal warning

Written warning

Suspension (minimum _ – maximum _ days)

Dismissal

4 Misuse of the Department’s property

Verbal warning

Written warning




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TYPE OF OFFENCE

NUMBER OF OFFENCE


5 Failure to dress in accordance with the established dress code

Verbal warning

Written warning


6 Failure to report theft, loss or damage of the Department’s assets

Verbal warning

Written warning


7 Willful damage to the Department’s property and failure to report damage


Dismissal

8 Unsatisfactory work performance

Verbal warning

Written warning

Probation (3 months)

Dismissal

9 Failure to comply with work instruction given by a supervisor

Verbal warning

Written warning

Suspension (minimum 10 – maximum 20 days)

Dismissal

10 Acts of sexual harassment Written warning

Suspension (minimum 10 – maximum 20 days)

Dismissal

11 Behaving in a threatening manner likely to cause injury to other employees and/or the Department’s property


Dismissal

12 Gambling during working hours or on the Department’s premises


Dismissal

13 Threats of assault to a fellow employee or by brandishing a weapon

Suspension (minimum _– maximum _days)

Dismissal

14 Use of abusive or indecent language to:

• Fellow employee • Supervisor • Manager • Client

Written warning


Dismissal



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TYPE OF OFFENCE

NUMBER OF OFFENCE


15 Fighting whilst on duty or on the Department’s premises with fellow employees, clients or domestic matters

Dismissal

16 Rioting or inciting disorder among employees

Dismissal

17 Abuse of alcohol or illegal drugs while on the job, or on the premises of the Department

Suspension Dismissal

18 Leaving the Department’s property unprotected or unsecured

Verbal warning

Written Warning


19 Failure to adhere to internal controls and procedures

Verbal warning

Written warning

Suspension (minimum _– maximum _ days)

Dismissal

20 Violating the Department’s safety rules and regulations

Written warning


Dismissal

21 Committing Fraud Dismissal

22 Sexual activity including intimate physical contact at the workplace

Dismissal

23 Theft or unauthorized removal of any property of the Department or employee

Dismissal

24 Unauthorized removal or deletion of material from a personnel file

Dismissal

25 Engaging in sabotage Dismissal



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TYPE OF OFFENCE

NUMBER OF OFFENCE


26 Soliciting money and/or gifts from customers or suppliers


27 Interfere or tamper with the working papers of the Department

Dismissal

28 Forging the signature of another employee of the Department

Dismissal

29 Abandonment of job – absence without leave or permission or notice for five (5) consecutive working days

Dismissal

30 Borrowing, issuing or removing the Department’s property without proper authorization


Dismissal

31 Improper use of information gained and/or in the position of the Department

Dismissal

32 Intentionally providing false information to, or on behalf of the Department

Dismissal



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8.12 Exercise of Authority

The table below outlines officers with responsibility to exercise authority and the type of penalty each has the authority to administer:

AUTHORITY LEVEL PENALTY

Auditor General • Verbal warning

• Written warning

• Suspension

• Dismissal

Director HRA • Verbal warning

• Written warning

• Recommend suspension

• Recommend dismissal

Assistant Auditor General • Verbal warning

• Written warning

Supervisors • Verbal warning

• Recommend written warning



SECTION 9

ADMINISTRATION



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9 Administration

The aim of these policies is to ensure the smooth functioning of the organization in the areas of maintenance of buildings and office facilities and records management. 9.1 Maintenance of Building and Office Facilities The Department shall maintain its building and office facilities in a manner that is safe and comfortable for employees to efficiently execute their duties. The following are the relevant policies:

• Buildings shall be maintained in keeping with established building codes.

• The building and building systems (such as electrical, plumbing, fire, and security) shall be inspected as deemed appropriate according to established standards for each respective system and an annual schedule for routine and preventive maintenance developed to effect repairs.

• Emergency repairs shall be carried out as necessary.

The relevant procedures are as follows:



• Develops maintenance schedule and budget in keeping with findings from the building inspection.

• Submits maintenance schedule and budget to Director, HRA for approval.

Director HRA

• Reviews and approves maintenance schedule and budget or refer to Auditor General for approval.


• Coordinates the procurement of a Building Inspector to conduct inspection when required.

• Executes and monitors repairs in keeping with maintenance schedule.



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9.2 Records Management

All records of the Department shall be appropriately maintained in a secure area using established filing convention. Records shall be made available to employees and clients as appropriate.

The procedures for submitting, retrieving and returning files are documented in the table below:


Incoming File

Auditor General • Submits files to Registry

Records Clerk

• Receives files • Codes file by name of entity and year • Files documents based on codes.

Retrieving File

Employee/Client • Requests file

Records Clerk • Receives request for file • Searches and retrieves file • Records file on mark out card if file remains on the

premises. • Records file in mark out book if file is going off premises

Employee/Client • Receives file

Returning File

Employee/Client Receives file

Records Clerk • Receives file • Logs file in mark out book • Returns file to location in Registry

9.3 Assignment of Assets The Department will from time to time assign assets to its employees. The aim of these policies is to provide a guide for the manner in which employees are required to treat the Department’s assets and the need for employees to adhere to the policies related to the respective asset. Below are the policies which will guide the Department:



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• Employees are required to treat the Department’s assets with care and ensure that the asset is kept from loss or damage.

• All employees shall complete the required form on receipt of the respective asset.

• Employees should notify his/her supervisor and other appropriate staff when an item is lost or stolen.

• In the event of termination or secondment of employees, it is the responsibility of the employee to return all items. The manager with responsibility for the asset should recover the items from the employee.

• If any of the assets are not returned or accounted for, it is the responsibility of the responsible manager to make arrangements with the employee for repayment for the missing assets.

For further details see the Information Technology Policy.

9.4 Procurement of Goods and Services For further details on the policies related to procurement of goods and services see the Government of Jamaica Guidelines.

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