HRD Score Card 2500
HRD Score Card 2500 is a magnificent manual. The instructions are very detailed, comprehensive, clear, lucid, simple, sequential, and easy to follow… R. Girdharan DGM, Reserve Bank of India Dr Rao’s book converts the audit findings into measurable scores and presents the findings in a scientific way that would help CEOs and HR chiefs to take remedial and timely interventions. If his approach is used well for internal audits by competent HRD managers, the HR function can be aligned to serve the business interests of the organizations. I strongly recommend the book to be used for internal audits of HR. Dave Rose Managing Director Gujarat Guardian Limited This book helps you rejuvenate your HR function and make it more strategic and business driven. It will certainly help CEOs to demand and get the best out of their HR. William J. Rothwell Professor, Workplace Learning and Performance, Pennsylvania State University The book is very novel, practical, comprehensive, and much needed for all of us in the HR profession. It is lucidly written, with detailed guidelines on how to do the scoring. This makes the book an essential ‘doit-yourself’ companion for every HR professional. The model provides a good focus on implementation as well as impact on the organization by giving 30 out of 70 points on these two aspects. Arvind Agarwal President, RPG Enterprises, Mumbai In the competitive world of today, HRD is playing a vital role in the continuous improvement of the organizational structures, systems, and management practices, and in winning over the hearts, minds, and spirits of the employees. This book provides the depth and breadth of what all needs to be looked at in HRD, including a quantitative measure to assess its effectiveness. V. Ammineedu HRD & OD Consultant and former Director (HR), BEL
HRD Score Card 2500 Based on HRD Audit
T.V. Rao
Copyright © T.V. Rao, 2008
All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage or retrieval system, without permission in writing from the publisher. First published in 2008 by Response Books Business books from SAGE B1/I-1 Mohan Cooperative Industrial Area Mathura Road, New Delhi 110 044, India SAGE Publications Inc 2455 Teller Road Thousand Oaks, California 91320, USA SAGE Publications Ltd 1 Oliver’s Yard, 55 City Road London EC1Y 1SP, United Kingdom SAGE Publications Asia-Pacific Pte Ltd 33 Pekin Street #02-01 Far East Square Singapore 048763 Published by Vivek Mehra for SAGE Publications India Pvt Ltd, typeset in 8.5/12 pt Stone serif by Innovative Processors, Delhi and printed at Chaman Enterprises, New Delhi. Library of Congress Cataloging-in-Publication Data Rao, T.V. HRD score card 2500: based on HRD audit/T.V. Rao. p. cm. Includes index. 1. Personnel management—Evaluation. I. Title. HF5549.V392
658.3—dc22
2008
2008023490
ISBN: 978-81-7829-836-8 (PB)
The SAGE Team: Sugata Ghosh, Samprati Pani, and Trinankur Banerjee
Dedicated to the memory of my mother Late Smt. Talam Devaramma a self-made social entrepreneur who always gave and never asked for anything in return
Contents Foreword by Udai Pareek
9
Preface
11
Acknowledgements
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Unit 1: Introduction to HRD Audit and HRD Score Card
15
• • • • •
The Need for HRD Audit and What it Can Do The TVRLS Study on the Effectiveness of HRD Function HRD Audit of 12 Organizations What is HRD Audit? Organization of this Manual
Unit 2: HRD Systems and Strategies • • • •
Introduction HRD Systems HRD Strategies Calculating the Final Score for Systems Maturity
Unit 3: In-depth Audit of HRD Systems • • • • • • • • • • •
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Competency Mapping Manpower Planning Audit Recruitment Induction and Integration Performance Management Potential Appraisal and Assessment Centers Career Planning and Development Job Rotation Training and Learning Organization Development Interventions 360 Degree Feedback and Leadership Development
Unit 4: HRD Competencies • Competencies of the HRD Staff • Learning Attitude of Line Managers
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• • • •
Top Management Styles Learning Orientation of Non-supervisory Staff (Unionized) Credibility of the HR Department Final Competencies Score
Unit 5: HRD Culture and Values • • • •
209
Rationale for Assessment System Octapace Values Organizational Culture Total HRD Culture Score
Unit 6: HRD Impact and Alignment
239
• Impact of HRD • Conversion Table • Dimensions Unit 7: HRD Audit Instruments • • • • • • • • • • • • • • • •
HRD Audit Questionnaire Types of Analyses TVRLS HRD Audit Questionnaire Career System Work Planning Developmental System Self-renewal Systems HRD HRD Function Competency Mapping (CM), 360 Degree Feedback (360 DF), and Assessment and Development Centers (ADCs) Strengths, Weaknesses, and Suggestions Map Your HRD Practice-Profile Checklist of Activities Professional Preparation of HRD Staff HRD Climate Survey HRD Competencies Checklist
Unit 8: HRD Scores at a Glance • • • • •
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HRD Systems and Strategies HRD Competencies HRD Culture and Values HRD Impact and Alignment HRD Score Card Certificate
Index About the Author
295 298
Introduction to HRD Au dit and HRD Score Card
Foreword Employee competency and Human Resource Development (HRD) systems have become more strategic than before in the current global and highly competitive environment. While technology, finances, and such other variables give limited advantage, organizations across the world are realizing the unlimited advantage HRD can provide. It is being seen as influencing customer loyalty, company revenues, cost reductions, quality improvements, and many other variables impacting shareholder value. It is over 34 years since we designed the first ever HRD department and laid the foundation for what is known as Human Resource Function at Larsen and Toubro (L&T). It was sometime in 1974 when both T.V. Rao and I were sitting in Hotel Taj Bombay and going through our notes of interviews with L&T managers. What started as an audit of the performance appraisal system after our interviews with the L&T staff, turned out to be laying the foundation for what was to become Human Resource Function, with HRD as its soul. It was in this hotel that we coined the term ‘HRD’ to integrate a number of things L&T managers were suggesting so as to improve the performance appraisal system. We did not know then that Len Nadler had already suggested the term and started using it in one of the American Society for Training and Development meetings. Nadler’s book had not come into market and we thought that we are actually coining the term. Even after HRD became popular, T.V. Rao wrote articles (for instance, ‘Human Resources Development: An Old Wine in a New Bottle?’) suggesting the difference between the way Americans view HRD and the way we have conceived the concept. While in USA it was a new name for training and development, in India we conceived it as an integrated concept that promotes learning on a continuous basis at the individual, role, team, and organization levels. It included various subsystems like performance appraisal, coaching, potential development, career planning and development, succession planning, training, and Organization Development (OD). Subsequently, the State Bank of India and its associate banks introduced HRD and wherever some of us, including late Prof. S.K. Bhattacharya and T.V. Rao, were associated in restructuring exercises, we began to emphasize the need for HRD. T.V. Rao went on to start the HRD function at a public sector undertaking, Bharat Earth Movers Limited (BEML), and experimented a lot with what we were proposing. On his return from his work at BEML, we conducted a nationwide seminar at the Indian Institute of Management (IIM), Ahmedabad, to test the chapters of our book Managing Human Resource Systems. This seminar was attended by a number of people who later became prominent leaders in HR, and CEOs. Dr Anil Khandelwal is one of them. India has come a long way since then, especially in the last 30 years. HRD has become an inevitable part of organizations, their growth, and change. It was in the eighties that the term ‘HRD’
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caught on worldwide. Though it is one of the most well-articulated and well-defined systems in India, most organizations rushed to use the nomenclature than to understand and implement its spirit. Many untrained and ill-equipped executives were employed to man HRD departments. They did not have a clue about HRD and often the organizations equated HRD with administration, recruitment, and performance appraisals at best. They undermined the HRD focus on creating capabilities at the organizational and various other levels, and enabling growth, integration, purpose, and the like. Very few institutions prepared really good HR professionals, though they used the HR titles in their diplomas and degrees liberally. It was after getting disappointed with the state of affairs in HRD and the inappropriate use or limited exploitation of its potential that we started a series of interventions to refocus the attention of CEOs and executives on HRD and its true spirit. To this end we started the HRD audit. Audit is essential for self-renewal. It also enables checks against some accepted standards and principles. By now we have a well-defined knowledge of HRD, and we have also well-tested principles of HRD. In the first chapter itself, T.V. Rao describes some of the early organizations where we did the HRD audit. Since the publication of the book HRD Audit: Evaluating the Human Resource Function for Business Improvement (1999), HRD audit has become very popular. The Business magazine Business Today has extensively used our audit tools in their special issue on people management in the mid-nineties. In the last decade, HRD departments have mushroomed. The information technology (IT) sector and the new economy industries are the biggest users of HR. In some of the IT companies there is one HR manager for every 50 employees. They may mostly be dealing with recruitment, salary, and other forms of administration and facilities management than managing the learning and capacity building at various levels. Only in a few organizations, learning and development become the focus of HRD. In many new economy industries HRD has missed the bus in terms of becoming the basis for creating knowledge managers. The changing world needs a lot of HRD. Today, it is competencies of an organization and its employees that give it strategic advantage. Given the strategic importance of HR and looking at the current state of affairs of most companies, there is a great need for reviewing and renewing their HRD. The HRD Score Card 2500 is a great tool in this direction. In the last five years, T.V. Rao and his team have been working on HRD audit and its applications. They have held a number of programs and trained a number of HR executives as HRD auditors. This book attempts to assign a score for the state of HRD in any corporation. The score assigned is for 2500 points of which HRD systems and strategies are assigned 1000 points; HRD competencies 500 points; HRD culture and values 500 points; and HRD impact and linkages another 500 points. The book is timely and very simple to follow for any HR manager or line manager having the basic knowledge of HR. There are many unique features of the scoring system proposed here. It takes into account most research available till recently in the field of HRD. I congratulate T.V. Rao for this value-adding book for those who are interested in revisiting, renewing, and rejuvenating their HR function and HR teams. Udai Pareek Former L&T Professor, IIM, Ahmedabad Professor Emeritus, IIHMR & AHRD
Introduction to HRD Au dit and HRD Score Card
Preface We began to work on the Human Resource Development (HRD) audit in the early nineties when the first systematic audit was conducted on Indo-Gulf Fertilisers in 1992. In the early nineties, the late Aditya Vikram Birla had suggested that all the Birla units be audited by external agencies, which led to our auditing a number of their organizations including Birla White Rajashree Cement, Hindalco, and Renusagar Power. In the late nineties, the audit process was spread to organizations like the Alexandria Carbon Black. With small investments, those who used HRD audit have been able to reap good benefits. When the Human Resources (HR) function improves in an organization, it delivers better results. A good HRD audit will lead to enhanced utilization of talent and the professionalization of the HR department. Competency gaps for good HRD get thrown up for all sections of employees including the top management, line managers, field staff or workers, and, most importantly, the HR staff. HRD audit also suggests the areas needing improvement in terms of the specific HRD systems (all talent management systems), HRD climate, top management styles, HRD culture, attitudes of line managers, and competencies of HRD staff. In the last 10 years, we have done HRD audits for a good number of corporations and have generated enough examples of audit. HRD audit has been extended to hospitals, Information Technology (IT) companies, the new economy industry and even government departments. T.V. Rao Learning Systems (TVRLS) has even started training internal auditors and certificate programs to conduct HRD audits. Our website, www.hrdaudit.org, gives many details of our efforts. We are happy to bring out this volume with the intention of spreading the message of how to conduct an HRD audit and make this knowledge available to many others.
How to Use this Volume? This volume gives details of how one can conduct an HRD audit. An attempt is made to assign points; 500 to 1000 points are assigned to each of the following: 1. 2. 3. 4.
HRD Systems (1000 points) HRD Competencies (500 points) HRD Culture and Values (500 points) HRD Impact (earlier termed Business linkages) (500 points)
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Thus, a total of 2500 points is possible. In the points system, it is possible to find the strengths and weaknesses at a glance and initiate action. Of the various sections audited in an organization, HRD systems occupy a special place. These can be audited in two ways. The manual gives a methodology for mini audit through the questionnaire method and also a detailed methodology for an in-depth audit. The user has the freedom to choose any of the two methods. We hope that with the help of this manual, organizations will now be able to conduct their own audits. This manual has been prepared by using HRD Audit: Evaluating the Human Resource Function for Business Improvement by T.V. Rao, 1999 (Response Books, SAGE India) as the basic text book. It draws heavily upon the concepts and tools mentioned in this book. Referring to this book prior to reading HRD Score Card 2500 will help the reader to follow the manual with little or no trouble.
Introduction to HRD Au dit and HRD Score Card
Acknowledgements Several people have helped me to shape this work and make it available for public use. Prof. Udai Pareek, a long-term friend, philosopher, guide, and intellectual companion, has his contribution by partnering various audits in the initial years. M.G. Jomon, currently a professor at XLRI, Jamshedpur, did his doctoral research on the Human Resource Development (HRD) audit, which has proved the impact of HRD audit beyond doubt. His subsequent implementation of the findings of HRD audit in two different companies in two different locations has further strengthened this belief. My colleagues at T.V. Rao Learning Systems (TVRLS) Pvt. Ltd are largely responsible for trying to implement the concepts and the scoring system proposed in this book. Raju Rao and Nandini Chawla have been companions in all our efforts to audit HRD in various corporations and provide a basis for the work here. Shishir Mishra and Sonali Mungle coordinated the earlier programs on HRD audit and helped many other managers to become audit savvy. Mr Santhanam, the Management Development Program (MDP) coordinator at TVRLS, has organized at least three HRD audit certification courses and another three HRD score card courses at Pune, Delhi and Mumbai. This has enabled us to not only train HR professionals in audit, but also test out some of the concepts. Ms Nidhi Vashishth, a consultant at TVRLS, has organized the first program with the title of this book and enabled me to test out the score card. Though we have been using the score card for many years since the last 15 years, this is the first time we organized three programs on this title. I thank all the participants of the program for their valuable feedback and inputs on the ease with which the HRD score has been used. Ms Merlin George, Manager 360 center at TVRLS, has always provided the administrative support with a smile. My wife Jaya and daughter Kritika have always encouraged me to take as much of their time as I needed to complete work on this book as well as other professional commitments. I also like to acknowledge the support given by the SAGE team, in particular Sugata Ghosh and Samprati Pani.
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Unit 1
Introduction to HRD Audit and HRD Score Card Consider the Human Resource Development (HRD) score cards of the following four companies: 1. 2. 3. 4.
Hospital Logistics Company Insurance Company Automobile Manufacturing Unit
The score card is based on the evaluation criteria of maturity levels or effectiveness of various dimensions of HRD as revealed by the HR audit: A* A B* B C* C D* D F
= = = = = = = = =
Highest score and highest maturity level Very high maturity level High maturity level Moderately high maturity level Moderate maturity level Moderately low maturity level Low maturity level Very low maturity level Not at all present
Can you at a glance identify an action plan for improvements in each of these organizations?
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HRD Score Card 2500
At a glance you can perhaps make the following observations: 1. Hospital: The hospital has good (Human Resources) HR staff and a good learning culture. However, the HR staff is not able to make any impact. There is very little learning culture and the impact of HR is very low. The priority, therefore, is to enable the competent HR people to focus on developing and implementing appropriate HR systems and get the systems linked to the HR needs of the company. Developing relevant HR systems and making sure that they drive customer care and other objectives of the hospital is a necessity. What if a detailed audit of the hospital reveals that a large part of the HR competencies are attributable to the desire of doctors to learn and the competencies of HR staff? What if the audit also reveals that if the top management styles are made more supportive, the HR competencies will be on the top, going to an A* rating? 2. Logistics Company: The logistics company has reasonably good systems, good competencies, and good HRD culture, but it needs to be more aligned with business goals. The HR direction should be made more business driven. Perhaps the employees, HR staff, and the HR systems should incorporate more business concerns in their efforts and processes. It is quite possible that in this company the HR impact is weak but intellectual capital formation is high.
Introduction to HRD Audit and HRD Score Card
3. Insurance Company: In the insurance company, there seem to be good systems and good culture, and whatever systems they have seem to be aligned to business. However, competencies of the HR staff and attitudes of line managers to learning need to be focused. If the competencies are developed, the systems are likely to result in creating the right culture. Recruitment of good HR staff and training of the line managers in learning attitudes would also help. 4. Automobile Manufacturing Company: This company has excellent HRD systems, with competent HR staff and line managers, and a supportive top management. The result also shows good HRD culture and values, and good alignment with business. Putting in more effort in creating a lasting HRD culture and playing on the current linkages of HR with business would be useful. Thus the score card of a company can at a glance tell the Chief Executive Officer (CEO) or the HR chief or the stakeholders of the company the exact standing of that company at a given point of time on the four critical dimensions of strategic HR that impacts business. This score card is established out of an HRD audit. This manual is an aid to establish the HRD score card of a company through HRD audit. This manual is all about how to audit HRD, its systems and processes, and strategies and practices; HRD competencies of HR staff, line managers, and top management; how to find out the HRD culture and values; and the impact of all these or alignment of all these with the business for which the organization exists. This is an attempt to disseminate all that we have learnt in the last 35 years of driving HRD in India and other Asian countries.
The Need for HRD Audit and What it Can Do HRD today is seen more as a business and strategic partner than simply a function, and it is indisputably one of the major contributors for building competing world-class organizations. Organizations strive towards internalizing the HRD philosophy and principles—some even making it a part of their mission statement. However, in our experiences with HRD in several organizations, the function and systems evoke more criticism and cynicism. The most common complaint that people from various organizations seem to make is that HRD priorities take a backseat in the face of other business priorities. The raison d’être for this state is the poor linkage of HRD and its various components to the overall business strategy. In quite a few organizations, HRD unfortunately is seen as a ‘stand alone’ entity. Also there seems to be a certain ambiguity in terms of impact of various HRD interventions on the organization’s performance and motivation, as those responsible for conceptualizing and initiating good HRD in the organization pay little attention to evaluation.
The TVRLS Study on the Effectiveness of HRD Function Studies indicate that 30 years after the integrated HRD systems approach was made available in India, there is very poor implementation of the same. The approach is very simple, and it has evolved locally with the help of Indian managers. It is not well implemented due to the following reasons:
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1. Lack of understanding and appreciation of the top management, the significance of HRD, and its linkages to business 2. Lack of competent HRD staff 3. Lack of professional preparation of HRD staff 4. Inadequate understanding of HRD conceptualizations and frameworks Recent HRD frameworks are conceptually heavy, culturally not very sensitive to Asian cultures, and are more sophisticated in terms of the larger number of variables they cover and the linkages needed. For example, the strategic HR approach of Ulrich requires HR professionals to perform multiple roles and achieve multiple objectives, starting from aligning HR with business to initiating and managing organizational transformation (Ulrich 1997). This is a laudable objective and requires a different quality of people to manage HR. They should, in fact, be CEOs or of the caliber of CEOs. It is doubtful that those who cannot manage even six subsystems of HRD in an integrated manner will have the organizational support and competencies to perform the multiple roles envisaged by Ulrich. The use of these frameworks and models to Asian organizations is doubtful unless implementation problems like the ones mentioned earlier are taken care of. Most of these approaches give a strategic role to HR and treat HR professionals as partners in business. Pareek and Rao’s model gave this role to HRD in 1975 by assigning a transformational role to HR professionals though HRD systems like Organization Development (OD), Performance Appraisal, Feedback and Coaching, etc. If HR professionals have to use any of these models, then the following are the important prerequisites: 1. CEOs should be willing to treat their people (employees) as a strategic resource, and to give HR the status it deserves. They should recognize HR professionals as competent and strategic partners in business. 2. HR professionals should learn as much about business as they do about HR systems, change management, and transformational technologies. 3. HR professionals should continuously enhance their HR competencies to keep pace with the changing environment. 4. Their agenda and roles should be redefined to include involvement in business plans, organizational structures, and all implementation activities. For example, the success of ERP or SAP implementation will depend greatly on how well the change is orchestrated in terms of employee involvement, and how well it is integrated into various HR processes, and planning of HRD for Enterprise Resource Planning (ERP) and SAP. 5. There should be competent HR professionals available in the country (the number of HR professionals who have become CEOs in the last 25 years is less than a dozen in the entire country). 6. Administrative functions should be differentiated from HRD.
HRD Audit of 12 Organizations A survey of the HRD audits done on 12 leading Indian corporations has indicated that the HRD function is not as well-structured as envisaged in mid-seventies. The function seems to be a lot
Introduction to HRD Audit and HRD Score Card
more convenience-driven rather than systems-driven. It does not have all the systems that it ideally should have as envisaged in the seventies. The systems are not well integrated. The integration mechanisms are stronger, but the specialization does not get the attention it deserves. The structures and competencies are not fully in tune with the Integrated HRD systems model offered by Pareek and Rao. The HRD subsystems, however, have evolved and matured to a substantial degree, especially the Performance Management System, and Training and Development system. OD and Feedback and Counseling are in the next level of maturity. Potential appraisal, career planning, and development are the least developed and used subsystems. The HRD departments need to have professionally trained and competent staff. If they have to make an impact, they should enhance the maturity levels of all these subsystems. These subsystems have a lot of potential for giving competitive advantage through the development of employees and their competencies. In another study by TVRLS (Mungale and Bhatiani 2003), perceptions of the HRD function by 162 line managers from different organizations were assessed. These were drawn from 18 companies and included 3–10 line managers from each company. The line managers of each company assessed the extent to which the HRD departments were performing 87 different activities under eight different functions. The results were compared with the results of a similar study conducted in 1991 on 53 organizations with one line manager drawn from each company. With all the methodological inadequacies, this is perhaps one important source of data we have to compare. The 2003 study used the same questionnaire with a four point scale, while the 2003 study used a six point scale. For comparison purposes, the scores were converted into percentage scores for both the studies. This study indicated a definite decline in the perceptions of the effectiveness with which the various HRD functions were being performed as perceived by the line managers. First of all, the percentage score is very low—all below 50 per cent, indicating that the functions are perceived as being performed at a level below the theoretical average. Second, there is a definite fall in the effectiveness with which these were being performed as compared to a decade ago. This is perhaps an indication of the raising expectations of line managers from the HRD managers. This is also a reflection of the falling standards of performance of various HRD activities. Some of the other results of this study as reported by Mungale and Bhatiani (2003) are as follows: 1. Among the various roles performed well in some of the companies, the top scoring roles are those dealing with influencing personnel policies, ensuring the alignment of HRD with business goals and strategies, and other systems, articulating HR philosophy, and liaising with top management. 2. Monitoring HRD implementation and conducting human process research are the two poorly performed functions across most organizations. 3. Creating a development motivation among line managers by organizing visits to other organizations for them is one of the least-attended activities. 4. OD and self-renewal activities are also among the least effectively performed activities. On the basis of these results, the study concluded the following: 1. HRD managers need to recognize stakeholders’ expectations and understand the overall business and strategic context of their function. As the expectations from HRD function are changing, they are expected to perform more value-adding functions and activities.
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2. HRD functions should focus on intellectual capital generation activities, and at the same time ensure a good return on investment (ROI) on training and other interventions rather than merely facilitating in-house training activities. 3. HRD practitioners need to equip themselves with the capacity and competencies needed to build the HRD function as a hands-on, proactive strategic partner with practical contributions to organizational goals and performance effectiveness. 4. HRD practitioners need to strengthen their partnership and credibility with their stakeholders by involving them in policy making and communicating constantly. In order to develop HRD into its proper undertaking—that of a strategic business partner— it becomes important for organizations to evaluate their components of HRD in terms of alignment with business strategy and needs, and use this perspective to enhance and further strengthen HRD. This evaluation is what the HRD audit attempts to do.
What is HRD Audit? HRD audit is a ‘comprehensive evaluation’ of the ‘current HRD systems and strategies, structure and competencies, culture, and impact’ in the context of the ‘short- and long-term business plans’ of a company. It starts with the long-term and short-term plans of the company and attempts to assess the competency requirements of employees to achieve these plans. In the context of these competency requirements, an attempt is made to assess: 1. 2. 3. 4. 5. 6.
the competencies needed at present; existing systems to develop these competencies; the adequacy/inadequacy or maturity levels of these systems; existing structures and competencies and their adequacy/inadequacy; commitment levels exhibiting mechanisms to further it or build work motivation; and work culture and methods of building the same.
Most organizations undertake HRD audit to 1. align or realign HR with business goals; 2. make HR business driven, or make HR drive business; 3. take stock of things and to improve HRD for expanding, diversifying, and entering into a fast growth phase; 4. promote more professionalism among the employees and the company by switching over to professional management; 5. understand the reasons for lower employee productivity or turnover, employee attrition, and to improve their strategies; 6. comprehensively review and improve the effectiveness of various HR systems like manpower planning and recruitment, performance appraisal, training and development, career and succession planning, etc.; 7. reorient the HR function and systems after organizational changes such as growth, diversification, change in leadership, etc.; and 8. create a high return on investments on HR.
Introduction to HRD Audit and HRD Score Card
HRD audit is a comprehensive evaluation. The term ‘comprehensive evaluation’ indicates a detailed study of various components of HRD against a conceptual framework as well as the current business environment and requirements. Multiple methodologies are used ranging from comprehensive individual and group interviews, from the CEO to the operator or worker level (representative sampling done at all levels), to the study of secondary data available in the organization in terms of records, etc. HRD systems and strategies essentially include the choice of the organization to use various systems and methods related to various HR functions like recruitment, performance management, career planning, motivation, training and development, etc. These strategies could either be derived directly from the business goals or aligned to the same. Certain focal points of the audit of HRD strategies would include: 1. Culture building strategies: Along with upholding the dignity of individuals, to check if the strategy aims towards developing a culture which harnesses professionalism, learning through collaboration and experimentation, and values such as commitment, openness, trust, accountability, etc. 2. Quality and customer orientation: Whether the strategy links employee satisfaction to customer satisfaction through availability of high quality goods and services. 3. Communication strategy: Setting up a system which encourages information sharing. Audit the strategy to evaluate if it promotes timely and close communication with employees and the community at large for building stronger bonds. 4. Efficiency management and cost reduction strategy: Check if the strategy focuses on enhancing operational and process efficiencies at various levels and in various areas along with cost efficiencies where possible through employee participation, and whether it attempts to build the same into the culture of the organization. 5. Employee engagement strategy: Aims at enhancing trust at work place, autonomous perception of linkages between individual and organizational outcomes, and employee commitment to work and the organization. The HRD audit examines the alignment of HRD strategies and systems to business goals and challenges. In fact, so high is the relevance of business needs or organizational needs and plans that they are the starting points for the HRD audit. The auditors evaluate how well the HRD efforts and strategy drive business goals and their achievement. A system has its own objectives, components or elements, and a process. It has inputs, an output, and a throughput. The purpose of any HRD system is broadly to build the competencies and/or commitment of individuals, dyads, teams, and the entire organization as a whole through a variety of instruments. Its objective is also to build a lasting culture so that the employees learn and contribute their best on a continuous basis. The HRD audit helps in assessing the orientation, processes and mechanisms, degree of participation, cost-effectiveness, and efficiency of the overall HRD systems and subsystems in the organization. These (manpower planning, performance management, feedback and coaching, training, talent identification and management, etc.) systems may keep changing from time to time as we discover new things. The HRD audit focuses on all systems that exist in a given organization and assesses them for their clarity of objectives, structure (scientific base and comprehensiveness), understanding by the users, implementation, and relevance in achieving organizational goals.
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The audit helps to point out areas of modification for meeting the organizational needs in the following areas.
HRD Competencies HRD audit attempts to assess the competence of various personnel through knowledge testing, attitudes and values testing, 360 degrees assessment, HRD function assessment, and assessment centers. This covers the competency levels of the HRD department, line managers, top management, union representatives, and the HRD staff. It also covers the professional preparation of the HRD managers and the competency levels of the HRD department as a whole. The audit, therefore, helps discover the areas of strength as well as the developmental areas, thereby strengthening the HR effectiveness in the organization.
HRD Structure While appropriate structure is required to manage the function given the importance and complexity, common occurrence is indiscriminate expansion of the system due to lack of review and streamlining. The audit attempts to evaluate the appropriateness of the structure, value addition in terms of competencies and role performed, and the extent of support to the business strategy. HRD structure is very vital to the organization and deals with task structure, role relationship, manpower, competence, infrastructure facilities, and organizational processes. The HRD audit attempts to highlight the current status, strengths, weaknesses, cost-effectiveness, and other vital elements of the HR structure, and aligns it in accordance with the business goals of the organization.
HRD Styles The effectiveness of various HRD systems and the extent to which they are likely to get the desired results depend upon the style of the top management. Any HRD audit has to take into consideration the styles of the top management and whether or not they are congruent with the HRD philosophy. Indian managers have been found to exhibit three styles: benevolent, critical, and developmental. While the developmental style is most congruent with HRD philosophy, other styles may have to be used occasionally depending on the situation, person and nature of issue. While a developmental and empowering philosophy should constitute the core of the styles, effective use of the other styles may be needed to run the system or its subsystems.
HRD Culture and Values The HRD audit also attempts to study the extent to which the organization has OCTAPACE values and culture, that is, a culture which fosters Openness, Collaboration, Trust, Authenticity,
Introduction to HRD Audit and HRD Score Card
Proaction, Autonomy, Confrontation, and Experimentation. Such a culture can be built only by an enlightened top management and hence the audit takes into consideration the styles of the top management and whether they are congruent with the HRD philosophy or not. In case of lack of congruence, the audit should indicate the current dominant styles used by most managers and their impact on the employees.
HRD Impact The audit also includes a study of the impact made by various HRD interventions in terms of their contributions to outcome variables or process variables. The outcome variables are direct variables like the financial variables (cost reduction, revenue generation, profits, etc.) and process variables are those that are in terms of talent management or intellectual capital formation (customer capital, structural capital, emotional capital, relationship capital, etc.). These variables are not easy to measure, and often these are difficulties attributable only to HR. However, recognition or acknowledgement by managers themselves is an indicator of the impact. This HRD audit manual aims at measuring the HRD in organizations. An attempt has been made to quantify the variables involved and thereby simplify the measurement. The components of each HRD issue have been identified and the indicators under each component have also been spelt out. These components and indicators have been assigned numerical values with relative weightage to enable an internal/external auditor to perform the HRD audit. This manual includes sections on HRD strategies and systems, HRD competencies, HRD values and culture, and HRD impact. The evaluation by the auditors on all aspects aforementioned is then represented in the HRD score card. HRD Score Card is an assessment of the HRD maturity level of any organization. It assigns a four-letter rating which represents the four critical dimensions of HRD contributing to organizational performance, namely, HRD systems maturity, HRD competencies in the company, HRD culture and values, and HRD impact (earlier labeled as business linkages).
Using multiple methodologies, any organization can be assigned a score. Such scoring is assigned by the auditors, and the HRD audit is the ideal time to assign such scores. The system is intended in due course to become like the ISO certification system. In order to evaluate the aforementioned aspects, the following multiple methods are used.
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Interviews Individual interviews with the top management are conducted to capture the top management’s thinking on the future plans and opportunities available for the company. Interviews with other levels of managers and staff are conducted in groups to collect information about the effectiveness of the existing HRD systems, culture, skills, styles, etc. The utility of interviews in the HRD audit are as follows: 1. Aids the auditors to capture the main concerns of the primary stakeholder 2. Helps in getting detailed information, which can be re-clarified 3. Helps revalidate the inputs and strengthen observations, which makes the entire audit very dynamic 4. Helps in gaining first-hand access to and understanding of feelings and perceptions of the people
Group Discussions and Workshops In large organizations, diagnostic workshops could be conducted for a participative diagnosis and evaluation of various aspects of HRD.
Observation The auditors also observe various aspects of the organization in order to evaluate the work place and work atmosphere and assess the extent to which a congenial and supportive climate exists in the organization. Observations are mainly made with respect to physical facilities and living conditions, meetings, discussions and other transactions, celebrations and other events related to organizational life and culture, training, and other HRD-related facilities including the classroom, library, training center, etc.
Analysis of Records and Documents A scrutiny of the annual report, performance appraisal forms, training documents, employees’ records files maintained by the HR department, in-house journals, and periodicals is carried out to assess various strengths and weaknesses of HRD.
Questionnaires A number of questionnaires are used to extract information about HRD systems, processes, styles, and competencies. Instruments used for this purpose are outlined later in this book (see Unit 7).
Who Will Do the Assessment or Audit? The following are the likely auditors who can use the system: 1. External auditors 2. Internal auditors
Introduction to HRD Audit and HRD Score Card
HRD Audit Dimension Main Area HRD Systems and Strategies
HRD Competencies
HRD Culture and Values HR Impact and Alignment
Categories
Points
1. HRD Systems: Objectives, Structure, Understanding Implementation and Business Relevance of Manpower Planning, Performance Management, Training, Recruitment, OD and Self-renewal, etc.
840
2. HRD Strategies: Quality, Cost, Customers, Culture Building, Entrepreneurship, Communication and Commitment.
160
1. Competencies of HRD Staff
200
2. Learning Attitude of Line Managers
100
3. Empowering Styles of Top Management
100
4. Learning Orientation of Non-supervisory staff
60
5. Credibility of HR Department and its Activities
40
1. OCTAPACE Values
160
2. Organizational Culture
340
1. Talent Management (5 × 50)
250
2. Intellectual Capital (10 × 20)
200
3. Financial Contributions (1 × 50)
50
Total
2,500
3. Internal team of auditors consisting of HR specialists 4. In-house team or internal task force consisting of line managers and HR specialists 5. In-house team without any HR specialists
Who is an Auditor? An auditor is a person who is trained specially in HRD audit. Both the Academy of HRD and TVRLS conduct certificate programs and trainer programs in HRD audit. A trained auditor has the following knowledge, attitude, and skills: 1. A thorough knowledge of various HR systems, their objectives, components, relevance to organizations at different stages, their functioning, implementation difficulties, indicators of success, world class practices, and benchmarks wherever applicable and available 2. Knowledge of the HR departments, their role, competencies, and HR competency models 3. Knowledge of the principles of human development and growth 4. Knowledge of the role of line managers, and an appreciation for the role played by top management and their styles, and attitudes of line managers in managing their own development 5. Knowledge of various assessment methods, tools, and techniques 6. Assessment skills in terms of skills in observation, questionnaires, use of secondary data, and interviews 7. A positive attitude to audit—an attitude to view audit as an empowering tool and not a faultfinding tool
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8. Communication skills in terms of presentation of the audit report verbally, or in writing using PowerPoints, etc. The first five competencies can be acquired by any professional in HR from a HR school and by reading books like Designing and Managing HR Systems by U. Pareek and T.V. Rao (Oxford & IBH), HRD Audit by T.V. Rao (Response Books) and other books by Dave Ulrich (The HR Champions or HR Value Proposition, etc.). Skills in points 6, 7 and 8 can be acquired through special training and practice. Most managers are required to have these skills as managers. Hence, line managers trained in HR, once they start practicing under guidance, will be able to acquire the skills. While the use of this manual is recommended under specialist guidance and after some initial training, the intention of making this manual available is to enable more and more HR and line managers to acquire the skills through guided practice. The manual itself is intended to work as a guide for such practice.
Organization of this Manual The next five units are meant to give detailed procedures for HRD audit. Units 2 and 3 are devoted to the audit of HRD systems and strategies. Unit 2 is the main chapter that aids in audit. Unit 3 gives an in-depth audit of some of the most used HRD systems. It is an additional aid for a serious auditor. Unit 4 gives detailed procedures and standards for assessing the HRD competencies of HR staff, line managers, top management, and the overall competencies of the HR department or function. Unit 5 presents audit process and standards for assessing the HRD culture and values. Unit 6 presents the detailed procedures for auditing the business linkages or alignment of HRD systems, culture, etc., with business. Unit 7 presents various questionnaires that can be used for the HRD audit. Unit 8 presents the scoring sheets and scoring system for the HRD audit, and the detailed process for arriving at the HRD score card. The details presented should be good enough to be used by a professionally-trained manager of HRD.
References Mungale, Sonali and Ritu Singh Bhatiani. 2003. ‘An Evaluative Study of the HRD Function through HRD Audit’, paper presented at the 4th Conference of Young Professionals of the National HRD Network, Delhi Chapter. Pareek, Udai and T.V. Rao. 2003. Designing and Managing Human Resource Systems. New Delhi: Oxford & IBH. ———. 1975. ‘HRD System in Larsen & Tourbo’, unpublished consultancy report. Ahmedabad: Indian Institute of Management. Rao, T.V. 1999. HRD Audit. New Delhi: Response Books (A Division of Sage Publications). Rao, T.V., Raju Rao and Taru Yadav. 2001. The Effectiveness of HRD Function in India: A HRD Audit Study. Ahmedabad: Vikalpa. Ulrich, Dave. 1997. The Human Resource Champions: The New Agenda for Adding Value and Delivering Results. Boston, MA: Harvard Business School.
Unit 2
HRD Systems and Strategies Introduction Systems are an organized way of making things happen. They help in planning, bringing predictability, professionalism, discipline, and security. They also help organizations get branding. A system must be infused with spirit, and be governed by norms, values, and rules. While all these can be a part of a system, they cannot replace the system itself, and the way it is implemented. For example, an ‘HRD spirit’ is essential for effective implementation of HRD. Without spirit, no one can be committed to development—either one’s own or that of others. However, there is no simple way to ensure that the HRD spirit is present in each individual in terms of effective implementation of HRD. A system has its own objectives, components or elements, and process. It has inputs, an output, and a throughput. The purpose of any HRD system is broadly to build the competencies and/or commitment of individuals, dyads and teams, and the entire organization as a whole through a variety of instruments. Its objective also is to build a lasting culture so that the employees learn and give their best on a continuous basis. In this chapter, an attempt has been made to take each subsystem of HRD, to audit its maturity levels in an organization. The entire auditing is in concrete tangible measures to enable the auditor to give points which will add up to give the final score of the subsystem. It is important to note here that the questions to be asked while interviewing (as mentioned in this manual) are only suggestive and illustrative. The actual questions, to a large extent, will depend on the behavior and answers given by the interviewee. The questions as mentioned here attempt to give a clear picture with regard to the kind of questions that can be asked during an interview. The detailed list of all the systems and strategies of HRD (along with the subsystems) is as follows:
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HRD Systems and Strategies
Points HRD Systems
1. Competency Mapping 2. Manpower Planning 3. Recruitment 4. Induction and Integration 5. Performance Management 6. Coaching and Mentoring 7. Potential Appraisal and Assessment Centers 8. Rewards and Recognition 9. Career Planning and Development 10. Job Rotation 11. Training and Learning 12. Organization Development Interpolated Score out of a Total of 840
70 70 70 70 70 70 70 70 70 70 70 70 ….
HRD Strategies 1. Communication 2. Employee Engagement 3. Quality-orientation 4. Customer–orientation 5. Efficiency 6. Entrepreneurial Spirit 7. Culture Building 8. Talent Management Overall Strategy Score
20 20 20 20 20 20 20 20 160
Two systems of audit are presented in this manual: Mini Audit and In-depth Audit. The mini audit is done on five dimensions for each system without going into details of how well the system is structured and implemented. Mini audit can be done by the auditors using the same methodology explained earlier: interviews (individual and group), observation, questionnaires, secondary data, and documents. In the in-depth audit, an attempt is made to get into the details of each component of the system using the same methods. The points are scored on the basis of the presence of each indicator, and the assessor has limited scope to bring in his or her subjectivity or judgment. In this manual, only the mini audit is presented. Consult a separate manual for in-depth audit.
Rationale Behind Mini Audit Since the time of the establishment of the first dedicated HRD department in the corporate sector in this part of the world in 19751, many organizations have taken up a systems approach to HRD. A lot of literature has appeared in Asia. The following are the most common of the systems: 1
The first dedicated HRD department was conceptualized, designed, and established in Larsen and Toubro in 1975 with the help of Udai Pareek and T.V. Rao, two professors from the Indian Institute of Management (IIM), Ahmedabad.
HRD Systems and Strategies
1. 2. 3. 4. 5. 6. 7.
Performance management system Performance feedback and counseling Career planning and development Potential appraisal and development Training Induction Organization development and renewal
While these are the most common of the new systems, other systems like manpower planning and recruitment existed in some form or the other even in the past. A recent survey auditing the last 30 years of implementation of these systems by Rao et al. (2001) indicated that the most frequently used HRD systems are performance management, feedback and counseling, training, and select Organization Development (OD) interventions. The study revealed the following: 1. Most organizations seem to have well-developed performance management systems or are in the process of having the same. 2. Feedback and counseling is the second system which only a few seem to follow. However, this is integrated into the performance appraisal, and hence diluted. The feedback and review discussions are conducted more as a formality than with a high development orientation. 3. There is no potential appraisal as a separate system in any of these companies. It is there as a part of the performance appraisal in a few of these. Only one of the organizations is planning to use assessment centers. 4. 360 Degree Feedback is being tried out in seven of the 12 organizations, either as part of corporate initiative or on their own initiative. 5. Employee satisfaction surveys, TQM interventions, total productivity management, team building workshops, visioning exercises, train the trainer programs, etc., are some of the OD interventions being used by these organizations. 6. Training and development is well developed and well managed in these organizations. Internal faculty has been developed in most of these organizations. Those organizations covered under ISO certification programs have given a systematic and high emphasis to training and development activities. They are still to graduate from a training and development orientation to the creation of a learning environment. The study also indicated that for effective implementation and utilization of the potential of any HR system to maximize results, the system needs to 1. have very clear objectives relevant to the organization, its nature, growth phase, and other contextual factors; 2. be structured or designed to suit the requirements of the company following all scientific principles relating to the system concerned (for example, a training system should be designed using the psychological principles of learning, and development); 3. be well understood by all the users (communicated well); 4. be implemented well; and 5. deliver results or produce the desired impact in terms of business goals or system goals. It is these five aspects that have been taken into consideration in evolving the system of mini audit.
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The extent to which each of these elements is present is evaluated in this framework. Each of these elements has been given a weightage of 10 points. On the basis of the experience of the last 25 years of audit, two of the elements are given higher weightage. These are the design and implementation elements. Unless a system is well structured, it will not deliver results. And unless it is implemented seriously and appropriately with the spirit required, it will not give the fruits or have credibility. Hence, the weightage and points given are as follows: Dimension of the Audit
Weightage and Points
Extent of clarity of objectives How well structured is the system? How complete and scientific are the elements? How comprehensive are they? How well are they understood? How well are they implemented? Are they resulting in any tangible achievement of business goals? Extent to which it meets organizational needs Total
One (10 points) Two ( 20 points) One (10 points) Two (20 points) One (10 Points) 70 points
How to Use the Audit Manuals? In the sections that follow, guidelines to assess each of the HR systems are presented. Evaluation is to be done on each dimension using a 10 point scale. The auditors or the audit team could collect the information for assessment by interviewing a few line managers individually or in teams, or collecting a stratified random sample of line managers who have been with the organization for a minimum period (for example, at least two years if the organization is five years old or more, and six months if the organization is relatively new). The detailed methodologies of audit and how to use observation, questionnaires, and secondary data are described in Rao (1999). The methods described in that book could be used to arrive at the assessments suggested in this section. The questionnaires and other tools given in Unit 7 could also be used for arriving at the points mentioned here for each system.
HRD Systems Assess the extent to which each of the following HRD systems in an organization is mature. For any system not included here, the auditor or the audit team is encouraged to use the following framework of assessment: 1. Extent of clarity of objectives: How clear are the objectives of the system? 2. How complete and scientific is the system? How comprehensive is the system and the extent to which it is structured well? 3. How well is the system understood? 4. How well is it being implemented?
HRD Systems and Strategies
5. What is the extent to which it meets organizational needs? Is the system resulting in any tangible achievement of business goals? Does it make Direct or Indirect contributions? (Direct: financial results or customer satisfaction or delight, cost savings, brand building, shareholder value enhancement, business growth and expansion, diversification, technological developments, enhanced efficiency, and effectiveness of operations; Indirect: human capacity utilization, employee satisfaction, employee capacity development, creation of the right culture and values, building professionalism, laying cultural grounding for the future, etc.) ? For assessments, use the scoring sheets provided in Unit 8.
Competency Mapping Total Points = 70
Methodology The following methods can be used to audit this system. S. No. Methods 1.
2.
3. 4. 5.
Interviews
Checklist of questions or activities for audit
Interview HR, the top management, and senior managers to find out the following: Whether competency mapping exercise has been undertaken? Levels for which it is covered, availability of the list of competencies, methodology that has been used for competency mapping, whether it is based on roles set members or a scientific study of the role requirements, and whether the data are made available to each individual concerned about the list of activities and competencies. Whether the list of competencies is shared with the role holders and their seniors. Ascertain the use of the competency mapping exercise and the benefits out of the competency mapping exercise. Ascertain if it has been used for organizational restructuring, role clarity exercises, recruitment, manpower planning, induction, training, coaching, potential assessment, identification of fast trackers, mentoring, etc. Observation Role directory, and competency mapping manuals or output of exercises. Observe the extent to which the training, Performance Management System (PMS), induction, etc., incorporate competency mapping exercises. Examine the filled-in forms. Questionnaire Develop a questionnaire on competency mapping. Use relevant questions from the HRD audit questionnaire. Secondary Data Look for the circulars, workshop outline, memos, meetings, etc., associated with competency mapping exercises and their usage. Documents and Reports Check competency directories, manuals, guidelines, policy statements, training material, etc.
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On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) • Extent of clarity • Existence of documentation • Efforts made to clarify • Comprehensiveness/coverage of efforts Points 10
8–9
6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees appreciate the need for identifying competencies and the competency requirements for each role. There are well-identified and documented competencies for each role. The purpose and use of competencies and competency directories are well shared and appreciated by all. Documents have been circulated and employees have been given explanations. All employees are aware of the competency requirements associated with their role. One of the components (like efforts made or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing. Not all employees have understood fully or are appreciative of the need for competency mapping or role directory exercise. About 80 per cent appreciate and are clear about the same. Two components are missing. Some form of competency mapping has been done. Many employees are not clear. Clarity is not fully ensured. Full efforts are not made. Competencies have been identified for a few roles. Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the process or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Competencies cover technical, functional, managerial, behavioral, and conceptual categories. • Knowledge, attitudes, skills, motives, and values are all covered. • Competency mapping process is based on mission, vision, values, and long-term plans of the company. • Competencies identified are based on current role holders; their role set members, successful past performers, their seniors, etc. • Competencies are benchmarked and validated where data is available with international standards. • There are mechanisms to update the competencies once in one to three years. • Employees are involved in such competency mapping and updating exercises. Points 10
Definitions, Criteria, and Standards All the indicators are present. Excellent process and methodology followed in competency mapping. Competency models evolved. A detailed directory available, comprehensively covering all roles.
HRD Systems and Strategies
8–9 6–7 4–5 2–3 0–1
One of the indicators is weak. Two components are missing. Three components are missing. Many aspects are not clearly defined. Comprehensiveness is not fully ensured. The process followed in competency mapping is weak and leaves a lot to be desired. Competency mapping is done systematically. There are no documents. It is only loosely talked about, and no one is really clear about the process.
3. Extent to which it is understood (10 points) • Awareness about competencies and their meaning • Understanding the objectives of the exercise • Understanding the way competency mapping can be put to use • Understanding the benefits of the system Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system, understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of meaning, understanding of process or benefits of system) is missing. Two components are missing. Understanding is not complete, but good enough. Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of competencies and their use. There are no guidelines. No circular or no statement. It is only loosely talked about, and no one is really clear about the system.
4. How well it is implemented (10 points × weightage 2 = 20 points) • The extent to which it is shared • Made available to each individual and departments • Used for induction, PMS, recruitment, placement, and identifying potential high fliers Points
Definitions, Criteria, and Standards
10
Competency lists are made available to all employees and their departments. It is used extensively, starting from recruitment, training of recruiters, placement, manpower planning, induction, retention management, incentives, PMS, promotions, potential identification, organizational restructuring, etc.
8–9
It is used for most of the aforementioned.
6–7
It is used for some of the critical systems like recruitment, PMS, and promotions.
4–5
It is used in a limited way for one or two systems like PMS or recruitment or manpower planning. It is not put to use that effectively.
2–3
Use of competencies for HR is weak. Very little implementation effort has been made.
0–1
It does not exist, or is not used at all.
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5. Extent to which it meets organizational needs (10 points) • Objectives of competency mapping activity • Design of the system or competency mapping activity • Functioning of the system or competency mapping activity • Benefits derived from system or competency mapping activity Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards The competency mapping exercise has helped the organization in many ways: rationalization of jobs, levels, fixing of responsibilities, enhancing accountabilities, role clarity, identification of potential, manpower planning, matching employees and their talent with jobs, cost savings, etc. It has given most of the above benefits though not all. It has given many benefits, though not the best. It has given a few benefits. It may have met one or two organizational requirements like ISO certification, but we have not got enough out of this system. The return on investment (ROI) is weak. There are no benefits out of this. This has either not been done, or it did not give any significant results.
Manpower Planning Total Points = 70
Methodology The following methods can be used to audit this system: S. No.
Methods
1.
Interviews
2. 3.
Questionnaire Secondary Data
Checklist of questions or activities for audit Interview HR manager, line managers and functional heads, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents and objectives, etc. Relevant items of HRD audit questionnaire. Look for any reports related to situation analysis, manpower demand or supply, manpower planning, departmental requests for manpower to HR department, industrial engineering department studies, reports of consultants, etc.
On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) • Extent of clarity • Existence of documentation
HRD Systems and Strategies
• Efforts made to clarify • Comprehensiveness/coverage of efforts Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and stated set of guidelines, and a policy write-up or document of manpower planning. The guidelines are comprehensive and explain all aspects including the role of the line managers and HR. Guidelines for manpower requisition are given. There are no ambiguities. Efforts have been made to clarify and make documentation accessible to all concerned. One of the components (like efforts made or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing. Two components are missing. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts not made. Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the process, or what is expected out of the process.
2. Extent to which manpower planning process is well structured (10 points × 2 weightage = 20 points) • Situation analysis (internal needs, employee turnover, retirements, outside demand, availability, market situation, etc.) • Manpower demand analysis • Manpower supply • Manpower plan Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system for regular situation analysis, manpower demand analysis, manpower supply, and manpower plan. The system is comprehensive and covers all aspects. A comprehensive manpower plan is developed based on the situation analysis, manpower demand analysis, and manpower supply. One of the components (like situation analysis, manpower demand analysis, manpower supply, or manpower plan) is missing. Two components are missing. Three components are missing. Many aspects are not clearly defined. Comprehensiveness is not fully ensured. Structure is weak. Many people are not aware of the process and mechanisms. There is very little provision for regular analysis and updating. There is no structure. It is only loosely talked about, and no one is really clear about the process. There is no provision for manpower plan.
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3. Extent to which it is understood (10 points) • Awareness of the system • Understanding the objectives of the system • Understanding the functioning of the system • Understanding the benefits of the system Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system, understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of objectives, understanding of process or benefits of system) is missing. Two components are missing. Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of the system. There is no awareness or understanding. It is only loosely talked about, and no one is really clear about the system.
4. How well it is implemented (10 points × 2 weightage = 20 points) • Situation analysis • Manpower demand analysis • Manpower Supply • Manpower Plan Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards Situation analysis is done regularly. Proper manpower demand and supply analysis is done. Comprehensive manpower plan is prepared based on the analysis done. One of the components (like situation analysis, manpower demand analysis, manpower supply, or manpower plan) is not implemented. Two components are missing. Three components are missing. Situation analysis, manpower demand analysis, and manpower supply analysis not done. Implementation is weak. Situation analysis, manpower demand analysis, manpower supply analysis, and manpower plan are not done properly. There is no analysis done. No manpower plan. It is only done on an ad hoc basis.
5. Extent to which organizational needs are met (10 points) • Objectives of the system • Design and structure of the system • Implementation and functioning of the system • Benefits derived from the system
HRD Systems and Strategies
Points
Definitions, Criteria, and Standards
10
Objectives of the system are derived from some organizational needs. Design and structure of the system fulfills some organizational requirements. Implementation and functioning of the system fulfills some organizational requirements. Benefits derived from system address some organizational needs. One of the components (like objectives derived from needs or benefits addressing needs, design or functioning fulfilling requirements) is missing. Two components are missing. Three components are missing. Objectives not derived from organizational needs. Design is not fulfilling organizational requirements. Full efforts not made in implementation to address organizational needs. Linkage to organizational needs is weak. Very little linkage has been found. There are no linkages between system and organizational needs.
8–9 6–7 4–5
2–3 0–1
Recruitment Total Points = 70
Methodology The following methods can be used to audit this system: S. No.
Methods
1.
Interviews
2. 3. 4. 5.
Observation Questionnaire Secondary Data Documents and Reports
Checklist of questions or activities for audit Interview new recruits who were subject to the recruitment process, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview line managers and functional heads, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents, objectives, etc. Observe actual recruitment process in operation. Evaluate it for clarity. Relevant items of HRD audit questionnaire. Look for any records of recruitment process, interviews, applications, etc. Check manuals, guidelines, policy statements, training material, etc.
On the basis of the data in the preceding table, allocate points as follows: 1. Clarity of Objectives (10 points) • Extent of clarity • Existence of documentation • Efforts made to clarify • Comprehensiveness/coverage of efforts
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Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or document of recruitment process. The guidelines are comprehensive and explain all aspects including the role of the interviewer. Guidelines for interviewing and selection are given. There are no ambiguities. Efforts have been made to make clarity and documentation accessible to all concerned. One of the components (like efforts made or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing. Two components are missing. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts not made Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the process, or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Understanding the job to be filled • Tapping the sources of recruitment • Using various strategies for selection • Setting the selection process Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or document of recruitment process. The guidelines are comprehensive and explain all aspects including the selection criteria of the interviewers. Training for interviewing is given. Efforts have been made to make documentation accessible to all concerned One of the components (like understanding the job to be filled, tapping the sources of recruitment, using various strategies for selection, or setting the selection process) is missing. Two components are missing. Three components are missing. Many aspects are not clearly defined. Comprehensiveness is not fully ensured. Structure is weak. Very little documentation has been made. Many people are not aware of the process and mechanisms. There are no documents. It is only loosely talked about, and no one is really clear about the process.
3. Extent to which it is understood (10 points) • Awareness about the system • Understanding the objectives of the system • Understanding the functioning of the system • Understanding the benefits of the system
HRD Systems and Strategies
Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system, understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of objectives, understanding of process or benefits of system) is missing. Two components are missing. Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of the system. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the system.
4. How well it is implemented (10 points × 2 weightage = 20 points) • Understanding the job to be filled • Tapping the sources of recruitment • Using various strategies for selection • Setting the selection process Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a clear understanding of jobs to be filled and a proper tapping of sources of recruitment. Appropriate strategies for selection are implemented. A well-structured selection process is in place. One of the components (like understanding the job to be filled, tapping the sources of recruitment, using various strategies for selection, or setting selection process) is missing. Two components are missing. Three components are missing. Jobs are not well understood. Sources of recruitment are not tapped well. Proper recruitment strategies are not implemented. Selection process is not functioning well. Implementation is weak. Very little implementation effort has been made. There is little understanding of jobs to be filled. There are no guidelines. No understanding of jobs to be filled, or no strategies for selection. Selection is done on an ad hoc basis.
5. Extent to which meets organizational needs (10 points) • Objectives of the system • Design and structure of the system • Implementation and functioning of the system • Benefits derived from system Points 10
8–9
Definitions, Criteria, and Standards Objectives of the system are derived from some organizational needs. Design of the system fulfills some organizational requirements. Actual functioning of the system fulfills some organizational requirements. Benefits derived from system address some organizational needs. One of the components (like objectives derived from needs or benefits addressing needs, design or functioning fulfilling requirements) is missing. (Contd)
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(Contd) Points 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards Two components are missing. Three components are missing. Objectives not derived from organizational needs. Design or process is not fulfilling organizational requirements. Full efforts not made to address organizational needs. Linkage to organizational needs is weak. Very little linkage has been found. There are no linkages between the system and organizational needs.
Induction and Integration Total Points = 70
Methodology Induction aims at three groups of employees: (i) new recruits to senior and middle level positions from other companies; (ii) newly promoted or transferred insiders; and (iii) new entrants fresh from colleges and educational institutions taken at junior levels. Induction programs traditionally focused on the new recruits (category iii) and went to great lengths to induct them into the organization. However, induction of middle and senior managers (outsiders as well insiders on transfer or rotation) is equally and sometimes more important. The purpose of induction and assimilation, therefore, is to ensure that all new placed employees will adapt and become full contributors in the new organization faster, better and with fewer destabilizing effects to the individual and the organization. A successful integration and assimilation is one in which both the individual and the organization are transformed for the better, and are able to leverage each others’ strengths to achieve mutually-beneficial goals. The individual and the organization need to be treated together for this purpose. Assimilation of new employees begins at the point of hire, and completes when the individual is a full contributor and no longer an outsider. The following methods can be used to audit this system: S. No. Methods 1.
Interviews
Checklist of questions or activities for audit Audit should focus on all the new entrants to an existing organization or position and all the recruits at all levels. These groups should be interviewed individually and in groups to ascertain how they were inducted. Interview new recruits into the company and ascertain the level of clarity they got at the end of their induction and the extent to which they are aware of the organization, its products and services, coverage, structure, processes, norms and values, etc. Compare the objectives and the process they have experienced with those that exist on paper. Interview top management, line managers and functional heads, and ascertain their level of clarity on the induction program. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about process, documents, objectives, etc.
HRD Systems and Strategies
2.
Observation
3. 4.
Questionnaire Secondary Data
5.
Documents and Reports
Observe the actual induction program or process in operation. Evaluate it for clarity and effectiveness. Participate in induction meetings, and observe the care taken, seriousness attached, and details of time spent. Relevant items of HRD audit questionnaire. Look for any records of materials sent, design of the induction program or integration and assimilation program, materials supplied prior to joining, online kits available and their effectiveness, use of performance appraisal formats and induction kits, letters of welcome and introductions, etc. Check manuals, guidelines, policy statements, training material, etc.
On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) • Comprehensiveness of coverage of objectives • Extent of clarity • Existence of documentation • Efforts made to clarify Points 10
8–9
6–7 4–5 2–3
0–1
Definitions, Criteria, and Standards There is a system of induction and integration, a stated set of guidelines, and a policy write-up or document about the induction process. The guidelines are comprehensive and explain all aspects, including the role of the line managers, HODs, supervisors and the top management. All parties participate in the induction process: current role set group of the new recruit, HODs, top management, HR, and outgoing employees in case of transfers. The objectives cover all new recruits to the organization as well as internal recruits for all positions. Transferred or job-rotated employees are also inducted. Guidelines for interviewing and selection are given. There are no ambiguities. Efforts have been made to be clear and make documentation accessible to all concerned and even put on the website. One of the components (like efforts made, or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing, or one of the components like assimilation and integration of new recruits at higher levels is underplayed in the objectives. Two components are missing, or some parties like the supervisor, the HOD, or the HR do not play an adequate role. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts not made. Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. Induction and integration is done on an ad hoc basis, and it is left for different departments to have their own objectives. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the process, or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Coverage of all employees: workmen, supervisors, new entrants, lateral recruits at all levels, transferees, and job rotated. • Covers all aspects: company, products, markets, technology, policies, personnel policies, culture, competitors, facilities, values, top management, structure, and competitors.
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• Uses a number of players, line managers, HODs, top management, and documentation. • Using various strategies for induction: pre-joining induction, immediately after joining, formal induction programs, informal meetings, and assimilation efforts. • Uses all existing resources: Internet, online induction, and documentation. • Ensures employee engagement and commitment; is managed like a system.
Points 10
8–9
6–7 4–5
2–3
0–1
Definitions, Criteria, and Standards Induction is done for all categories of employees: workmen, support staff, supervisors, managers, HODs, top management, CEOs, board members, and even covers visitors and consultants where appropriate. The employee is inducted into the company’s products, markets, technology, policies, personnel policies, culture, structure, competitors, facilities, values, top management, competitors, business policies, etc. A number of players are involved and all the players share the same objectives. There is a system, a stated set of guidelines, and a policy write-up or document about the induction process. The guidelines are comprehensive and explain all aspects of induction and assimilation including the values, culture, etc. Formal induction program is well structured. Efforts have been made to involve all concerned parties. One of the components (like introducing to the company, its products, structure, etc.) is missing. One of the important groups is not inducted, or there are minor gaps in the induction training program or induction process for lateral entrants. Two components are missing: employees are covered under induction or contents of induction. Three components are missing. Many aspects are not clearly defined. Comprehensiveness is not fully ensured. New inductees are well inducted, but other inductees are neglected, or middle- and senior-level induction is more comprehensive and lower levels neglected. Induction process takes time and could be made more effective. Induction program structure is weak. Very little documentation has been done. Many people are not aware of the process and mechanisms. Most existing resources are not used, or all people are not fully involved. The candidate takes time to learn about the company. There are no documents. It is only loosely talked about, and no one is really clear about the process. Very ad hoc and not well-structured.
3. Extent to which it is understood (10 points) • Awareness about the induction process system • Understanding objectives of the induction process and the system • Understanding of the process and functioning of the system • Understanding the benefits of the system • Understanding of the role played by induction and the seriousness it needs from all levels Points 10 8–9
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the induction process and system, understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of objectives, understanding of process or benefits of system or its importance) is missing.
HRD Systems and Strategies
6–7 4–5 2–3 0–1
Two components are missing Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of the system. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the system.
4. How well it is implemented (10 points × 2 weightage = 20 points) • HR puts in its best efforts. Seriousness is shown in ensuring all systems are followed by all. • Line mangers and HODs take it seriously and make themselves available for the induction and integration. • New recruits have a well-structured program and it is implemented with reviews and effectively all the time. Schedules are not changed. • Various components, opportunities, and systems are used for induction: clubs, Internet, online education, CDs, written materials, performance appraisals, KPAs, social gettogethers, etc. • Candidates also look forward to the induction program. Points 10
Definitions, Criteria, and Standards There is a clear understanding of the role of induction. All take it seriously. All resources are used. Employees and top management allocate time needed. Induction is given highest priority. A well-structured induction process is in place. Middle- and top-level induction is also given importance.
8–9
One of the five components is missing.
6–7
Two components are missing.
4–5
Three components are missing. Induction is not well implemented. Proper induction process is not followed.
2–3
Implementation is weak. Very few implementation efforts have been made. There is little understanding of the induction of either new recruits or lateral recruits.
0–1
There is no formal induction. Everything happens ad hoc or informally, and most of the time it does not happen. The organization has a long way to go.
5. Extent to which organizational needs are met (10 points) • Objectives of the system meet the needs: reduction of adjustment time and getting down to contribute. • Design and structure of the system meets the needs of the company. • Implementation and functioning of the system results in time management and quick settling-down. • Benefits are derived from the system. Employees develop a lot of company identity and quickly. • Employees get ready to contribute fast as a result of induction.
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Points 10
Definitions, Criteria, and Standards Objectives of the system are derived from organizational needs. Design of the system fulfills some organizational requirements. Actual functioning of the system fulfills some organizational requirements. Benefits derived from the system address some organizational needs. It helps people to settle down fast, and start contributing with full commitment and understanding. Employees feel as part of the family soon as a result of induction. Everyone gets to know all that they need to know and more after induction. It results in time savings and cost savings. It also enhances mutual understanding of people and appreciation of each other’s work.
8–9
One of the components (like objectives derived from needs or benefits addressing needs, design or functioning fulfilling requirements) is missing. A few employees are not inducted sufficiently and a few aspects are ignored.
6–7
Two components are missing from the list.
4–5
Three components are missing. Objectives are not derived from organizational needs. Design or process does not fulfill organizational requirements. Full efforts are not made to address organizational needs. Induction is conducted more as a routine.
2–3
Linkage to organizational needs is weak. Very little linkage has been found. Induction sometimes goes in a different direction from what the business needs are.
0–1
There are no linkages between the induction process and the extent to which the system meets organizational needs.
Performance Management Total Points = 70
Methodology The following methods can be used to audit this system: S. No. Methods 1.
2.
3. 4. 5.
Interviews
Checklist of questions or activities for audit
Interview (appraisees and appraisers individually or in teams) who were subject to performance appraisal process, performance planning, identification of KPAs, etc. Interview those who had been through performance review sessions recently or who are likely to go through them, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents,objectives, etc. Observation Observe actual performance review sessions in operation. Evaluate them for clarity. Examine the filled-in forms. Questionnaire Relevant items of HRD audit questionnaire. Secondary Data Look for any records of transactions between the appraisers and appraisees. Documents and Reports Check manuals, guidelines, policy statements, training material, etc.
HRD Systems and Strategies
On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) • Extent of clarity • Existence of documentation • Efforts made to clarify • Comprehensiveness/coverage of efforts Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or document of performance appraisal and management. The guidelines are comprehensive and explain all aspects including the role of the appraiser and appraisee. Guidelines for performance appraisal are given. There are no ambiguities. Efforts have been made to make clarity and documentation accessible to all concerned. One of the components (like efforts made, or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing. Two components are missing. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts are not made. Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the process, or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Performance planning • Performance analysis and review • Performance development and counseling • Performance ratings Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or document of performance management. The guidelines are comprehensive and explain all aspects including the performance planning, performance analysis and review, performance development and counseling, and performance ratings. Trainings for performance appraisal and review discussions are given. Efforts have been made to make documentation accessible to all concerned. One of the components (like performance planning, performance analysis and review, performance development and counseling, performance ratings) is missing. Two components are missing. Three components are missing. Many aspects are not clearly defined. Comprehensiveness is not fully ensured. Structure is weak. Very little documentation has been made. Many people are not aware of the process and mechanisms. There is very little provision for training. There are no documents. It is only loosely talked about, and no one is really clear about the process. There is no provision for training.
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3. Extent to which it is understood (10 points) 1. Awareness about the system 2. Understanding the objectives of the system 3. Understanding the functioning of the system 4. Understanding the benefits of the system
Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system, understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of objectives, understanding of process or benefits of system) is missing. Two components are missing Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of the system. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the system.
4. How well it is implemented (10 points × 2 weightage = 20 points) 1. Performance planning 2. Performance analysis and review 3. Performance development and counseling 4. Performance ratings
Points 10 8–9 6–7 4-5
2–3 0–1
Definitions, Criteria, and Standards Performance is regularly planned in advance. Performance review discussions are done involving performance analysis, development, and counseling. Performance ratings are given objectively. One of the components (like performance planning, performance analysis and review, performance development and counseling, performance ratings) is missing. Two components are missing. Three components are missing. Performance is not planned properly. Performance analysis and review is not done systematically. Performance development and counseling is not focused in review discussions. Performance ratings are not given objectively. Implementation is weak. Very few implementation efforts have been made. There are no guidelines. No training or support. It is only reviewed on an ad hoc basis.
5. Extent to which it meets organizational needs (10 points) • Objectives of the system • Design of the system • Functioning of the system • Benefits derived from system
HRD Systems and Strategies
Points 10
Definitions, Criteria, and Standards Objectives of the system are derived from some organizational needs. Design of the system fulfills some organizational requirements. Actual functioning of the system fulfills some organizational requirements. Benefits derived from system address some organizational needs. One of the components (like objectives derived from needs or benefits addressing needs, design or functioning fulfill requirements) is missing. Two components are missing. Three components are missing. Objectives are not derived from organizational needs. Design is not fulfilling organizational requirements. Full efforts have not been made to address organizational needs Linkage to organizational needs is weak. Very little linkage has been found. There are no linkages between the system and organizational needs.
8–9 6–7 4–5
2–3 0–1
Coaching and Mentoring A system to ensure continuous motivations and talent utilization is through coaching and mentoring processes. Total Points = 70
Methodology The following methods can be used to audit this system: S. No. 1.
2. 3. 4. 5.
Methods
Checklist of questions or activities for audit
Interviews
Interview mentors, protégés, and new entrants who were subject to the mentoring process. Interview those who had been through coaching or counseling sessions recently, or who are likely to go through them, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents, objectives, etc. Observation Observe actual mentoring sessions or coaching sessions in operation. Evaluate them for quality and effectiveness Questionnaire Coaching effectiveness questionnaire. Relevant items of HRD audit questionnaire. Secondary Data Look for any records of transactions between the coaches or mentors, and their subjects. Documents and Reports Check manuals, guidelines, policy statements, training material, etc.
On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) • Extent of clarity • Existence of documentation • Efforts made to clarify • Comprehensiveness/coverage of efforts
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Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or document of coaching and mentoring. The guidelines are comprehensive, and explain all aspects including the role of the coach, mentor or protégé. Guidelines for coaching and mentoring are given. There are no ambiguities. Efforts have been made to have clarity and make documentation accessible to all concerned. One of the components (like efforts made or documentation, extensiveness of coverage or depth in explanation, and internal consistency) is missing. Two components are missing. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts have not been made. Clarity is weak. Very few efforts have been made. Many people are not aware of the process and mechanisms. There are no guidelines. No circular or no statement. It is only loosely talked about, and no one is really clear about the process ,or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Selection Criteria • Documentation • Circulation • Training Points 10
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or document of coaching and mentoring. The guidelines are comprehensive and explain all aspects, including the selection criteria of the coach, mentor or protégé. Trainings for coaching and mentoring are given. Efforts have been made to make documentation accessible to all concerned.
8–9
One of the components (like selection criteria or documentation, circulation to all or provision for training) is missing.
6–7
Two components are missing.
4–5
Three components are missing. Many aspects are not clearly defined. Comprehensiveness is not fully ensured.
2–3
Structure is weak. Very little documentation has been made. Many people are not aware of the process and mechanisms. There is very little provision for training.
0–1
There are no documents. No circular or statement. It is only loosely talked about, and no one is really clear about the process. There is no provision for training.
3. Extent to which it is understood (10 points) • Awareness about the system • Understanding of objectives of the system • Understanding of functioning of the system • Understanding of benefits of the system
HRD Systems and Strategies
Points 10
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system, understand the objectives, functioning, and benefits of the system.
8–9
One of the components (like awareness or understanding of objectives, understanding of process, or benefits of the system) is missing.
6–7
Two components are missing.
4–5
Three components are missing. Many employees are not aware. Understanding is not fully ensured.
2–3
Understanding is weak. Many people are not aware of the system.
0–1
There are no guidelines. No circular or no statement. It is only loosely talked about, and no one is really clear about the system.
4. How well it is implemented (10 points × 2 weightage = 20 points) 1. Selection 2. Training 3. Support 4. Review Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards Mentors and mentees are selected appropriately. Proper training is provided. All required facilities and support are provided. Periodic review of system is done. One of the components (like selection or training, support ,or review) is missing. Two components are missing. Three components are missing. Selection criteria are not clear. Training is not fully provided. Periodic review is not done. Implementation is weak. Very few implementation efforts have been made. There are no guidelines. No training or no support. It is only reviewed on an ad hoc basis.
5. Extent to which organizational needs are met (10 points) • Objectives • Design • Actual Functioning • Benefits derived Points 10
8–9 6–7 4–5
2–3 0–1
Definitions, Criteria, and Standards Objectives of the system are derived from some organizational needs. Design of the system fulfills some organizational requirements. Actual functioning of the system fulfills some organizational requirements. Benefits derived from system address some organizational needs. One of the components (like objectives derived from needs or benefits addressing needs, design or functioning fulfilling requirements) is missing. Two components are missing. Three components are missing. Objectives are not derived from organizational needs. Design does not fulfill organizational requirements. Full efforts have not been made to address organizational needs. Linkage to organizational needs is weak. Very little linkage has been found. There are no linkages between the system and organizational needs.
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Potential Appraisal and Assessment Centers Total Points = 70
Methodology The following methods can be used to audit this system: S. No. Methods 1.
Checklist of questions or activities for audit
Interviews
Interview those who have been through potential appraisal or assessment centers recently, or who are likely to go through them, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview line managers and functional heads, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents, objectives, etc. Interview assessors and external consultants if assessment or development centers are used. Observation Observe actual potential appraisal or assessment centers in operation. Evaluate them for clarity. Questionnaire Relevant items of HRD audit questionnaire. Secondary Data Look for any records, potential appraisal process, etc. Examine the exercises, design, schedule, results, etc., of the assessment centers. Documents and reports Check manuals, guidelines, policy statements, training material, etc.
2. 3. 4. 5.
On the basis of the data in the preceding table, give points as follow: 1. Clarity of Objectives (10 points) • Extent of clarity • Existence of documentation • Efforts made to clarify • Comprehensiveness/coverage of efforts Points 10
8–9 6–7 4–5
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or document of potential appraisal. The guidelines are comprehensive and explain all aspects including the role of the appraisers. Guidelines for potential appraisal are given. There are no ambiguities. Efforts have been made to make clarity and documentation accessible to all concerned. Where assessment centers are used, the purpose, methodology, and process used are defined. Competency mapping is used for assessment centers. One of the components (like efforts made or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing. Two components are missing. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts have not been made.
HRD Systems and Strategies
2–3 0–1
Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. There are no guidelines. No circular or no statement. It is only loosely talked about, and no one is really clear about the process, or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Clarity of roles and functions • Processes for assessment • Training for assessment • Feedback for individual development Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or document of potential appraisal. The guidelines are comprehensive and explain all aspects including the processes for assessing qualities. Provision of training for assessors and developmental feedback based on potential appraisal. The assessment tools are scientific, tested out, and are not merely borrowed from standard organizations. One of the components (like role clarity, clearly defined process, developmental feedback, or provision for training) is missing. Two components are missing. Three components are missing. Many aspects are not clearly defined. Comprehensiveness is not fully ensured. Structure is weak. Very little documentation has been made. Many people are not aware of the process and mechanisms. There is very little provision for training. There are no documents. No circular or statement. It is only loosely talked about, and no one is really clear about the process. There is no provision for training.
3. Extent to which it is understood (10 points) • Awareness about the system • Understanding the objectives of the system • Understanding the functioning of the system • Understanding the benefits of the system Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system, including the assessment centers if any, understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of objectives, understanding of process, or benefits of system) is missing. Two components are missing. Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of the system. There is very low awareness. It is only loosely talked about, and no one is really clear about the system.
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4. How well it is implemented (10 points × 2 weightage = 20 points) 1. Clarity of roles and functions 2. Processes for assessment 3. Training for assessment 4. Feedback for individual development Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards Roles and functions are clearly understood. Proper training is provided. All required facilities and support are provided. Proper feedback for individual development is provided. Assessment centers are scientifically conducted, reviewed, and renewed to improve their effectiveness. Data are maintained, and the impact of policies and different tools are studied. People take the system and its implementation seriously, and give it the time needed for assessment as well as development. One of the components (like role clarity, clearly defined process, developmental feedback, or provision for training) is missing. Two components are missing. Three components are missing. Roles and functions are not clearly understood. Training is not fully provided. Developmental feedback is not given. Implementation is weak. Very little implementation effort has been made. There is no clarity of roles or functions. No training or no understanding of process. No developmental feedback is provided.
5. Extent to which organizational needs are met (10 points) • Objectives of the system • Design of the system • Functioning of the system • Benefits derived from system Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards Objectives of the system are derived from some organizational needs. Design of the system fulfills some organizational requirements. Implementation and functioning of the system fulfills some organizational requirements. Benefits derived from the system address some organizational needs. One of the components (like objectives derived from needs, or benefits addressing needs, design or functioning fulfilling requirements) is missing. Two components are missing. Three components are missing. Objectives are not derived from organizational needs. Design does not fulfill organizational requirements. Full efforts not made to address organizational needs. Linkage to organizational needs is weak. Very little linkage has been found. There are no linkages between the system and organizational needs.
Rewards and Recognition Total Points = 70
HRD Systems and Strategies
Methodology The following methods can be used to audit this system: S. No. Methods 1.
Checklist of questions or activities for audit
Interviews
Interview functional heads, line managers, and HR manager, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents, objectives, etc., of various reward, recognition, and promotion systems. Questionnaire Relevant items of HRD audit questionnaire. Secondary Data Look for any records of past rewards, recognition, and promotions and process. Documents and Reports Check manuals, guidelines, policy statements, training material, etc.
2. 3. 4.
On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) • Extent of clarity in various schemes • Existence of documentation for each of the schemes • Efforts made to clarify the purpose, etc., of each of the schemes • Comprehensiveness/coverage of efforts for each of the schemes including promotions Points 10
8–9
6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, a policy write-up or document of rewards, and various forms of recognition. The guidelines are comprehensive and explain all aspects including the role of the assessor for rewards and various forms of recognition. Guidelines for rewards and various forms of recognition and promotions are given. There are no ambiguities. Efforts have been made to make clarity and documentation accessible to all concerned. One of the components (like efforts made or documentation, extensiveness of coverage or depth in explanation, and internal consistency) is missing. Some of the schemes are not explained properly or documented properly. Two components are missing. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts not made Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. There may be a lot of subjectivity and absence of a system. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the process, or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) 1. Based on objective contribution and/or competency assessment 2. Scientific process in place 3. Promotes a culture of recognition, engagement, fairness, objectivity, and motivation 4. Well documented
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Points 10
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or documents for rewards, recognition, and promotions. The guidelines are comprehensive and explain all aspects including the eligibility criteria and evaluation for promotion. A scientific process for rewards, recognition, and promotions is designed. Provision has been made to make documentation accessible to all concerned.
8–9
One of the components (like objective criteria or scientific process, circulation to all, or culture of
6–7
Two components are missing.
4–5
Three components are missing. Many aspects are not clearly defined. Not well documented. Fairness
2–3
Structure is weak. Very little documentation has been made. Many people are not aware of the
0–1
There are no documents. No circular or statement. It is only loosely talked about, and no one is
fairness) is missing.
is not fully ensured. process and mechanisms. A lot of subjectivity seems to be present. really clear about the process.
3. Extent to which it is understood (10 points) 1. Awareness about the system and various schemes 2. Understanding the objectives of the system and various schemes 3. Understanding the functioning of the system and various schemes 4. Understanding the benefits of the system and various schemes
Points 10
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system and various schemes, and understand the objectives, functioning, and benefits of the system.
8–9
One of the components (like awareness or understanding of objectives, understanding of process, or benefits of system) is missing.
6–7
Two components are missing.
4–5
Three components are missing. Many employees are not aware. Understanding is not fully ensured for all systems and schemes. Some schemes are well understood and others are not.
2–3
Understanding is weak. Many people are not aware of the system and various schemes.
0–1
It is only loosely talked about, and no one is really clear about the system and various schemes.
4. How well it is implemented (10 points × 2 weightage = 20 points) • Based on objective contribution or competency assessment. • Scientific processes are in place. • Promotes a culture of recognition, fairness, objectivity, and motivation. • Well documented. All parties take it seriously, and reflect the spirit of recognitions and rewards.
HRD Systems and Strategies
Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and stated set of guidelines, and a policy write-up or document for rewards, recognition and promotions. The guidelines are comprehensive and explain all aspects including the eligibility criteria and evaluation for promotion. A scientific process for rewards, recognition, and promotions is in place. Efforts have been made to make documentation accessible to all concerned. One of the components (like objective criteria or scientific process, circulation to all, or culture of fairness) is missing. Two components are missing. Three components are missing. Eligibility and selection criteria are not clear. Process is not implemented scientifically. Implementation is weak. Very few implementation efforts have been made. Guidelines are not followed. No process in place. Promotion is done on an ad hoc basis. Recognition and rewards are mostly ad hoc.
5. Extent to which organizational needs are met (10 points) 1. Objectives of the system and various schemes 2. Design of the system and various schemes 3. Implementation of the system and various schemes 4. Benefits derived from system and various schemes Points 10
8–9
6–7 4–5
2–3 0–1
Definitions, Criteria, and Standards Objectives of the system are derived from organizational needs. Design of the system fulfills organizational requirements. Functioning of the system and various schemes fulfill organizational requirements. Benefits derived from system address organizational needs. One of the components (like objectives derived from needs or benefits addressing needs, design or functioning fulfilling requirements) is missing. One or more of the schemes may not be appropriate and do not give any results. Two components are missing. Benefits derived are at average level. There are as many positive benefits as negative ones. Often the decisions de-motivate good performers. Three components are missing. Objectives are not derived from organizational needs. Design does not fulfill organizational requirements. Full efforts are not made to address organizational needs. There is more of a negative impact of the schemes rather than the positive impact. Linkage to organizational needs is weak. Very little linkage has been found. Linkages are effective only in one or two schemes, and their impact on the organization is generally weak. There are no linkages between the system and most schemes and organizational needs. Some of the schemes even have a negative impact on the motivation of employees.
Career Planning and Development Total Points = 70
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Methodology The following methods can be used to audit this system: S. No.
Methods
1.
Interviews
2.
Observation
3. 4. 5.
Questionnaire Secondary Data Documents and Reports
Checklist of questions or activities for audit Interview line managers, functional heads, and HR manager, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents, objectives, etc. Observe individual development interventions in operation. Evaluate them for clarity. Relevant items of HRD audit questionnaire. Look for any records of individual development, and career plans. Check manuals, guidelines, policy statements, training material, etc.
On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) 1. Extent of clarity 2. Existence of documentation 3. Efforts made to clarify 4. Comprehensiveness/coverage of efforts Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and a stated set of guidelines, and a policy write-up or document of career planning and development. Career paths and career progression opportunties are well-defined, and are made known to the employees. The guidelines are comprehensive and explain all aspects including the role of HR function and the incumbent. Guidelines for career planning and development are given. There are no ambiguities. Efforts have been made to have clarity and make documentation accessible to all concerned. One of the components (like efforts made or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing. Two components are missing. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts are not made. Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the process, or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Identification of capabilities and potential supported by other systems • Systematically-phased individual development
HRD Systems and Strategies
• Specific strategies for different group of people • Perceived as an integral part of culture Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is provision for identifying capabilities and potential of each individual through inputs from other systems. There is a systematically-phased individual development plan for all employees. Specific strategies are designed for different groups of people. Plans are in place to make career planning and development a part of organizational culture. One of the components (like identification of capabilities or individual development plans, specific strategies or acculturation) is missing. Two components are missing. Three components are missing. Many aspects are not clearly defined. Acculturation is not fully ensured. Structure is weak. There is very little linkage for input from other systems. There are no clearlydefined individual development plans. There are no linkages with other systems for inputs. There are no individual development plans and developmental strategies are missing. Career planning and development is not perceived as an integral part of culture.
3. Extent to which it is understood (10 points) • Awareness about the system • Understanding the objectives of the system • Understanding the functioning of the system • Understanding the benefits of the system Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system and understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of objectives, understanding of process, or benefits of system) is missing. Two components are missing. Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of the system. There are no guidelines. No circular or no statement. It is only loosely talked about, and no one is really clear about the system.
4. How well it is implemented (10 points × 2 weightage = 20 points) • Identification of capabilities and potential supported by other systems • Systematically-phased individual development • Specific strategies for different group of people • Perceived as an integral part of culture
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Points 10
Definitions, Criteria, and Standards Capabilities and potential of each individual are identified through inputs from other systems. The systematically-phased individual development plan for all employees is well implemented. Specific strategies are implemented for different groups of people. Efforts are put to make career planning and development a part of organizational culture.
8–9
One of the components (like identification of capabilities or individual development plans, specific strategies or acculturation) is missing.
6–7
Two components are missing.
4–5
Three components are missing. Many aspects are not clearly defined. Acculturation is not fully ensured.
2–3
Implementation is weak. Very little implementation effort has been made.
0–1
There is no identification of individual capabilities and potential. No individual development plans or strategies.
5. Extent to which organizational needs are met (10 points) • Objectives of the system are derived from some organizational needs • Design of the system fulfills some organizational requirements • Implementation of the system fulfills some organizational requirements • Benefits derived from system address some organizational needs Points 10
Definitions, Criteria, and Standards Objectives of the system are derived from some organizational needs. Design of the system fulfills some organizational requirements. Functioning of the system fulfills some organizational requirements. Benefits derived from system address some organizational needs.
8–9
One of the components (like objectives derived from needs or benefits addressing needs, design or functioning fulfilling requirements) is missing.
6–7
Two components are missing.
4–5
Three components are missing. Objectives are not derived from organizational needs. Design does not fulfill organizational requirements. Full efforts have not been made to address organizational needs.
2–3
Linkage to organizational needs is weak. Very little linkage has been found.
0–1
There are no linkages between the system and organizational needs.
Job Rotation Total Points = 70
Methodology The following methods can be used to audit this system:
HRD Systems and Strategies
S. No. 1.
Methods Interviews
Checklist of questions or activities for audit Interview those who had been through job rotation recently, or who are likely to go through them, and ascertain their level of clarity. Compare the objectives they state with those that exists on paper. Interview line managers, functional heads, and HR manager, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents, objectives, etc.
3.
Questionnaire
Relevant items of HRD audit questionnaire.
4.
Secondary Data
Look for any records of job rotation, its linkages with other systems, and
5.
Documents and Reports
any study related to the same. Check manuals, guidelines, policy statements, training material, etc.
On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) • Extent of clarity • Existence of documentation • Efforts made to clarify • Comprehensiveness/coverage of efforts Points 10
Definitions, Criteria, and Standards There is a system and stated set of guidelines, and a policy write-up or document on job rotation. The guidelines are comprehensive and explain all aspects including the role of the HR manager, line managers, and the employees. Guidelines and criteria for job rotation are given. The system is fair. Efforts have been made to have clarity and make documentation accessible to all concerned.
8–9
One of the components (like efforts made or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing.
6–7
Two components are missing.
4–5
Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts not made.
2–3
Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms.
0–1
There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the process or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Initial planning of the process • Design of the process • Integration with other HR systems • Impact on culture in terms of learning, development, and motivation
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Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and stated set of guidelines, and a policy write-up or document of job rotation. The guidelines are comprehensive and explain all aspects including the selection criteria of the incumbent and jobs available for rotation. Linkages with other HR systems are envisaged. Impact on culture in terms of learning, development, and motivation is projected. Provision has been made to make documentation accessible to all concerned. One of the components (like initial planning or design of the process, integration with other HR systems or impact on culture) is missing. Two components are missing. Three components are missing. Many aspects are not clearly defined. Integration with other HR systems is not provided. Structure is weak. Many people are not aware of the process and mechanisms. There are no documents. It is only loosely talked about, and no one is really clear about the process.
3. Extent to which it is understood (10 points) • Aware of the system • Understanding the objectives of the system • Understanding the functioning of the system • Understanding the benefits of the system Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system, understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of objectives, understanding of process or benefits of system) is missing. Two components are missing. Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of the system. There are no guidelines. No circular or statement. It is only loosely talked about, and no one really is clear about the system.
4. How well it is implemented (10 points × 2 weightage = 20 points) • Initial planning of the process • Design of the process • Integration with other HR systems • Impact on culture in terms of learning, development, and motivation Points
Definitions, Criteria, and Standards
10
There is a system and stated set of guidelines, and a policy write-up or document of job rotation. The guidelines are comprehensive and explain all aspects including the selection criteria of the incumbent and jobs available for rotation.
HRD Systems and Strategies
8–9 6–7 4–5 2–3 0–1
Linkages with other HR systems are established. Impact on culture in terms of learning, development, and motivation is experienced. Efforts have been made to make documentation accessible to all concerned. One of the components (like initial planning or design of the process, integration with other HR systems, or impact on culture) is missing. Two components are missing. Three components are missing. Many aspects are not clearly defined. Integration with other HR systems is not fully ensured. Implementation is weak. Very little implementation effort has been made. There are no guidelines. No training or no support. It is only reviewed on an ad hoc basis.
5. Extent to which meets organizational needs (10 points) • Objectives of the system • Design of the system • Functioning of the system • Benefits derived from system Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards Objectives of the system are derived from some organizational needs. Design of the system fulfills some organizational requirements. Functioning of the system fulfills some organizational requirements. Benefits derived from system address some organizational needs. One of the components (like objectives derived from needs or benefits addressing needs, design or functioning fulfilling requirements) is missing. Two components are missing. Three components are missing. Objectives are not derived from organizational needs. Design does not fulfill organizational requirements. Full efforts not made to address organizational needs. Linkage to organizational needs is weak. Very little linkage has been found. There are no linkages between system and organizational needs.
Training and Learning Total Points = 70
Methodology The following methods can be used to audit this system: S. No. 1.
Methods Interviews
Checklist of questions or activities for audit Interview those who had been through training sessions recently, or who are likely to go through them, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. (Contd)
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(Contd) S. No.
2. 3. 4. 5.
Methods
Observation Questionnaire Secondary Data Documents and reports
Checklist of questions or activities for audit Interview line managers and functional heads, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents, objectives, etc. Observe actual training sessions in operation. Evaluate them for clarity. Training evaluation questionnaire. Relevant items of HRD audit questionnaire. Look for any records of trainings and feedback. Check manuals, guidelines, policy statements, training material, etc.
On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) • Extent of clarity • Existence of documentation • Efforts made to clarify • Comprehensiveness/coverage of efforts Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a system and stated set of guidelines, and a policy write-up or document of training and learning. The guidelines are comprehensive and explain all aspects including the role of the trainee. Guidelines for training and learning are given. There are no ambiguities. Efforts have been made to be clear and make documentation accessible to all concerned. One of the components (like efforts made or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing. Two components are missing. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts not made Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. There are no guidelines. No circular or no statement. It is only loosely talked about, and no one is really clear about the process, or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Scientific identification of training needs • Pre-training preparation • Training process • Post-training activities and support Points 10
Definitions, Criteria, and Standards There is a system and stated set of guidelines, and a policy write-up or document of training and learning. The guidelines are comprehensive and explain all aspects including the selection criteria of trainees, trainers, and programs. Provision is made for pre-training preparation and post-training support.
HRD Systems and Strategies
8–9 6–7 4–5 2–3 0–1
One of the components (like identification of training needs or pre-training preparation, training process or post-training activities and support) is missing. Two components are missing. Three components are missing. Many aspects are not clearly defined. Comprehensiveness is not fully ensured. Structure is weak. Many people are not aware of the process and mechanisms. There is very little provision for post-training support. There are no documents. It is only loosely talked about, and no one is really clear about the process. There is no provision for pre-training preparation or post-training support.
3. Extent to which it is understood (10 points) • Awareness about the system • Understanding the objectives of the system • Understanding the functioning of the system • Understanding the benefits of the system Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system, understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of objectives, understanding of process, or benefits of system) is missing. Two components are missing. Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of the system. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the system.
4. How well it is implemented (10 points × 2 weightage = 20 points) • Scientific identification of training needs • Pre-training preparation • Training process • Post-training activities and support Points 10 8–9 6–7 4–5
2–3 0–1
Definitions, Criteria, and Standards Training needs are identified scientifically. Pre-training preparation is ensured. The training process is managed well. Post-training activities are done and support is adequately provided. One of the components (like identification of training needs or pre-training preparation, training process or post-training activities, and support) is missing. Two components are missing. Three components are missing. Scientific identification of training needs is not done. Pre-training preparation is not ensured. Training process is not implemented well. Post-training activities and support are not provided. Implementation is weak. Very little implementation effort has been made. There are no guidelines. No training or support. It is only reviewed on an ad hoc basis.
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5. Extent to which organizational needs are met (10 points) • Objectives of the system • Design of the system • Functioning of the system • Benefits derived from system Points 10
Definitions, Criteria, and Standards Objectives of the system are derived from some organizational needs. Design of the system fulfills some organizational requirements. Actual functioning of the system fulfills some organizational requirements. Benefits derived from system address some organizational needs. One of the components (like objectives derived from needs or benefits addressing needs, design or functioning fulfilling requirements) is missing. Two components are missing. Three components are missing. Objectives not derived from organizational needs. Design does not fulfill organizational requirements. Full efforts are not made to address organizational needs. Linkage to organizational needs is weak. Very little linkage has been found. There are no linkages between the system and organizational needs.
8–9 6–7 4–5 2–3 0–1
Organization Development Total Points = 70
Methodology The following methods can be used to audit this system: S. No.
Methods
1.
Interviews
2. 3. 4. 5.
Observation Questionnaire Secondary Data Documents and reports
Checklist of questions or activities for audit Interview line managers, functional heads, and HR manager, and ascertain their level of clarity. Compare the objectives they state with those that exist on paper. Interview HR staff to ask about documents, objectives, etc. Observe actual OD interventions in operation. Evaluate them for clarity. Relevant items of HRD audit questionnaire. Look for any records of OD interventions, their impact, etc. Check manuals, guidelines, policy statements, etc.
On the basis of the data in the preceding table, give points as follows: 1. Clarity of Objectives (10 points) • Extent of clarity • Existence of documentation • Efforts made to clarify • Comprehensiveness/coverage of efforts
HRD Systems and Strategies
Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a stated set of guidelines and a policy write-up or document of OD interventions. The guidelines are comprehensive and explain all aspects including the role of the change agent. Guidelines for change agents and OD interventions are given. There are no ambiguities. Efforts have been made to have clarity and make documentation accessible to all concerned. One of the components (like efforts made or documentation, extensiveness of coverage, or depth in explanation and internal consistency) is missing. Two components are missing. Three components are missing. Many employees are not clear. Clarity is not fully ensured. Full efforts are not made. Clarity is weak. Very little effort has been made. Many people are not aware of the process and mechanisms. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the process or what is expected out of the process.
2. Extent to which it is well structured (10 points × 2 weightage = 20 points) • Carried out in a planned systematic manner • Using action research where necessary • Ensuring success of the OD intervention • Perceived visible benefits as a consequence of OD interventions Points
Definitions, Criteria, and Standards
10
There is a stated set of guidelines and a policy write-up or document of OD interventions. The guidelines are comprehensive and explain all aspects including the role and responsibility of the change agent. There is provision for action research where needed. There is a clear policy and budget provision to provide necessary support and facilities for ensuring the success of the OD intervention. There is a plan to inform all about the benefits derived from the OD interventions. One of the components (like systematic planning or action research, ensuring success or highlighting benefits) is missing. Two components are missing. Three components are missing. Many aspects are not clearly defined. Success is not fully ensured. Structure is weak. Action research is not encouraged. Lack of provision for required budgets. Many people are not aware of the benefits derived. There is no policy or statement. It is only loosely talked about, and no one is really clear about the process. There is no provision of budgets. No support.
8–9 6–7 4–5 2–3 0–1
3. Extent to which it is understood (10 points) • Awareness about the system • Understanding the objectives of the system • Understanding the functioning of the system • Understanding the benefits of the system
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Points 10 8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards All employees (across functions and levels) are aware of the system, understand the objectives, functioning, and benefits of the system. One of the components (like awareness or understanding of objectives, understanding of process or benefits of system) is missing. Two components are missing. Three components are missing. Many employees are not aware. Understanding is not fully ensured. Understanding is weak. Many people are not aware of the system. There are no guidelines. No circular or statement. It is only loosely talked about, and no one is really clear about the system.
4. How well it is implemented (10 points × 2 weightage = 20 points) • Carried out in a planned systematic manner • Using action research where necessary • Ensuring success of the OD intervention • Perceived visible benefits as a consequence of OD interventions Points 10
8–9 6–7 4–5 2–3 0–1
Definitions, Criteria, and Standards There is a stated set of guidelines and a policy write-up or document of OD interventions. The guidelines are comprehensive and followed well during implementation. Action research is used where necessary. All support and facilities are provided for ensuring the success of the OD intervention. The benefits derived from the OD interventions are shared with all employees. One of the components (like systematic planning or action research, ensuring success or highlighting benefits) is missing. Two components are missing Three components are missing. Many aspects are not clearly defined. Success is not fully ensured. Implementation is weak. Very little implementation effort has been made. There is no systematic plan followed. No action research. No efforts to ensure success. No communication about the benefits derived.
5. Extent to which organizational needs are met (10 points) • Objectives of the system • Design of the system • Implementation of the system • Benefits derived from system Points 10
Definitions, Criteria, and Standards Objectives of the system are derived from some organizational needs. Design of the system fulfills some organizational requirements. Functioning of the system fulfills some organizational requirements. Benefits derived from system address some organizational needs.
HRD Systems and Strategies
8–9 6–7 4–5 2–3 0–1
One of the components (like objectives derived from needs, or benefits addressing needs, design, or functioning fulfilling requirements) is missing. Two components are missing. Three components are missing. Objectives are not derived from organizational needs. Design does not fulfill organizational requirements. Full efforts are not made to address organizational needs. Linkage to organizational needs is weak. Very little linkage has been found. There are no linkages between the system and organizational needs.
HRD Strategies Normally when we talk of HR strategy, we deal with strategies of attracting, retaining, developing, motivating, and utilizing employees and their competencies for effective organizational functioning and growth. Organizations are doing a good deal on these four dimensions to meet their short-term goals and objectives, but are not doing enough to meet long-term goals. The strategies mentioned in the subsequent section suggest that the following focus is needed in future HRD efforts. These focal points can vary from organization to organization, and are only illustrative. The eight components that are amenable to strategic interventions are the following: 1. 2. 3. 4. 5. 6. 7. 8.
Communication Employee engagement Quality orientation Customer orientation Efficiency Entrepreneurial spirit Culture building Talent management.
An innovative auditor could substitute some of them depending on the contextual requirements.
Communication (20 Points) Integration with the family and the society as a strategy is included. It has a lot of binding effect on the individual employee and also deals with corporate social responsibility. It also builds a company brand. It is not PR but a communication strategy to integrate the individual with the organization through his family and the society. COMPONENTS
INDICATORS
Continuous communication with employees and their families (12 points)
The employees’ awareness (at all levels) of the company’s present and future plans (4 points) The employees’ families awareness about the same (4 points) Mechanisms to ensure communication of and by the company to employees and their families (4 points)
Check
(Contd)
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(Contd) HOW TO AUDIT Interviews
Documents/ Secondary Data
To HR Manager: Are the employees at all levels aware of the company’s present and future plans? Are the employees’ families aware of the same? What mechanisms are in place to ensure communication of the company by the company to employees and their families? What are the strengths and weaknesses of these existing mechanisms? Since when (which year) are these mechanisms in place? Taking into consideration existing practices and systems, what would you recommend for the organization? What written communication mechanisms does the organization use? Is it intranet and accessible to all, are they aware of this? In-house newsletters and magazines or e-magazines? How do you keep employees/team members on the field aware and up-to-date on recent policy changes or achievements of the organization? To Line Managers/Functional Heads: Do you know what is presently happening in your company? Are you aware of the company’s future plans? Does the company communicate enough? How well do you think the company communicates about its activities? Are there any areas for improving communication? If yes, what are they? How do you keep employees/team members on the field aware and up-to-date on recent policy changes or achievements of the organization? How do you find yourself addressing the issue of ‘alienation’ usually felt by those away from the Head Office?
Any documented communication from the company to its employees and families In-house newsletters and magazines E-magazines and e-newsletters Policy manual Communication policies and practices Internal memos and circulars Notice boards and meetings minutes
COMPONENTS
INDICATORS
Continuous communication with the community (8 points)
Community’s awareness about the company’s activities, sponsoring activities, national and global awards (4 points) Company’s systems of communicating to the society, city, nation, clubs, management associations, trusts, hospitals, public gardens, etc. (4 points)
Questionnaire Data
Relevant items from HRD audit questionnaire Use any of the standard questionnaires to measure communication strategies. A five to 10 items questionnaire would suffice.
Check
HRD Systems and Strategies
HOW TO AUDIT Interviews To HR Manager: How does the company communicate about itself to the society at large? What are some recent achievements related to its contribution to society and human welfare? How has the organization managed to benefit from such contributions? What more can/should be done to be known as an important social contributor to society and the nation? To Line Managers/Functional Heads: How does the company communicate with the society about its contributions? What are some of the areas in which you find yourself spending time in order to fulfill social obligations on part of the organization? What more can be done in order to have a better communication with society and how important is such an issue?
Documents/Secondary Data
Questionnaire Data
Reports or documents which the company has made public Awards and trophies displayed or won Sponsored activities Public responsibility undertaking, for example, gardens, roads, etc.
Employee Engagement (20 Points) There is clear and mounting evidence that high levels of employee engagement correlates to individual, group, and corporate performance in areas such as retention, turnover, productivity, customer service, and loyalty. And this is not just by small margins. While differences varied from study to study, highly-engaged employees outperform their disengaged counterparts by a whopping 20–28 percentage points! Companies are responding to this challenge—by flattening their chains of command, providing training for first-line managers, and with better internal communications. The Conference Board in USA came up with a definition and the key themes that crossed various studies. They define employee engagement as ‘a heightened emotional connection that an employee feels for his or her organization, that influences him or her to exert greater discretionary effort to his or her work.’ At least four of the studies agreed on these eight key drivers (Soldati 2007). 1. Trust and integrity: How well managers communicate and ‘walk the talk’. 2. Nature of the job: Is it mentally stimulating day-to-day? 3. Line of sight between employee performance and company performance: Do the employees understand how their work contributes to the company’s performance? 4. Career growth opportunities: Are there future opportunities for growth? 5. Pride about the company: How much self-esteem do the employees feel by being associated with their company? 6. Coworkers/team members: How significantly do they influence one’s level of engagement? 7. Employee development: Is the company making an effort to develop the employees’ skills? 8. Relationship with one’s manager: Does the employee value his or her relationship with his or her manager?
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COMPONENTS Engagement (8 points)
INDICATORS
Check
Trust and integrity: How well managers communicate and ‘walk the talk’. Nature of the job: Is it mentally stimulating day-to-day? Line of sight between employee performance and company performance: Do the employees understand how their work contributes to the company’s performance? Career Growth opportunities: Are there future opportunities for growth? Pride about the company: How much self-esteem do the employees feel by being associated with their company? Coworkers/team members: How significantly do they influence one’s level of engagement Employee development: Is the company making an effort to develop the employee’s skills? Relationship with one’s manager: Does the employee value his or her relationship with his or her manager? (8 points: 1 point each for the above) HOW TO AUDIT
Interviews To HR Manager: What are some of the existing issues relating to employee engagement? Are employees clear about the boundaries of their roles? Are they able to link their performance with individual performance? Is the HRD function aligned to address these? What systems are currently being used to enhance engagement? What systems, not being used today, can be introduced in order to address these issues? To Line Managers/Functional Heads: Do you think the employees feel engaged and accountable? Has the HRD department played any active role to improve employee engagement? Do you have any suggestions for enhancing employee engagement?
COMPONENTS Ownership (6 points)
Documents/Secondary Data Any research study that has been conducted to understand the engagement status of employees in the organization Policies manual Employee engagement surveys
Questionnaire Data There are questionnaires available to measure these variables. Use any of the standard questionnaires to measure engagement, commitment, accountability, and ownership. Construct special tools for this purpose. A five to 10 items questionnaire would suffice.
INDICATORS HRD systems and processes to enhance a feeling of ownership among employees (2 points) Effective implementation of these systems (2 points) Innovative approaches to enhance a sense of ownership, including periodic research and monitoring, and scope for improving these systems to further enhance ownership among employees (2 points)
Check
HRD Systems and Strategies
HOW TO AUDIT Interviews
Documents/Secondary Data
To HR Manager: What are the issues relating to feelings of ownership among employees? Are these issues being audited in the organization at all? What are the symptoms? What processes or practices are being used today to enhance ownership? Benchmarked practices To Line Managers/Functional Heads: Do you think the employees take ownership of their functions? What are some ways in which the HR department can assist in this area? Suggestions for enhancing the same
COMPONENTS
Any research study that has been conducted to understand the feeling of ownership among employees in the organization
Questionnaire Data
There are questionnaires available to measure these variables. Use any of the standard questionnaires to measure commitment, accountability, and ownership. Construct special tools for this purpose. A five to 10 items questionnaire would suffice.
INDICATORS
Check
Commitment HRD systems and processes to enhance commitment of employees (2 points) (6 points) Effective implementation of these systems (2 points) Innovative approaches to enhance commitment including periodic research and monitoring, and scope for improving these systems to further enhance commitment of employees (2 points) HOW TO AUDIT Interviews
Documents/ Secondary Data
To HR Manager: What are the issues relating to commitment of employees? Any research Are these issues being audited in the organization at all? study that What are the symptoms? has been Are the issues articulated properly? conducted to Is the HRD function aligned to address these? understand the Are the appropriate systems being used appropriately to commitment address these issues? levels of To Line Managers/Functional Heads: employees Do you think the employees of the company are in the committed to their jobs? organization Is the HRD department playing any role to improve this feeling of commitment? Suggestions for enhancing the same
Questionnaire Data
There are questionnaires available to measure these variables. Use any of the standard questionnaires to measure commitment, accountability, and ownership. Construct special tools for this purpose. A five to 10 items questionnaire would suffice.
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Quality Orientation (20 Points) COMPONENTS Quality (20 points)
INDICATORS
Check
Quality consciousness in every employee (4 points) Quality certification like ISO 9000 (4 points) HR strategies aiming at total quality and quality-related systems in use (4 points) Tolerance level of poor quality of internal customers (4 points) Feedback from external customers about quality of products/services provided (4 points) HOW TO AUDIT Interviews
To HR Manager: What are the quality concerns? What are the needs of the organization with reference to quality? What HR practices contribute to quality consciousness? Are there quality circles, small group activities, task forces, suggestion scheme committees, etc., in the organization? How active are they? What are some specific achievements by such task forces and groups? Benchmarking with some leaders in quality management What are the ways to improve the existing HR systems to further enhance quality consciousness? To Line Managers/Functional Heads: What would quality mean to your function, department? How do you find yourself promoting quality consciousness to your team members/ subordinates? • What role is the HR department playing towards this issue of quality?
Documents/Secondary Data
Any external or internal certification about maintaining quality standards Any report on a study conducted to understand the quality levels in the organization Any other documents or printed material with regard to ‘quality’
Questionnaire Data
HRD audit questionnaire, relevant portions. A separate tool can be constructed to measure employee perceptions.
Some more questions to ask with regard to Quality Strategy could be: 1. What efforts have been made in the past to improve the quality of products and services? 2. How extensive are the quality-related efforts? 3. Is ISO 9000 or such any other system followed only for certification purposes, or also for genuine improvement of quality?
HRD Systems and Strategies
4. 5. 6. 7. 8. 9.
What is the level of tolerance for poor quality of internal customer services? What are the various quality-related systems in use? How are they being taken? What are the attitudes of line managers to these? Have these systems been focusing on continuous competence building of the employees? Are these enhancing the commitment of employees to quality and other dimensions? What are the strengths, weaknesses, and suggestions for improvement for each of these systems?
Customer Orientation (20 Points) COMPONENTS
INDICATORS
Check
Customer orientation Regular external customer satisfaction surveys (6 points) (20 points) Regular internal customer satisfaction surveys (4 points) HR strategies to link employee satisfaction with customer satisfaction (6 points) Adequacies or inadequacies of these HR strategies (4 points) HOW TO AUDIT Interviews
Documents/Secondary Data
To HR Manager: How often are customer satisfaction surveys done? Does the organization pay attention to internal customer satisfaction? What are some initiatives on this front? Results/outcomes of the last satisfaction survey. Reaction of organization to it. What are the HR systems or mechanisms that ensure strong customer orientation of every employee? Are employee satisfaction-related HR strategies linked with customer satisfaction? What are the adequacies or inadequacies of these HR strategies? Benchmarking To Line Managers/Functional Heads: In the past, how has this organization tried to implement customer orientation? What does customer orientation, both internal and external, mean to your function and how does it affect it? What role is the HR department playing towards this issue of customer orientation? In what areas can HRD help your function and team members to enhance their customer orientation?
Any report on a study conducted to understand the customer orientation level in the organization Any other documents or printed material with regards to the same Mission or value statements incorporating internal and external customer satisfaction in it Mention of customers in the performance appraisal form Employee manual In-house training programmes conducted on the topic ‘Customer Orientation Drive’
Questionnaire Data A HRD audit questionnaire relevant items. A separate short tool can be constructed for ensuring the same.
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Efficiency (20 Points) COMPONENTS Efficiency (20 points)
INDICATORS
Check
Laid down (documented) operational and process efficiency processes policies and norms, for example, cost reduction, savings, synergy, coordination, etc. (4 points) Effective implementation of the same (4 points) HR strategies linking each and every employee with efficiency and value addition activities (4 points) Total employee involvement in operational or process efficiency management (4 points) Renewal and review mechanisms and innovative practices (4 points) HOW TO AUDIT Interviews
To HR Manager: What are the HR systems or mechanisms that ensure every employee’s involvement in improving efficiencies at various levels and various components of the system? Are employee appraisals, rewards, etc., related to efficiency improvements and value addition variables? What are the adequacies or inadequacies of these HR strategies? How can HR’s active role in efficiency improvements be further enhanced? To Line Managers/Functional Heads: How has your function/department tried to implement efficiency improvements and cost consciousness? What are the ways in which the HR department has tried to imbibe values of efficiency and cost consciousness in your team/function? What else can they do to help bring in more efficiency drive in your function or department?
Documents/Secondary Data
Questionnaire Data
Any report on a
Questionnaire survey of samples across various departments
study conducted to understand the efficiency measures and practices in the organization Any other documents or printed material with regards to the same Any survey done on the cost-conscious value among the employees across levels Posters, stickers, notices, etc., on cost saving or efficiency improvements Using recycled matter, reducing paper consumption
HRD Systems and Strategies
Entrepreneurial Spirit (20 Points) COMPONENTS Developing an
INDICATORS Full autonomy of tasks to employees and encouragement of risks and initiative. Decentralization as culture. (4
entrepreneurial
points)
spirit among all employees (20
Check
Thinking of ROI and cost-effectiveness by all employees— ROI mindset in all activities (4 points)
points)
Service-orientation on the part of all employees (4 points) HR systems like appraisal systems, continuous training, use of small groups, and other OD interventions encourage spotting of opportunties, making business plans, and entrepreneurial thinking (4 points) Promotion of training in achievement motivation, entrepreneurship training ( 4 points) HOW TO AUDIT Interviews
Documents/Secondary Data
Questionnaire Data
To HR Manager: What are the HR systems or mechanisms
Any material related to
HRD audit
that facilitate inculcating entrepreneurship
‘entrepreneurship’, or
questionnaire.
among employees?
entrepreneurial spirit
A separate short tool can
among the employees of
be constructed and used.
Are employee appraisals, training, OD interventions, etc., related to entrepreneurship, and how? What are the adequacies or inadequacies of these HR strategies? How can these systems/strategies be improved? To Line Managers/Functional Heads: How has HR contributed to improve or develop entrepreneurship? (If yes, in what way?) Are there task forces or think-tanks catering to this area in the organization? How can HR better aid in bringing about such entrepreneurship feeling?
the organization Task forces for business development or new product/business development
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Culture Building (20 Points) COMPONENTS
INDICATORS
Check
OCTAPACE culture HR policies to address OCTAPACE goals (5 points) (20 points) Effective implementation of these policies (5 points) HR strategies and systems to encourage culture building (5 points) Adequacies or inadequacies of culture (5 points) HOW TO AUDIT Interviews
Documents/Secondary Data
To HR Manager: Do the HR policies address the OCTAPACE goals? Any report on a Describe the culture of the organization and HR study conducted to department. understand the culture Does the organization have a articulated culture? in the organization Is attention paid towards culture building by the top Any other documents management? or printed material What are the HR strategies and systems to with regards to the encourage culture building? same To Line Managers/Functional Heads: How is the culture of the organization? What are some of your activities which are aimed at culture building for your department/function? Is the HR deptartment putting in enough efforts to evolve and maintain a ‘good’ culture? How can the HR department help you in your culture-building efforts? What type of support would be of use to you?
Questionnaire Data
OCTAPACE and climate survey data can be used.
Talent Management (20 Points) COMPONENTS
INDICATORS
Talent management and strategies (20 points)
There is a definite strategy to attract talent (4 points) There are well-planned strategies to retain talent (compensation, culture assessment, style control through 360 for top management, surveys on attrition, analysis of data and research, etc.) (4 points) There are definite strategies to utilize talent (4 points) There are well thought-out strategies to develop talent (4 points) Succession planning and other talent management strategies are present (4 points)
Check
HRD Systems and Strategies
HOW TO AUDIT Interviews
Documents/Secondary Data
To HR Manager: What are the strategies for attracting talent? Any report on a What activities do you undertake to retain talent study conducted to and control attrition? understand recruitment What are the attrition levels? How are you trends, applicant managing attrition? How do you bench trends, attrition mark your attrition and retention levels with patterns, etc. competitors? Any other documents, How are you building talent? or printed material What are your strategies to use talent? with regard to What is the level of awareness and participation talent management of top management in the policy and strategies polices, research, and to attract, retain, and develop talent? experiences To Line Managers/Functional Heads: How is talent management in this organization? What are you happy about and what more needs to be improved? What are some of your activities which are aimed at talent management here? What results are they giving, what desires to be improved? What do you consider as innovative practices? Do a SWOT of your talent management strategies and activities.
Questionnaire Data Organizational questionnaire. A separate tool can be constructed and administered on talent management.
Calculating the Final Score for Systems Maturity Pick up any of the relevant systems, and assess. The total points are expected to be out of 840 points (12×70). In case the audit is done for less than 12 systems, calculate the total points and interpolate the score for a maximum of 840 points. This can be done by dividing the total score of all systems by the number of systems audited and multiplying the product by 12. For example, if only seven systems are audited, and the total score obtained is 350 out of 490 (7×7=490), then the interpolated score will be (350/7) × 12 = 600, or if the score is 440 for 11 systems audited, then the final score will be (440/11) × 12 = 480. Alternatively, calculate per system average maturity score and multiply by 12. Calculate the strategies score by adding the score for all the strategies stated earlier. The maximum score for the strategies is 160 points. Now add the system score and strategies score, which will give the HRD systems maturity score out of 1000 points.
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HRD Systems Maturity Score = 1000 901–1000 = 801–900 = 701–800 = 601–700 = 501– 600 = 401–500 = 301–400 = 201–300 = 101–200 = >101 = U=
A* (Highest score and highest maturity level) A (Very high maturity level) B* (High maturity level) B (Moderately high maturity level) C* (Moderate maturity level) C (Moderately low maturity level) D* (Low maturity level) D (Very low maturity level) F (Not at all resent) F* Ungraded
Master Table for Calculating Letter Grades or Maturity Levels from HRD Score Card Letter Grade
A* A B* B C* C D* D F F*
Maximum Points 1000
500
840
160
70
901–1000 801–900 701–800 601–700 501–600 401–500 301–400 201–300 101–200 0–100
451–500 401–450 351–400 301–350 251–300 201–250 151–200 101–150 51–100 0–50
757–840 673–756 589–672 505–588 421–504 337–420 253–336 169–252 85–168 1–84
145–160 129–144 113–128 97–112 81–96 65–80 49–64 33–48 17–32 1–16
64–70 57–-63 50–56 43–49 36–-42 29–35 22–28 15–21 8–14 1–-7
U
Ungraded
Letter Grade
A* A B* B C* C D* D F F* U
Maximum Points 10
20
10 9 8 7 6 5 4 3 2 1
19––20 17–18 15–16 13–14 11–12 9–10 7–8 5–6 3–4 1–2
40 37––40 33–36 29–32 25–31 21–24 17–20 13–16 9–12 5–8 1–4
60
100
200
340
55–60 49–54 43–48 37–42 31–36 25–30 19–24 13–18 7–12 1–6
91–100 81–90 71–80 61–70 51–60 41–50 31–40 21–30 11–20 1–10
181–200 161–180 141–160 121–140 101–120 81–100 61–80 41–60 21–40 1–20
307–340 273–306 239–272 205–238 171–204 137–170 103–136 69–102 35–68 1–34
Ungraded
HRD Systems and Strategies
References and Suggested Resources Pareek, Udai and T.V. Rao. 1975. ‘HRD System in Larsen and Toubro’, unpublished Consultancy Report, Indian Institute of Management, Ahmedabad. ———. 1977. HR Function in Larsen and Toubro. Ahmedabad: Indian Institute of Management. ———. 1982. Designing and Managing Human Resource Systems. New Delhi: Oxford and IBH. ———. 1998. Pioneering Human Resources Development: The L&T System. Ahmedabad: Academy of Human Resources Development. Rao, T.V. 1999. HRD Audit. New Delhi: Response Books (A Division of Sage Publications). Rao, T.V., Raju Rao and Taru Yadav. 2001. The Effectiveness of HRD Function in India: A HRD Audit Study. Ahmedabad: Vikalpa. Soldati, Patricia. 2007. ‘Employee Engagement: What exactly is it?’, Management Issues, 8 March. Available online at http://www.management–issues.com/2007/3/8/opinion/employee–engagement–what–exactly– is–it.asp, accessed on May 30, —2007. Ulrich, Dave. 1997. The Human Resource Champions: The New Agenda for Adding Value and Delivering Results. Boston, MA: Harvard Business School.
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Unit 3
In-depth Audit of HRD Systems The HRD audit outlined in the last chapter was based on the framework that each system should 1. 2. 3. 4.
have clearly defined objectives; be well structured and comprehensive; be understood by all, and implemented well; result in tangible output that gets linked to organizational outcomes (direct or indirect).
Towards this end, the scoring scheme used a 70 point system wherein each of these components got a weightage ranging from 10 to 20 points. No flexibility was allowed in the scoring scheme. However, a deeper analysis of the systems may indicate that some of the systems may need more weightage with regard to structure and comprehensiveness, while the others may need more emphasis on implementation. This again may vary from system to system. Some systems are more sophisticated than others. To facilitate a more in-depth audit of various systems, detailed interviews and also the use of multiple methods are required. The stress of the audit in Chapter 2 was not so much on using multiple methods. In this section, guidelines are provided for detailed audit of each of the systems. Conducting systems audit using this part of the manual is no doubt a tedious and timeconsuming process. However, some organizations might like to do this for better, more scientific, and detailed insights into the design and implementation of each system. The in-depth audit is a detailed audit that gets into various components. The detailed audit requires more patience and expertise as it visits all aspects of a system. The in-depth audit is recommended for organizations that are older, have a large number of employees, and make very big investments in their people. In such departments, the insights provided by the in-depth audit are likely to provide a lot of return on investment (ROI). The detailed audit gives in, minute detail, what is working and what is not working in relation to each system. While in the detailed audit, the point system followed is made very similar to the mini audit, there are variations in weightage. The weightages given for detailed audit are much more rational than the mini audit. One does expect that both the audits will give similar results, but the in-depth audit gives more insights on the specific things to be improved in relation to each HRD system. The in-depth
In-depth Audit of HRD Systems
audit is given to some of the critical HRD systems, and does not cover all the HRD subsystems. Two of the subsystems—‘rewards and recognition’ and ’coaching and mentoring’—are not given in the in-depth audit, as the mini-audit methodology (see Unit 2) is considered sufficient at this point of time for an in-depth analysis. 360 degree feedback is an additional component covered here. The presentation of the audit manual for induction and integration as well as 360 degree feedback has been kept slightly different from the rest as their methodology was considered more suitable for this format. Detailed methods are not presented for each dimension in these two sections. The total point system remains the same. The audit should aim at raising the points for a total of 840. If 12 systems are audited, the total will be 840 points. If only 10 systems are audited, the total will be for 700 points, and it needs to be interpolated to 840 points. This is done by using the following formula: HRD Systems final points = (Points obtained/number of systems audited) × 12 Thus, assuming that five systems are audited as only those five are relevant to the company at that time, then, the total score on five systems is 250. The final systems score out of 840 will be 600 (250/5 × 12). This may then be added to the HRD strategy score arrived using the methodology given in Chapter 2, the maximum score for which is 160. The conversion table at the end of this chapter will give details of how to convert scores into letter grades.
Competency Mapping 1. The system, process, and practice (10 points): • There is a system of competency mapping. • The system aims at mapping the competencies of all roles. • The competency mapping is a standardized process in this organization. There is a competency directory. • The competency mapping is documented. • The competency profiles are available to respective managers. • The competency mapping is given its due importance. 2. In-house competencies are available and people are trained in competency mapping (10 points): • Everyone is aware of the process. • Line managers contribute to the process. • Internally, HR staff is trained to do competency mapping. • The competency details are accessible to all employees. • Every manager knows the tasks, competencies, and indicators for his own and his juniors’ jobs. 3. The competency mapping process is comprehensive (20 points): • There is a leadership model or competency model for the company.
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• The competencies are comprehensive for each role, and cover knowledge, attitudes, skills, self concept, values, traits, motives, etc. • They cover technical, managerial, behavioral, and conceptual aspects of the job. • The levels of competencies are described. • The behavior indicators are available for each competency. The organization has its own competency dictionary and/or directory. • Competency profiles for jobs are reviewed periodically. 4. The competency mapping is used well for HR interventions (20 points): • The competency mapping is used for recruitment, induction, training, promotions, assessment centers, 360 degree feedback, performance management, rewards and recognition, compensation management, OD, and other HR interventions. • Training is based on competency mapping. 5. The competencies mapped are reviewed and updated periodically (10 points): • The competency profiles are changed as and when new jobs are created. • They are reviewed at least once in three years. • HODs and role holders participate in such reviews. • There is a dynamic review and updating system. • The competency profiles along with tasks and activities are displayed on the web or are internally available to all interested members. Competency Mapping
Points
The system, process, and practice In-house competencies are available and people are trained in competency mapping Competency mapping process is comprehensive Competency mapping is used well for HR interventions Competencies mapped are reviewed and updated periodically Total
The System, Process, and Practice (10 Points) COMPONENTS 1. There is a system or standardized practice of competency mapping. (2 points) 2. The system is documented and clearly stated. (2 points) 3. The system aims at mapping the competencies of all roles. (2 points) 4. The competencies are mapped in a standardized process in this organization. (1 point) 5. There is a competency directory. (1 point) 6. The competency profiles are available to respective managers. (1 point) 7. The competency mapping is given its due importance. (1 point) Assign points to each of the standards met as indicated in the brackets. Use the following methods for arriving at the points.
10 10 20 20 10 70
In-depth Audit of HRD Systems
Interviews
Interview line managers and HODs to ascertain if they are aware, and if their jobs are profiled for competencies.
Interview the HR staff to find out about the objectives of the competency mapping, their awareness, and usage.
Observation
Records
Observe the competency mapping process in operation.
Get copies of competency profiles and examine the documents.
Assess the familiarity of the line managers and HR staff to the process, and their expertise on competency mapping issues.
Examine the circulars and other documents stating the objectives.
Examine the competency directory, competency dictionary.
Examine the PMS for inclusion of the competencies.
In-house Competencies are Available and People are Trained in Competency Mapping (10 Points) COMPONENTS 1. 2. 3. 4. 5.
Everyone is aware of the process (2 points) Line managers contribute to the process (2 points) Internally, HR staff are trained to do competency mapping (2 points) The competency details are accessible to all employees (2 points) Every manager knows the tasks, competencies, and indicators for his own and his juniors’ jobs (2 points) Interviews
Interview line managers to ascertain their awareness, and seek copies of their own competency profiles for their jobs at random. Interview HR staff to ascertain their knowledge and competencies.
Observation
Observe the familiarity levels of line managers and the knowledge base of HR managers on competency mapping.
Records
Look for details of the training conducted. Examine the course-content coverage, and outcomes. Seek documents of the competencies mapped for line managers and examine them.
The Competency Mapping Process is Comprehensive (20 Points) COMPONENTS 1. There is a leadership model or competency model for the company. (2 points) 2. The competencies are comprehensive for each role, and cover knowledge, attitudes, skills, self concept, values, traits, motives, etc. (3 points) 3. They cover technical, managerial, behavioral, and conceptual aspects of the job. (3 points) 4. The levels of competencies are described. (3 points) 5. The behavior indicators are available for each competency. (3 points) 6. The organization has its own competency dictionary and/or directory. (3 points) 7. Competency profiles for jobs are reviewed periodically. (3 points) (Contd)
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(Contd) Interviews Questions for interviews with line managers and HR Managers: Do you have a competency model for your own company? Please explain the competency model? How was it evolved? Do you know the competencies required for your own job or that of your juniors? Can you list the competencies for your juniors? How are you using them? Probe how they are being used for PMS, recruitment, promotions, OD activities, training, etc.
Observation
Records
Examine the competency lists of some of the role holders and the directory of competencies to ascertain if they cover all aspects of knowledge, attitudes, skills, values, etc., and also functional, managerial, conceptual, and human relations. Ascertain from the documents if they describe the levels of each competencies, and behavior indicators. Ascertain the extent to which the line managers are familiar with the competency lists, and details.
Examine writtendocuments like the competency dictionary, competency directory, performance appraisal forms, and if they contain the competencies arrived through competency mapping, etc. Examine any circulars, etc., outlining the review and renewal of the competency directories. All circulars and other internal communications in this regard may be examined.
The Competency Mapping is Used Well for HR Interventions (20 Points) COMPONENTS 1. The competency mapping is used for recruitment, induction, promotions, assessment centers, 360 degree feedback, performance management, rewards and recognition, compensation management, and, finally, OD and other HR interventions. (Assign two points for each of the systems where it is used.) 2. Training is based on competency mapping. (4 points) Interviews For line managers and HR managers: How do you use the competency mapping lists you have? Explain their use for training, recruitment, induction, and all other HR practices.
Observation
Examine the interview records or formats, selection processes, etc., and their use. Observe any interviews taking place on the basis of competencies: competencybased recruitment, etc.
Records
Training needs, assessment forms, performance appraisal forms, induction program inputs, promotion circulars, assessment center exercises and reports, etc., could be examined to ascertain the extent to which they are competency-based.
The Competencies Mapped are Reviewed and Updated Periodically (10 Points) COMPONENTS 1. 2. 3. 4. 5.
The competency profiles are changed as and when new jobs are created. (1 point) They are reviewed at least once in three years. (2 points) HODs and role holders participate in such reviews. (2 points) There is a dynamic review and updating system. (3 points) The competency profiles along with tasks and activities are displayed on the web, or are internally available to all interested members. (2 points)
In-depth Audit of HRD Systems
Interviews Interview HR managers and line
Observation
Observe from the competency
Records
Get circulars, task force
managers:
directories and dictionaries
announcements, and other
How do you keep updating
the dates on which they were
interventions made by the HR
and reviewing the competency
made.
profiles?
department.
Observe the satisfaction levels
How do you incorporate
of the line managers with any
changes occurring due to
updation.
Examine the updated
Get any other information
competencies.
changes in technology,
supplied by the line managers
processes, new competition,
or HR staff.
and such other developments requiring change of roles and competencies?
Do you keep revising your appraisals and other systems? What role does competency mapping play? How frequently do you change?
Manpower Planning Audit Manpower Planning Audit Dimension
Points
Situation Analysis
10
Manpower Demand Analysis
20
Manpower Supply
10
Manpower Plan
15
Related Strategies
15
Total
Total: 70 points
Situation Analysis (10 Points) INDICATORS Assessment of external environment (4 points) 1. Adequate consideration given to market trends, technological developments, business challenges, and government policies (2 points) 2. Assessment of future of jobs in terms of redundancy as well as new challenges (1 point) 3. Documentation of the analysis for ready reference for manpower decisions (1 point) (Contd)
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(Contd) HOW TO AUDIT Interviews To HR Manager: 1. How is the external environment assessed? 2. Is adequate consideration given to market trends, technological developments, business challenges, and government policies? 3. Are any scientific procedures in use? 4. Is the analysis documented? To Line Managers/Functional Heads: 1. Are you aware of the external environment with regard to market trends, technological developments, business challenges, and government policies? 2. How well do you think is the HR department aware of the same? 3. Do you think the HR department is using this information to understand and analyze the situation better (for manpower planning)? Documents/Secondary Data Any reports on analysis done to understand the external environment Questionnaire Data HRD audit questionnaire
COMPONENTS Analysis on consequences of changes in working practices (2 points) With consideration to be given to: 1. Implementation of new technology and its impact on manpower involvement and output (1 point) 2. Structural changes planned or degree of decentralization (1 point) HOW TO AUDIT Interviews To HR Manager: 1. What new technology has been implemented recently? 2. How has it affected manpower involvement and output? 3. Comment on the consequences of changes in working practices? To Line Managers/Functional Heads: 1. 2. 3. 4.
What new technology has been implemented recently? How has it affected your working practices? Is the HR playing any role in this regard? How can it improve its participation in the same? Documents/Secondary Data
Any report on the analysis on consequences of changes in working practices Questionnaire Data HRD audit questionnaire
In-depth Audit of HRD Systems
COMPONENTS AND INDICTORS Manpower turnover analysis and its impact on organizational performance (4 points) 1. Thorough calculations of manpower turnover ratio across different levels as well as functions (1 point) 2. Comparison of trends over last two–three years, and projection for future trends (1 point) 3. Study of key reasons for high/low turnover (1 point) 4. Study of any adverse effect on turnover because of manpower availability issues and solutions to the same in the past (1 point) Interviews To HR Manager: 1. How is the manpower turnover ratio calculated? 2. Is the turnover ratio studied for trends, etc.? 3. How does the manpower turnover affect the organizational performance? To Line Managers/Functional Heads: 1. 2. 3. 4.
Are there any HR mechanisms to understand the manpower turnover phenomenon? What are the adequacies and inadequacies of these mechanisms? Is the HR doing any study to probe deeper into this issue? Any suggestions for HR to follow? Documents/Secondary Data
1. Report on study of key reasons for high/low turnover 2. Report on study of any adverse effect on turnover because of manpower availability issues, and solutions to the same in the past Questionnaire HRD audit questionnaire
Manpower Demand Analysis (20 Points) COMPONENTS Assessment of manpower requirements are from business plans (12 points) 1. Consideration to various aspects of the business plan—capital equipment plan, reorganizations, change in output, marketing plans, financial limitations, etc. (6 points) 2. Analysis of functions and departments where appropriate manpower availability is most critical (3 points) 3. Analysis of changes required in current manpower utilization with respect to growth plans (3 points) HOW TO AUDIT Interviews To HR Manager: 1. How are manpower requirements assessed keeping in mind the business plans of the organization? 2. Are functions and departments, where appropriate manpower availability is critical, analyzed? How? 3. How are the changes required in current manpower utilization (with respect to growth plans) analyzed? To Line Managers/Functional Heads: 1. Are there any HR mechanisms to understand manpower demand analysis? 2. What are the adequacies and inadequacies of these mechanisms? 3. Is the HR doing any study to probe deeper into these issues? 4. Are there any suggestions for HR to follow? Documents/Secondary Data Any report on assessment of manpower requirements from business plans Questionnaire HRD audit questionnaire
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COMPONENTS Analysis of skills and competencies that will be more relevant in the future (8 points) Clear documentation available: 1. Highlighting increasing importance of existing skill sets for future demands (4 points) 2. Highlighting new skills to be developed with respect to key relevant jobs and performance parameters in the future (4 points) HOW TO AUDIT Interviews To HR Manager: 1. How are skills and competencies (relevant for the future) analyzed? 2. What follow-up is done after analyzing these skills? 3. Is there a clear documentation available on the same? To Line Managers/Functional Heads: 1. Are there any HR mechanisms to know which skills and competencies will be required more in the future? 2. What are the adequacies and inadequacies of these mechanisms? 3. Is the HR doing any study to probe deeper into this issue? 4. Any suggestions for HR to follow? Documents/Secondary Data Any report on study conducted to analyze the skills and competencies that will be more relevant in the future Questionnaire Data HRD audit questionnaire
Manpower Supply (10 Points) COMPONENTS Analysis of current manpower profile and utilization to meet future manpower requirements (4 points) 1. 2. 3. 4.
Data available on number of employees on various categories, their qualification, experience, etc. (1 point) Performance and potential appraisal data (1 point) Extent to which training, retraining, and redeployment is possible (1 point) Retirement plans (1 point) HOW TO AUDIT Interviews
To HR Manager: 1. 2. 3. 4.
How is the current manpower profile analyzed and maintained? How is data on potential and performance appraisal maintained? How the extent to which training, retraining, and redeployment is possible and determined? How do you manage retirement plans?
In-depth Audit of HRD Systems
To Line Managers/Functional Heads: 1. Are there any HR mechanisms to study current manpower profile and utilization to meet future manpower requirements? 2. What are the adequacies and inadequacies of these mechanisms? 3. Is the HR putting in efforts to probe deeper into these issues? 4. Any suggestions for HR to follow? Documents/Secondary Data 1. Report on data available on number of employees on various categories, their qualification, experience, etc. 2. Report on performance and potential appraisal data 3. Report on dealing with retirement plans Questionnaire Data HRD audit questionnaire
COMPONENTS Assessment of organization’s capability to retain current manpower (2 points) Analysis of: 1. Reputation in the market as an organization as well as various brand images (1 point) 2. Pay scales against industry standards (1 point) Assessment of other softer aspects like performance management, reward management system, employee relations, etc. HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4.
How do you find out about your company’s reputation in the market? How often do you find that out? How do you analyze your pay scales vis-a-vis industry standards? How do you analyze performance management, reward management system, employee relations, etc.? How is an assessment of the organization’s capability to retain current manpower done?
To Line Managers/Functional Heads: 1. 2. 3. 4.
Are there any HR mechanisms to assess the organization’s capability to retain current manpower? What are the adequacies and inadequacies of these mechanisms? Is the HR putting in efforts to probe deeper into this issue? Any suggestions for HR to follow?
Documents/Secondary Data 1. Any report on survey conducted to understand public image of the company 2. Any compensation surveys 3. Any benchmarking (as against HR standards in other companies from the same industry) Questionnaire Data HRD audit questionnaire
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HOW TO AUDIT Interviews To HR Manager: 1. How do you analyze external potential sources of supply? 2. Do you pay attention to similar and related industries? 3. Do you also look at institutions? To Line Managers/Functional Heads: 1. 2. 3. 4.
Are there any HR mechanisms to assess the organization’s capability to retain current manpower? What are the adequacies and inadequacies of these mechanisms? Is the HR putting in efforts to probe deeper into these issues? Any suggestions for HR to follow? Documents/Secondary Data
Any report on analysis of external potential sources of supply Questionnaire Data HRD audit questionnaire
COMPONENTS Ability to attract people from an external environment (2 point) 1. Comparison of aspects like pay scales, culture, reputation, etc., in comparison with other organizations—in similar or related industries 2. Growth plans—organizational as well as individual 3. Motivational and retention strategies being used vis-à-vis key competitors 4. Benchmarking various practices against the best, in similar and related industries, and analyzing its impact in terms of attracting and retaining manpower HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4. 5.
How do you analyze the organization’s ability to attract people from an external environment? Are individual growth plans also taken care of, apart from organizational growth plans? What are the motivation and retention strategies used? Are you aware of the motivation and retention strategies used by your key competitors? Do you benchmark various practices against the best, in similar and related industries, and analyze their impact in terms of attracting and retaining manpower?
To Line Managers/Functional Heads: 1. How well do you think the HRD department is doing to attract people from an external environment into this organization? 2. How did you come to know about this organization? 3. Is the HR team doing a good job at motivating and retaining talent in the company? 4. Does the HR group conduct any research surveys/studies to study this issue scientifically? Documents/Secondary Data Any report on any study conducted to understand the organization’s ability to attract people from external environment Questionnaire Data HRD audit questionnaire
In-depth Audit of HRD Systems
Manpower Plan (15 Points) COMPONENTS Ensuring that adequate supply of manpower is available when required (7 points) INDICATORS 1. 2. 3. 4.
Thorough manpower supply and demand analysis (1 point) Detailed plan to meet manpower requirements (2 points) Detailed plan for recruitment, motivation, and retention strategies (2 points) Alternative sources of action to handle any issues arising out of shortfalls between demand and supply (2 points) HOW TO AUDIT Interviews
To HR Manager: 1. How do you carry out demand and supply analysis? 2. Do you document the detailed plan for manpower requirements, recruitment, motivation, and retention strategies? To Line Managers/Functional Heads: 1. Are there any HR mechanisms to ensure that adequate supply of manpower is available when required? 2. What are the adequacies and inadequacies of these mechanisms? 3. Is the HRD putting in enough efforts to probe deeper into this issue? 4. Any suggestions for HR to follow? Documents/Secondary Data 1. Any report on demand and supply analysis 2. Documented plans on recruitment, motivation and retention strategies Questionnaire Data HRD audit questionnaire
COMPONENTS Ensuring optimal utilization of manpower (3 points) 1. Systematic performance management and development (2 points) 2. Clear job description in each department/function to understand exact manpower requirement and avoid duplication of efforts (1 point) HOW TO AUDIT Interviews To HR Manager: 1. How do you ensure optimal utilization of manpower? 2. Are HRD systems and subsystems (like performance management and development) in place? 3. Are they being effectively implemented? (Contd)
91
92
HRD Score Card 2500
(Contd) To Line Managers/Functional Heads: 1. 2. 3. 4. 5.
Do you think the manpower in this organization is utilized optimally? What makes you say this? Can HR play a more active role in this regard? How? Are HRD systems and subsystems well-placed and used? What is the scope for improvement? Documents/Secondary Data
1. Performance management and development system 2. Job descriptions or competency profiles 3. Any report on study conducted to understand the utilization of manpower in the organization Questionnaire Data HRD audit questionnaire
COMPONENTS Involvement of other departments (5 points) 1. Participative—prepared by committee consisting of top management (3 points) 2. Adequate information collected in terms of manpower required with respect to the business strategy and growth trends given by all functional heads (1 point) 3. Detailed instructions to all departments after the plan has been formalized in terms of manpower utilization and deployment (1 point) HOW TO AUDIT Interviews To HR Manager: 1. How do you ensure involvement of the other departments? 2. How willing are they to participate? To Line Managers/Functional Heads: How does HRD involve you in this process? Documents/Secondary Data Reports/Committee Reports Questionnaire Data HRD audit questionnaire
Action Strategies (15 Points) HOW TO AUDIT Interviews To HR Manager: 1. What is the process of manpower planning? 2. How do the managers participate in it?
In-depth Audit of HRD Systems
3. What has it resulted in? 4. Are there differences in the workload of different departments? How is manpower being rationalized? 5. Is the competency listing appropriate and given adequate attention? 6. What are the strengths, weaknesses, and suggestions for improvement? To Line Managers/Functional Heads: 1. What is the process of manpower planning? 2. Is the manpower planning being done scientifically? 3. Are there adequate mechanisms to ensure the availability of the right competencies? 4. What are the strengths, weaknesses, and suggestions for improvement? Documents/Secondary Data 1. What is the period for which the plan has been drafted? 2. How comprehensive is it? 3. Has it been approved by top management? Questionnaire Data HRD audit questionnaire
COMPONENTS Recruitment of manpower (3 points) Detailed strategy with identified sources for manpower and selection methods (3 points) HOW TO AUDIT Interviews To HR Manager: 1. What is the recruitment strategy like? 2. Do you have a detailed strategy in a documented form? 3. What are the adequacies and inadequacies of the recruitment subsystem? To Line Managers/Functional Heads: 1. How do you think is the recruitment function in your organization? 2. Do you think HR is doing a good job at it? 3. How can it improve? Documents/ Secondary Data 1. Recruitment strategy 2. Any other papers related to recruitment, for example, recruitment policy, etc. Questionnaire Data HRD audit questionnaire
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COMPONENTS Retain current skilled employees (3 points) The plan should provide direction for HR and OD interventions for higher level of motivation and commitment, keeping in mind the HR challenges in the light of business plans (3 points) HOW TO AUDIT Interviews To HR Manager: 1. What systems do you have in place to retain the current skilled employees? 2. What strategies and mechanisms do you use? 3. What are the HR challenges you face, and how do you succeed in maintaining high motivation and commitment levels of your employees? 4. What OD interventions do you use for the same? To Line Managers/Functional Heads: 1. How skilled are the employees in your organization? 2. Do you think they are retained well? 3. To what extent do you think the employees are motivated and committed? 4. What role does the HRD play in maintaining high motivation and commitment levels? 5. How can they improve? Documents/Secondary Data 1. Any report of study conducted to understand retention of skilled employees in the company 2. Any report of successful implementation of OD interventions for maintaining high motivation and commitment levels of employees Questionnaire Data HRD audit questionnaire
COMPONENTS Effective performance management, and training and development of current employees to meet manpower demands (3 points) 1. Systematic process and systems in place and followed through (2 points) 2. Involvement of line managers in ensuring success of various HR systems(1 point) HOW TO AUDIT Interviews To HR Manager: 1. What HRD systems are in place to meet manpower demands? 2. What are the strengths and weaknesses of these systems? 3. How effectively are these systems implemented? 4. How is the line managers’ participation in the implementation of these HRD systems?
In-depth Audit of HRD Systems
To Line Managers/Functional Heads: 1. Are you aware of the HRD systems like PMS and T and D? 2. What is your opinion about such systems? 3. Does it benefit the current employees? In what way? 4. To what extent does the HRD seek involvement of line managers in the process of implementing HRD systems? 5. What, according to you, should be the level of participation by line management for the same? Documents/Secondary Data 1. Any documents relating to the performance management system 2. Any documents relating to training and development efforts Questionnaire Data HRD audit questionnaire
COMPONENTS In case of declining markets, strategy for reduction of manpower to avoid compulsory redundancy (3 points) 1. Pre-retirement plans (1 point) 2. Early retirement strategies if required (1 point) 3. Counseling to manpower likely to retire in terms of helping them cope with the apprehension and future path (1 point) HOW TO AUDIT Interviews To HR Manager: 1. What mechanism do you follow to keep yourself updated about (reclining) markets? 2. In case of reclining markets, do you have a strategy for manpower reduction? 3. Do you formulate pre-retirement plans? 4. Do you provide support and guidance to staff about how to retire by processes like counseling, etc.? To Line Managers/Functional Heads: 1. How does your HRD react to reclining markets? 2. Has the company announced any pre-retirement plans or early retirement policies? 3. Does the HRD guide staff who is about to retire? How? Documents/Secondary data 1. Documented strategy for manpower reduction 2. Documentation on pre-retirement plans 3. Any reports or published material about counseling in the organization Questionnaire Data HRD audit questionnaire
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Analysis of Secondary Data 1. Manpower planning document and guidelines (i) Are they clear and concise? (ii) Are they accessible? (iii) Are functional heads aware of the same? (iv) Is the manual being updated and changed as per changes in business plans and strategies? 2. Manpower plan (i) What is the period for which the plan has been drafted? (ii) How comprehensive is it? (iii) Has it been approved by top management? 3. Studies or analysis done by HR department or top management committee (i) Is analysis available on aspects relevant to manpower planning such as manpower turnover, future jobs, challenges, and skills, and competencies required for the future, etc.? (ii) When was the analysis done? (iii) Who was involved?
Checklists 1. Individual interviews with top-level and senior managers (i) How is manpower planning done for your function/department? What is your role? What is the role of the HR department? (ii) What are the various sources of data taken into consideration? For example, for the current year, what is the most significant data that has determined the manpower plan? (iii) Currently, do you feel your function has to face either lack or surplus of manpower? If yes, why so, and how can you solve this issue? (iv) In the past, how have the plans helped in terms of meeting manpower availability issues? (v) Have you ever faced problems due to lack of manpower availability in the past? What do you attribute that to? (vi) Have you in the past had or currently experiencing any problems due to surplus manpower? If yes, what do you attribute that to? What is being done to rectify the situation? (vii) What are the strengths and weaknesses of manpower planning as it is done in the organization now? What are your suggestions for further improvement? 2. Interviews with head/senior managers (i) How is manpower planning done in the organization? What is your role? What is the role of other functional managers? (ii) Do you have a well-documented plan in place? What are the highlights of the plan? What is the time frame of the plan? Who has access to the same? (iii) Do you have detailed data available on job descriptions or competency profiles, and existing manpower skills and competencies?
In-depth Audit of HRD Systems
(iv) How is the data from various HR systems integrated with the manpower plans (performance management, training and development, succession planning, etc.)? (v) To what extent does your recruitment strategy and selection process depend on the manpower plan formulated? (vi) What are the various sources identified to meet manpower demand—external as well as internal? (vii) Do you have a strategy to meet manpower demands? (viii) What is the strategy of external recruitment as well as internal recruitment? (ix) Has the organization faced in the past or does it currently face any manpower availability issues? If yes, why? (x) Is there any issue of manpower surplus in any function or overall organization? Do you have a plan to take care of the same? (xi) What are the early retirement plans carried out in the past? What is the kind of preretirement counseling done? (xii) What are the strengths and weaknesses of manpower planning as it is done in the organization now? What are your suggestions for further improvement? 3. Group interviews with middle and lower management (i) Does the organization have a good system for manpower planning? (ii) Is your department adequately staffed? If no, what are the problems? (iii) Are there any other departments in the organization which in your opinion are not adequately staffed or experience surplus manpower problems? (iv) Is there proper manpower utilization in the department? (v) Do you experience high work pressure due to less people sharing the responsibility? (vi) Do you feel your capability is adequately tapped? Do you feel you are too stretched? (vii) What are the strengths and weaknesses of manpower planning as it is done in the organization now? What are your suggestions for further improvement? 4. Documents (i) Manpower planning document and guidelines (ii) Manpower plan (iii) Studies or analysis done by HR department or top management committee in terms of manpower turnover, future jobs, and challenges, skills,and competencies required for the future
Recruitment Recruitment and Selection Dimension
Points
Understanding the jobs to be filled
10
Tapping the sources of recruitment
15
Using various strategies for selection
20
Setting selection process
15
Final selection process
10
Total
70
97
98
HRD Score Card 2500
Understanding of the Job to be Filled (15 Points) COMPONENTS Job descriptions or competency profiles used (10 points) 1. Job descriptions or competency profiles, and competency maps are used in explaining and clarifying the exact requirements of the job vacancy (1 point) 2. Detailed manual available in the organization with job descriptions or competency profiles or competency profiles (1 point) 3. Job descriptions and competency profiles have been prepared in consultation with the top management, and approved (1 point) 4. Job descriptions should have the following components: (1 point) • Job title, objective, responsibilities, activities reporting relations, etc. • Details about skills, experience, and qualifications required • Pay scales • Whether the posting is permanent or temporary, and specific working conditions associated with the job 5. Periodically updated depending on changes in internal or external environment (1 point) HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4.
Do you have detailed job descriptions? How have they been prepared? To what extent are others in the organization involved? How frequently are they updated? How are the job and competency profiles used in the process of recruitment and selection?
To Functional Heads: 1. Are job descriptions and competency profiles available in the organization? 2. Are they adequate and updated? 3. Are they used in the process of recruitment and selection? Documents/Secondary Data Job descriptions—go through individual job descriptions and see if they are adequate, comprehensive, and comprehendible. Questionnaire Data HRD audit questionnaire
Tapping the Sources of Recruitment (15 Points) COMPONENTS Using the most cost-effective methods of advertising (7 points) 1. Using better ways for advertising for the job which ensures better reach to potential candidates (using the Internet to advertise, employee referrals, etc. (4 points) 2. Overall response for advertisements given in the past has been good (3 points)
In-depth Audit of HRD Systems
HOW TO AUDIT Interviews To HR Manager: 1. What are the various ways of advertising vacancies—internal and external? 2. Are there any changes as to how it was being done in the past? 3. Are the methods used considered to be effective? 4. What is the response you get for each of the methods? Documents/Secondary Data Check the medium of advertising for a particular job vacancy, and evaluate if it is a newer, more effective method. Questionnaire Data HRD audit questionnaire
COMPONENTS Attracting and short-listing candidates (8 points) 1. Job advertisements are prepared using the job description. They are well-worded, and give adequate information about the job and the criteria for selection. 2. Process for applying clearly mentioned 3. Job vacancies are advertised internally first 4. In case there are potential candidates within the organization, the cases are discussed with their respective reporting bosses. 5. Existing database of people who have applied are scanned for potential candidates 6. Different placement agencies are used, depending on level of vacancy 7. Short-listing people who seem to fit the job by comparing their profile with the job description 8. Functional heads are consulted, and their involvement sought regarding the final shortlist 9. HR department conducts the reference checks HOW TO AUDIT Interviews To HR Manager: 1. How are the job advertisements prepared? 2. Do you advertise within the organization for a particular job? How is it done? 3. What are the various placement agencies used for candidates? Are there different ones for different levels? 4. What is the process followed for short-listing candidates? 5. What is the role of the HR department, and that of other top managers? 6. How are reference checks conducted? To Line Managers: 1. Do the employees first know of and apply for any job vacancies that arise? How is the information communicated? 2. Is the process for applying with the concerned person clear? 3. For internal candidates, are they discussed with their reporting bosses? 4. Are functional heads involved in preparing the final shortlist?
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100 HRD Score Card 2500
Documents/Secondary Data 1. Job advertisements: are they well framed, is all information required put clearly, and is the name of the contact person and contact address clearly mentioned? 2. Internal job postings: where are they put (intranet, bulletin boards, etc.)? 3. Databases of external applicants: are they well maintained, are the applications sorted and maintained to aid easy scanning, and is the database regularly updated? Questionnaire Data HRD audit questionnaire
Using Different Strategies and Approaches for Selection (20 Points) COMPONENTS Methods: Using different methods of assessment to aid correct selection (8 points) 1. Using application blank to get detailed information about the candidates (2 points) 2. Conducting interviews where the panel has a cross-section of functions, and includes senior managers, line managers, as well as the HR person (1 points) 3. Using assessment center methodology for selection at the higher levels (1 point) 4. Adequate internal resources available for assessment center techniques: physical infrastructure, trained assessors, good number of tests, and exercises and simulations (1 point) 5. Tests used: aptitude and ability tests for lower levels, and behavioral tests for senior people (1 point) 6. All tests used are well validated (1 point) 7. Expert used for interpreting psychological tests (1 point) HOW TO AUDIT Interviews To HR Manager: 1. What are the various methods being used for selection? What has been the experience? 2. Are different weightages assigned to different methods? How much is the weightage given to the different methods? 3. What is the role of the HR department? What is the role of other functional heads? 4. In case the organization has an assessment center, what are internal resources available for running the same for process of selection? 5. Are psychometric tests used? Are they validated? Is psychological interpretation done by an expert? To Line Managers: 1. What are the multiple methods used for selection? Are they valid? How are they useful? 2. What is the involvement of functional heads in the process of selection vis-à-vis the HR department? Documents/Secondary Data 1. Format of blank application: what are the items included? 2. Look at filled-in application: does the information filled by applicants seem adequate? 3. Psychometric tests used: check if standard validated tests are being used. If not, then check for validity and reliability studies on tests being used. Observation Physical infrastructure used for running the assessment center Questionnaire Data HRD audit questionnaire A1 (p. 255), relevant items
In-depth Audit of HRD Systems 101
COMPONENTS Strategies: Multiple approaches of assessment for ensuring that the most suitable candidate is selected (12 points) 1. 2. 3. 4.
5.
6. 7. 8.
Person–organization interaction-based selection (2 points) Assessment of attitudes towards job or the components involved in the job (2 points) Role set as a strategy for selection (1 point) Assessment of the degree of congruence between individual needs and aspirations, and organization culture, and nature of job is done at the time of selection, using appropriate mechanisms during recruitment, that is, an attempt is made to understand (4 points) • The individual’s intrinsic needs (extension, control, security, influence, etc.) • The extent to which the culture of the organization can satisfy the same • The extent to which the nature of the job can satisfy the same Projective tests and value scales are used to assess a person’s conviction, beliefs, and attitudes (3 points) The above mentioned assessment can be done using interviews, assessment centers, or personality tests Role set members (peers, seniors, etc.) are involved in the process of selection to ensure that the candidate selected would meet the expectations of the people he or she would be closely working with Process for identifying the expectations of role set members, and arriving at consensual expectations Training members to assess potential using interviews, and including them in interview panels or training in assessment centers HOW TO AUDIT Interviews
To HR Manager: 1. Does the selection process attempt to assess the individual’s needs and congruence between individual aspirations and organizational requirements? 2. Does the selection process attempt to evaluate the cultural fit of the candidate? 3. Is any assessment of the person’s beliefs and attitude done to ensure that he or she will be most capable for the job especially in case of higher levels, and critical roles and functions? 4. What are the methods used for the assessment? 5. Are people involved in selection trained to assess the same? 6. Are role set members used in the selection process? What is their involvement? What is the training they receive in assessment techniques? To Functional Head: 1. To what extent does the selection process attempt to assess the individual’s needs, congruence between individual aspirations and organizational requirements, cultural fit of the candidate, and the person’s beliefs and attitude? 2. Are other departmental members (where the vacancy is) used to evaluate the potential candidates? What is their role? 3. Can the selection process be improved to ensure correct selection? Documents/Secondary Data Any attitudinal tests or value scales being used: to what extent are they valid? Questionnaire Data HRD audit questionnaire A1 (p. 255), relevant items
102 HRD Score Card 2500
Setting Selection Process (15 Points) COMPONENTS Systematically carrying out the selection process (15 points) 1. Clear communication is sent to candidates well in advance informing the selection schedule 2. Contact person mentioned in case the candidate needs to clarify any issue with respect to timing, location, etc. (either a secretary from the concerned department, or executive from the HR department) 3. Attendance of the candidate is confirmed 4. Candidates are not inconvenienced in any way when called for the interview and are treated with respect 5. Comfort of outstation candidates ensured—if possible accommodation in guest house or hostel 6. Interviews and other processes (tests, etc.) conducted as per timing communicated to the candidate so that the candidate is not kept waiting 7. Lunch and other arrangements ensured, and done at the right time 8. Traveling expenses, if any, reimbursed on time 9. Interview schedules are set well in time, and intimation sent to all concerned 10. Format to be used for assessment, in terms of competencies to be evaluated, drawn, and circulated to all members involved in the selection (interview panel and assessors in the assessment center) 11. All processes initiated and completed on time 12. All members involved in the selection are adequately experienced, and/or trained in the methods of assessment 13. Adequate time provided for all methods—interview, tests, filling of blank application, etc. 14. Data from multiple sources is used to ensure objective assessment 15. All salary negotiations are done for the final candidate 16. Candidates are allowed to gain first-hand understanding of the organization when they visit for selection (visit to the site, interaction with other employees, etc.) HOW TO AUDIT Interviews To HR Manager: 1. How is the final selection process carried out, right from informing the candidates, to the final process? 2. What are the preparatory arrangements done for interviews/assessment centers/other processes? Who are the people responsible for the same? 3. What are the steps taken to ensure objective assessment? 4. How are people involved in assessment (line managers, role set members, assessors, etc.) trained for the same? To Line Managers/Functional Heads: 1. What are the strengths and weaknesses of the selection process as it is being carried out in the organization? 2. Is the entire process carried out systematically? 3. Is the necessary communication to people involved in assessment sent on time? 4. To what extent are line managers involved? 5. What is the support provided by the HR department? 6. Are people trained in the various methods of assessment? 7. Do you find the process to be objective? If no, what are the reasons?
In-depth Audit of HRD Systems 103
To New Recruits/Those Who Have Been Recruited Over he Last Six Months: 1. What was your initial experience with the organization when you were asked to come here for the selection process? 2. Did the entire process take place as per the schedule, or were you kept waiting? 3. Were you allowed to meet others/visit the plant, or the entire location at that time? 4. Were you reimbursed on expenses you incurred for the visit? 5. What was the attitude of the contact person? 6. Did you find the entire process well managed? 7. Were you clear about the job and the responsibilities involved? 8. How were the salary negotiations conducted? 9. What was the role of the HR department? Documents/Secondary Data 1. Timetable drawn for the last selection process: note timings, sequence and scheduling of activities, and time devoted for each process 2. Communication sent to the candidates: is it appropriately worded, are all details there in terms of contact person, timings, address, etc.? Questionnaire Data HRD audit questionnaire: relevant parts
Final Selection Process (10 points) COMPONENTS Adequate attention placed on capabilities as well as potential to learn and develop further in the organization (5 points) 1. Comments about the assessment of competencies clearly differentiate between suitability for current job capacity to learn and grow in the organization (3 points) 2. Feeling of satisfaction among employees that their capabilities are properly utilized and their talents not wasted (2 points) HOW TO AUDIT Interviews To HR Manager: 1. How do you differentiate between suitability for current job, and capacity to learn and grow in the organization? 2. How do you ensure that the capabilities of employees are properly utilized, and talents not wasted? 3. What HRD systems are being used for this purpose? To Line Managers/Functional Heads: 1. Does the organization give equal importance to capability to perform job, and the ability to learn and develop further? 2. What makes you think/say so? (Give examples) 3. Do you think your capabilities are properly utilized and talents not wasted? (Contd)
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(Contd) Documents/Secondary Data 1. Employee satisfaction surveys 2. Any other reports or documents in this regard. Questionnaire Data HRD audit questionnaire
COMPONENTS Timeliness of the entire process (5 points) 1. Decision taken within the time limit with joint discussions between functional head and HR inputs 2. Candidate informed on time as indicated to him/her 3. All paper work done on time (getting relieving letter from previous employer, getting all other records, initiating personal file, and maintaining the same in the HR department) 4. Appointment letter appropriately worded and given on time 5. Ensuring proper work place facilities (seating, etc.) are ready before the candidate joins 6. Entire process scheduled and carried out in such a way that there is not too much of time gap in filling the vacancy, and department work does not suffer due to the same 7. Drawing up the induction schedule for the new recruit, and informing him/her of the same HOW TO AUDIT Interviews To HR Manager: 1. Is the decision taken in the stipulated time? 2. How does the communication reach the candidate? 3. What are the formalities once the candidate accepts the offer? How much time does the entire process take? Who takes responsibility for completing the same on time? 4. How do you ensure adequate work facilities are there when the individual joins? Who takes responsibility for the same? 5. What is the average time required to fill a particular vacancy? Does the HR function have any performance standards in this area? If yes, are you able to achieve it? (Reasons for non-achievement) 6. How is the induction of the new recruit initiated? Who draws the schedule, when, and how? To Line Managers/Functional Heads: 1. Are vacancies filled in after too much of time gap or within the stipulated time? 2. Are all the formalities completed on time? To New Recruits/Those Recruited Over the Last One Year: 1. 2. 3. 4. 5. 6.
Did you receive the communication regarding your selection on time? Were all the paper work and formalities completed on time? Who did you receive help from regarding all the paper work? When did you receive your appointment letter? Were proper seating arrangements there when you came here the first day? When did your induction program start? When was the schedule communicated to you? Documents/Secondary Data
1. Appointment letter—is it given on time? (Compare with interview date) 2. Collect data on how much time it takes to fill in a vacancy—observe trends. Check if any performance parameter is given in this regard in any HR manager’s Key Result Area (KRA), and compare. 3. Check induction schedules of candidates—see gap between date of joining and initiation of induction training. Questionnaire Data HRD audit questionnaire
In-depth Audit of HRD Systems 105
Induction and Integration Indicators and Points Dimension
Points
1. Existence of the system or a process 2. Comprehensive coverage of different categories 3. Comprehensive coverage of content 4. Appropriate and effective methodologies 5. Implemented seriously 6. Results in tangible outcomes, and fast integration
10 10 10 20 10 10
Total
70
Existence of the System or a Process (10 Points) 1. There is a formal or standardized induction system, or policy and plan for new entrants at all levels. (3 points) 2. There is a formal system of ‘integration’ of those who come from outside at senior levels. (3 points) 3. The process aims at induction into the business, organization, function, location, role, and group or team. (2 points) 4. It is well documented. (2 points)
Comprehensive Coverage of Different Categories (10 Points) 1. Induction is for all levels of employees for the aforementioned categories of employees (2 points) 2. It covers • new entrants or fresh from the college, university or skills center graduates (2 points); • promotees from within the organization, at all levels (2 points); • transferees and job-rotated candidates (2 points); • external appointees for lateral positions (2 points).
Comprehensive Coverage of Content (10 points) (1 point each) It covers the following dimensions of induction and integration: 1. Business of the organization 2. Organization and its structure 3. Vision, mission, values, and business goals
106 HRD Score Card 2500
4. 5. 6. 7.
Products and services Customers and markets Operating procedures, processes, and functioning Functions and departments where the individual is going to be placed, his role and functions as expected by the organization 8. Colleagues, seniors, juniors, and other role set members 9. Personnel and other policies of the organization
Appropriate and Effective Methodologies (20 Points) 1. Induction and integration methodology and processes use principles of integration, assimilation, and psychological contract. (3 points) 2. Uses role set groups, performance management system inputs like Key Performance Areas (KPAs), role analysis exercises, competency maps, etc. (2 points) 3. It is sensitive to the dilemmas a new entrant goes though while joining a new organization or set up and develops ways of integrating him/her fast into the organization at multiple levels and assimilation of the values and expectations of the organization. (5 points) 4. A number of resources and variety of methodologies are used or experimented with: CDS, VCDS and DVDs about the company, presentations, and books and other publication on the company. (3 points) 5. Materials are sent in advance, and all those supposed to meet and interact with the new entrant does so. (3 points) 6. The program is well designed, exposing the individual to all aspects. (2 points) 7. Informal get-togethers, and social and other innovative practices and methodologies are used. (2 points)
Implemented Seriously (10 Points) Active interest is taken, and high commitment shown to the induction process by: 1. 2. 3. 4. 5.
HR department Top management (CEO, directors, etc) Respective HODs HR department The candidate himself/herself (2 points for each of the above)
Results in Tangible Outcomes and Fast Integration (10 Points) 1. It helps the individual to settle down fast and start contributing—all individuals, new and old. (5 points)
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2. It is linked to development of the individual, his engagement and retention, and development of a pride and satisfaction of working with the organization. (3 points) 3. It is also used for determining developmental needs and developing people to contribute to the organization. (2 points) Interviews Audit should focus on all the new entrants to an existing organization or all the recruits at all levels. These groups should be interviewed individually and in groups to ascertain how they were inducted. New entrants: freshers
Interview new recruits into the company, and ascertain the level of clarity they got at the end of their induction, and the extent to which they are aware of the organization, its products and services, coverage, structure, processes, norms and values, etc. Compare the objectives and the process they have experienced with those that exist on paper. Questions to Ask Briefly describe how you were inducted into the organization. What was done prior to your joining, immediately after joining, and a few weeks after joining? Whom did you meet? What did you learn? What documents did you receive? What did you observe? What was contrary to your expectations? What met your expectations? What did you like in the induction process? What did you find useful? What wasted your time? How did you wish you were inducted? Whom did you meet? Whom did you wish to meet but could not? What role did the HR department play in your induction?
New entrants at senior or middle levels: lateral entrants
Interview specially those who joined at senior levels from other organizations and examine the time they have taken to be acclimatized, the issues they faced, etc., and examine if there is a system, and how it is working. Evaluate for their clarity and effectiveness. Questions to Ask What meetings were organized? When did you meet your role set members? How many days after you joined did you have an interaction with your team? What facilitation was done by the HR? How much time did you take to feel and understand the organization, its products, services, structure, concerns, dynamics, etc.?
HR staff
Interview HR staff to ask about process, documents, objectives, etc. Questions to Ask Describe the induction process, its rationale design, etc. What role do you play in induction? What are the purposes? Is there any documented policy? If yes, what are the highlights of the same? How do you wish to improve the induction process in future? What is your own SWOT of the induction and integration process? What are the problems faced by the new entrants at the lateral level? How much time do they take to integrate into the organization? When do they start contributing? How do you plan to improve the integration process? What, in your view, are the difficulties faced by the new entrants? (Contd)
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(Contd) Top management, HODs, and line managers in the company
Interview top management, line managers, and functional heads, and ascertain their level of clarity on the induction program. Compare the objectives they state with those that exist on paper. Questions to Ask What do you think of the role of induction in retention? What role do you play in induction? What is your suggestion for improvement? How much time do you spend in inducting employees at different levels? How do you induct senior managers? Records and Secondary Data
Look for any records of materials sent, design of the induction program or integration and assimilation program, materials supplied prior to joining, on-line kits available and their effectiveness, use of performance appraisal formats and induction kits, letters of welcome and introductions, etc. Check manuals, guidelines, policy statements, training material, etc. Questionnaires Relevant items of HRD audit questionnaire Use a separate questionnaire if necessary Observation Participate in induction meetings, and observe the care taken, seriousness attached and time spent etc. Observe actual induction program or process in operation Check circulars, in-house newsletters, packages of pre-joining materials sent etc.
Performance Management Performance appraisal is a sub-set or component of performance management system (PMS). This section of the audit manual throws light on PMS, which includes performance planning, performance coaching, and performance appraisal. Performance Management System Audit
Maximum Points
Performance planning system and performance appraisal process Performance analysis and review
15
Performance development and counseling
15
Performance ratings
10
Implementation and facilitation of the process
15
Total
15
70 points
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Performance Planning System and Performance Appraisal (15 Points) COMPONENTS Target Setting, Key Performance Areas (KPAs) and Key Result Areas (KRAs), Indicators, Qualities, Deadlines, Resources, and Weightage (5 Points) 1. Organizational goals aligned with departmental goals 2. Departmental goals are further aligned with individual and team goals or KRAs/KPAs 3. These KPA are further broken down into objectives which are seen in line with overall organizational objectives 4. Targets set jointly at beginning of year, and properly documented 5. Weightage of each task/activity clearly explained 6. Time bound goals recorded 7. Behavior qualities to be assessed clearly communicated HOW TO AUDIT Interviews To HR Manager: 1. How are organizational goals broken down into departmental goals, departmental goals into individual goals, and so on? What is the process of target setting for individuals? 2. Formally documented and maintained? 3. Are KPAs/KRAs clearly understood by employees? Are they involved in framing these? How is this ensured? 4. How are priorities or weightages decided for each KPA? Are these negotiable? Can they change during the year? 5. Are expectations exchanged and recorded in the form? 6. What are its adequacies and inadequacies? To Line Managers/Functional Heads: 1. How are your KPAs/KRAs set? In turn, how do you set them for your subordinates? 2. What is the process used by you to set targets, KPAs, weightages, deadlines etc., for your subordinates? 3. What happens if appraiser and appraisee are not in agreement over the targets or KPAs? 4. How can HRD help in this process? Documents/Secondary Data 1. Any documents and forms relating to KPAs, KRAs, etc. 2. Documentation of organization’s goals, objectives, etc. 3. Listing of job responsibilities or targets 4. Target setting Questionnaire Data HRD audit questionnaire
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COMPONENTS Performance Planning (5 Points) 1. Individual KPAs and KRAs broken down into activities along with time factors and deadlines 2. Comprehensive analysis done of time spent on various activities 3. Sequence of activities and attention required is pre-decided 4. Weightage for each KPA provided and explained 5. Support provided for time management and performance planning through trainings and benchmarking best practices HOW TO AUDIT Interviews To HR Manager: 1. What systems exist which assist employees to plan their performance? 2. Is any orientation or training provided to help employees plan? 3. Do the guidelines on appraisal mention planning performance and its implementation? To Line Managers/Functional Heads: 1. Are you clear as to what you are supposed to achieve? 2. What are your targets for your function? Last year? 3. Do you guide your subordinates to decide their performance targets? 4. How do you find yourself planning for the performance of your department or function? 5. How do you plan the activities of your team/subordinates? 6. In what ways can the HR department contribute towards this? Documents/Secondary Data 1. Forms 2. Guidelines Questionnaire Data HRD audit questionnaire
COMPONENTS Provide basic guidelines for performance appraisal during the year (5 points) 1. Time set for review and mid-year evaluation sessions (2 points) 2. Formats set for review discussions—clear, concise, and not too cumbersome (1 point) 3. Performance management manual with clearly-specified guidelines and illustrations accessible to all employees (2 points) HOW TO AUDIT Interviews To HR Manager: 1. Are the employees aware of the performance appraisal method?
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2. Are people confident about the existing system to evaluate performance? When was the last time a change was incorporated into the system? 3. How are data or ratings standardized? 4. Does a system of self appraisal exist? 5. Is the system open or confidential? 6. Detail the process of appraisal from the time of form distribution to disclosing the results. 7. How are rewards decided and distributed to those deserving? Promotions? Quota system? Performance-related pay? 8. Have managers been oriented to conducting good performance reviews/evaluations? How frequently has this been done over the past years? 9. Are process details outlined and documented in either a manual or policy? Do employees have easy access to this? To Line Managers/Functional Heads: 1. Explain how the appraisal is done in your department or function, from the time of receiving the appraisal form to disclosing results? 2. Describe the process when you appraise your subordinates, and when you are appraised by your respective senior. 3. How much time on an average do you spend with each subordinate while appraising him? 4. How is normalizing or standardizing of ratings done, and who has the authority to do it? 5. Who decides on promotions and rewards, and how? 6. In this organization, have you been oriented to conducting good appraisals and counseling? 7. How are changes of goals incorporated in the appraisal form? 8. How are targets and weightages set for performance parameters? 9. What role does the HRD play in the process? 10. What are your expectations from HRD on this issue which could help in enhancing performance of your team? Documents/Secondary Data 1. Performance management manual 2. Employee policies 3. Process documentation 4. Blank appraisal formats 5. Filled in appraisal formats from varied grades or designations 6. MIS on appraisal data 7. Data analysis of past few years results Questionnaire Data HRD audit questionnaire
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Promotes a Culture of Fairness, Objectivity, Performance Orientation, and Motivation (15 Points) COMPONENTS Performance Review and Analysis (Mid-term Review) (10 points) 1. Quarterly review discussions take place between appraisee, and appraiser to discuss progress till date (2 points) 2. Content and nature of discussions between the appraisee, and appraiser during the review discussions—all performance areas co-related with organizational goals and targets (2 points) 3. Individuals seem to have a clear understanding of their performance in light of the organizational goals and the business environment. The individual is helped to review his progress on various targets in a non-threatening manner (2 points) 4. Behavioral traits demonstrated by the appraisee during the period also discussed—positive qualities highlighted and gaps identified (2 points) 5. Half yearly ratings with justifications given to serve as objective data during final appraisal (2 points) HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4. 5. 6. 7. 8. 9.
How is the performance analysis and review done? How often? Frequency of exercise? What kinds of issues are generally discussed? Who are the participants in this review discussion? How does this performance analysis and review help the individual? Is it a formal process/policy? Documentation? Does it allow for changes to be made in targets set or in new methods adopted? Your own feeling on the systems effectiveness and utility, as well as its necessity today What are your suggestions on the system?
To Line Managers/Functional Heads: 1. How useful do you find the performance analysis and review? 2. How should it be improved upon? Up to what extent is it done in the correct spirit and for the right purpose? 3. How does the system ensure some results? 4. What other support can be provided by HR so as to enhance the utility of the system/tool? Documents/Secondary Data 1. 2. 3. 4. 5.
Any reports of performance review discussions Policies on the issue Forms relating to review discussion Filled-up forms as samples Comparing review forms and documentation with appraisal forms at end of the year Questionnaire Data
HRD audit questionnaire
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COMPONENTS Identifying hindering and facilitating factors in performance (5 points) 1. Identification of facilitating factors, that is, those factors that have helped the individual reach the level of performance achieved in relation to various KPAs, and targets and other functions related to the job (3 points) 2. Providing an empathetic environment for discussing problems, issues, frustrations, and conflicts (2 points) HOW TO AUDIT Interviews To HR Manager: 1. Do managers ensure a conducive environment before conducting review discussions? For example, no calls, full attention, minimum interruptions, etc. 2. How successful, usually, is the identification of facilitating and hindering factors? Is this recorded? 3. What types of analysis are done on such type of data? 4. What systems to monitor the process exist in your organization that have been initiated by HRD? 5. Are there practices/systems which cater specifically to developing the performance of subordinates during review discussion? To Line Managers/Functional Heads: 1. How do you plan before the review discussion? 2. Does the meeting actually serve its purpose? Do you feel employees are receptive to this process and system? 3. How can it be further improved upon? What can HRD do in order to support you more in this area? Documents/Secondary Data 1. Report of a performance review meeting 2. Forms—blank and completed ones Questionnaire Data HRD audit questionnaire
Performance Feedback, Development, and Counseling (15 Points) HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4. 5.
What is the system of giving performance feedback, and in what ways does feedback reach employees? Is there a standard letter issued for conveying appraisal ratings or promotions? Are the feedback sessions conducted in a standard manner across the organization? Do line managers take it seriously, and give it the importance that is due? How are departmental/functional analyses done on the outcomes of performance appraisals? Are they communicated to all? 6. How is support provided to employees in order to act on their feedback received? 7. Organization-wise trends? Communicated? (Contd)
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(Contd) To Line Managers/Functional Heads: 1. 2. 3. 4. 5.
Detail the process you use to give feedback to subordinates after performance appraisal. Are you informed of, or use, functional/departmental analysis of performance evaluation outcomes? Outline the process used to give feedback to you by your senior. What type of support is required by your subordinates, and how do you plan to provide it? How can HR play a better and more effective role in the whole process? What can the HR department help you with, so as to enhance your function’s/department’s performance? 6. Do you think the HRD should continue with this system? Do you suggest any changes for improvement? Documents/Secondary Data 1. 2. 3. 4. 5.
Any reports on study conducted to understand the counseling practices in the organization Promotion letters Document containing final performance evaluation score of employees Increment and benefit letters Communication during and after the appraisal process Questionnaire Data
HRD audit questionnaire
COMPONENTS Employee Development (5 points) 1. Appraisal linkages to training and development, and other systems (3 points) 2. Training needs analysis using various systems (2 points) HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4.
How do you ensure that employees work on their feedback? What mechanisms are used? Are they well documented? Linkages with other systems How can you further improve the development of employees based on feedback received? To Line Managers/Functional Heads:
1. What in your opinion is the quality of inputs given? 2. Are they satisfactory? 3. Do the inputs help for better functioning of the role? Documents/Secondary Data 1. 2. 3. 4. 5.
Studies or research done to enhance performance, based on appraisal outcomes Linkages of training needs to other systems Potential appraisal Job rotation systems Job enhancement and empowerment Questionnaire Data
HRD audit questionnaire
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COMPONENTS Performance Counseling (5 Points) 1. Mentoring systems (2 points) 2. Professional counseling after appraisal (2 points) 3. Benchmarking counseling practices (1 points) HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4.
How successful do you think is counseling with regard to PMS? Have people been specifically oriented or trained to counsel employees? Are action plans developed during these sessions? Is organizational support and commitment promised to employees?
To Line Managers/Functional Heads: 1. 2. 3. 4.
Do you think the counseling (with regard to PMS) is really helpful to the employees? In what way? Have you had an experience (either personal or of a friend) whose issues had been resolved? How? How can this system improve? What more can HRD do in order to enhance performance through counseling? Documents/Secondary Data
Any feedback generated by non-HRD staff about the utility of counseling as a part of PMS Questionnaire Data HRD audit questionnaire
Performance Ratings (10 Points) COMPONENTS Rating scale and systems used for coverage of performance appraisal form (10 points) 1. 2. 3. 4. 5.
Final appraisal score at the end of the year (1 point) Clearly defined rating scale and system, commonly understood (1 point) Appraiser made sensitive to rater’s biases, using formal training and counseling if required (1 point) Assessment done against pre-determined performance standards to ensure evaluation is objective (1 point) On subjective parameters like behavioral traits—multi-source feedback mechanism used to minimize individual biases (peer evaluation, 360 degree feedback) (1 point) HOW TO AUDIT Interviews
To HR Manager: 1. 2. 3. 4.
What is the scale used for evaluation? At the end of the process, do people know their standing? Who gives the ratings? How is it arrived at? What is the procedure? How does this system minimize biases? Is the coverage through performance appraisal properly divided between tasks and managerial orientation? 5. Weightage given to values and qualities
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To Line Managers/Functional Heads: 1. What is your understanding of the PMS with regard to assigning values in terms of numbers to performance? 2. What are the strengths and weaknesses of the system? 3. How should it be improved? How can the HR department help in the process? Documents/Secondary Data 1. 2. 3. 4. 5. 6.
Performance appraisal format Ratings used therein, and overall coverage Explanation of rating scale provided on form Appraisal manual Dedicated chapter in employee manual Ratings assigned to performance indicators Questionnaire Data
HRD audit questionnaire
Implementation and Facilitation of the Entire Process (15 Points) COMPONENTS Facilitative role of HRD (5 points) 1. Designing a simple and appropriate system with inputs from functional managers, and taking into consideration organizational requirements 2. Having a detailed manual explaining the system with detailed guidelines, processes, and schedules, and ensuring that the manual is available to all employees in the organization 3. Continuous follow-up to ensure proper implementation and timeliness of the process 4. Being available to provide any clarifications regarding the process or dimensions 5. Ensuring consistency in implementation of the process across all departments 6. Sensitivity to any consistently shown rater biases, and trying to rectify the same through counseling of the supervisor or providing formal training 7. Training of line managers for effective skills for review, and counseling if required 8. Periodically reassessing the effectiveness of the system and making further improvements HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4.
How far have you involved the line managers in this PMS? Do you communicate the procedures of this system (in writing) to non-HRD staff? How do you ensure consistency in implementation of the process across all departments? Do you periodically assess the effectiveness of the system?
To Line Managers/Functional Heads: 1. How involved are you and other line managers with the HRD for implementing PMS? 2. Does HRD train you up for counseling skills, etc.? 3. Is there a good communication between HRD and non-HRD staff with regard to PMS?
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Documents/Secondary Data 1. Detailed manual explaining the system with detailed guidelines, processes, and schedules 2. Any other reports with this regard Questionnaire Data HRD audit questionnaire
COMPONENTS Commitment and implementation by line managers (10 points) 1. Taking the process seriously and adhering to the time schedules (2 points) 2. Ensuring there is role clarity and all KPAs are understood by the team (2 points) 3. Taking adequate time out for periodic review and counseling discussions with subordinates (1 point) 4. Providing a non-threatening atmosphere through proper listening and empathy towards problems faced by subordinates (1 point) 5. Keeping the process of rating open and transparent (1 point) 6. Being sensitive to one’s own rating biases and trying to minimize the same (1 point) 7. Taking performance shown throughout the year while evaluating rather than basing evaluations on specific incidents (1 point) 8. Giving the appraisee an opportunity to voice out difference in opinions to the evaluation and trying to resolve the same (1 point) HOW TO AUDIT Interviews To HR Manager: 1. How seriously do you think the line managers are taking this system? 2. What can you do to make sure that this system works? 3. How can you increase cooperation by non-HR people? To Line Managers/Functional Heads: 1. 2. 3. 4.
What is your opinion about this system? Is it a good system or a mere waste of time and resources? What do you do to minimize your personal biases in the process? How do you keep the system open and transparent? Documents/Secondary Data
Any study conducted to understand the commitment and implementation of PMS by the line managers Questionnaire Data HRD audit questionnaire
Potential Appraisal and Assessment Centers The objective of a good potential appraisal system is to help the top management make decisions regarding the suitable person for a particular job by generating data about the employees and their potential for performing different and, often, higher level roles. It also helps in giving some
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pointers on how the organization can develop the managerial talent by identifying developmental inputs required by promising employees. Potential Appraisal Audit
Maximum Points
System based on clarity of roles and functions associated with the same Scientific assessment process: Use of assessment centers Use of other scientific processes for assessment Clarity for implementation of the system Feedback on potential appraisal for individual development Total
10 15 15 15 15 70 points
System based on clarity of roles and functions associated with the same (10 points) COMPONENTS 1. Extensive job descriptions available for each job along with qualities required to perform the same (5 points) 2. Competency mapping done (2 points) 3. Clear job descriptions documented with details on objectives, responsibilities, and tasks associated with that job, and nature and level of knowledge and skill required to performing the function (competency maps with Role Set Based Competency Mapping (RSBCM) model are made) (3 points) 4. Skills required for the function of the job also clearly written down 5. Skills differentiated into technical, managerial, and behavioral categories 6. Operational definitions given, in order to promote common understanding across the organization HOW TO AUDIT Interviews To HR Manager: 1. Do you have detailed job descriptions or competency lists available? 2. How have they been prepared? Has top management approved them? 3. Are the skills and qualities associated with each job clearly mentioned along with their respective operational definitions? To Line Managers/Functional Heads: 1. Do detailed job descriptions or competency profiles exist in the organization? Are they comprehensive? 2. Do you clearly understand the skills and qualities required to perform each job from the job descriptions or competency profiles given? 3. Are the skills and qualities associated with the job clearly defined and understood by all? Documents/Secondary Data 1. Job description, manuals, and competency directories—are they comprehensive? 2. Are operational definitions for all qualities clearly mentioned? 3. Are qualities well differentiated across levels? Questionnaire Data HRD audit questionnaire
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COMPONENTS Indicators for assessment clearly mentioned (5 points) For all the skills 1. Pointers given on how the skills and qualities can be assessed (3 points) 2. For qualities, demonstrable behavior is given (1 point) 3. Traits and skills or behavior differ depending on the level, that is, more of leadership traits behavior for higher level jobs and more of managerial skills for the middle-level management (1 point) HOW TO AUDIT Interviews To HR Manager/Functional Heads: 1. Is the differentiation of levels of responsibility clearly indicated by the skills and qualities mentioned? 2. Is the assessment of skills and qualities clear? Documents/Secondary Data Job description—are any pointers given on how to assess different skills? Questionnaire Data HRD audit questionnaire
Processes for Assessment of the Qualities (15 Points) COMPONENTS Multiple mechanisms used for assessment (15 points) 1. Potential is appraised separately for all employees or for most employees. There is a format and a system of potential appraisal apart from the annual performance appraisal (5 points). • Data generated through potential appraisal clearly helps differentiate between individual’s success in current job and his/ her potential to perform new and higher responsibilities. • Interviews are specifically conducted to check individual potential. 2. Multi-rater feedback—rating by others instead of one way supervisory assessment—is used for potential assessment of senior levels (5 points). • Multi-rater feedback focuses more on behavioral and leadership qualities. • Orientation of employees on multi-rater evaluation to encourage frank assessment. 3. Development centers are used to evaluate potential (15 points). • Adequate internal resources are available for conducting development centers in terms of physical infrastructure, trained assessors, good number of tests, and exercises and simulations. • Psychological tests are used to provide insights into potential. • All tests used are well validated, and experts used for interpreting psychological tests wherever necessary. • All individuals involved in potential appraisal are adequately trained in assessment techniques required for the same.
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HOW TO AUDIT Interviews To HR Manager: 1. What are the various mechanisms used for potential appraisal? 2. How are people involved in various mechanisms of potential appraisal trained to assess objectively? 3. In case multi-rater feedback is being used—are the guidelines clear? Is there some kind of orientation done? 4. What are the resources available for running development centers in case they are being used for potential appraisal? 5. How is the potential appraisal interview conducted? Who are the people involved? 6. What are the various psychological tests being used for potential appraisal? Are they reliable? How are they interpreted? To Functional Heads: 1. What are the various mechanisms used for potential appraisal? What are the advantages and disadvantages of each of them? 2. What is the level of training given on assessment mechanisms to people involved in potential appraisal? Documents 1. Performance appraisal form—check if there is a format for potential appraisal, does it appear meaningful, does it clearly have dimensions that reflect the individual’s potential for higher responsibilities in addition to the individual’s performance in the current position? 2. Check filled-in formats —is all the information filled in properly? 3. Multi-rater feedback forms—what are the dimensions being evaluated, are the guidelines for assessment clear? 4. Filled-in forms—are individual differences in assessment apparent or do people seem to receive consistently high or consistently low feedback? 5. Observe physical infrastructure used for running the assessment center, and tests and exercises being used. 6. Psychological tests being used—check if standard validated tests are being used. If not, then check for validity and reliability studies on tests being used. Questionnaire Data HRD audit questionnaire
Clarity for Implementation of the System (15 points) COMPONENTS Set guidelines for implementation and use of the system for the organization (9 points) 1. When any manpower decisions have to be taken in terms of placement, promotion, job enrichment, remuneration, etc., the data generated using potential appraisal is clearly taken into consideration (5 points)
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2. Employees feel that the organization clearly values merit more willing rather than seniority (1 point) 3. Within the system, different weightages given to technical, managerial, and behavioral qualities, namely, as the hierarchical position of the job increases, more emphasis placed on managerial and behavioral qualities rather than technical skills (1 point) 4. Relative weightage given to the different methods of assessment—the more sophisticated and objective the method of evaluation, the more is the weightage given to the same (3 points) •
Weightage given to the different methods varies from case to case depending on the work history, for example, in case of multiple job placements, feedback from peers and superiors are a good source. If the individual concerned has had the opportunity to work in a limited work area/one function, more sophisticated mechanisms like assessment center or psychological testing could be used
•
The policy guidelines for potential appraisal system clearly specify all these aspects
•
All people involved in assessment are clear about the policy guidelines
HOW TO AUDIT Interviews To HR Manager: 1. To what extent is the data from potential appraisal used for manpower decisions? 2. Are different weightages given to different methods of potential appraisal? Are the policy guidelines clear? 3. Is potential appraisal done differently depending on the job history or is there a common pattern of assessment applied across all employees? 4. What are the weightages given to qualities depending on the level? Are the policy guidelines clear? To Line Managers/Functional Heads: 1. As a policy, do you feel the organization gives more weightage to merit than to seniority? 2. Are different weightages applied to different competencies depending on their importance to that level? 3. Is data generated from more objective methods given more importance? 4. Are all guidelines on implementation clear? 5. Is it followed as dictated by the policy guidelines? Documents/Secondary Data 1. Policy guidelines for the potential appraisal process 2. Are they clearly documented? 3. Are the guidelines comprehensible? 4. Are different weightages clearly assigned and specified—depending on competencies, method of appraisal, and job history of the individual? Questionnaire Data HRD audit questionnaire
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COMPONENTS Carried in a systematic manner (6 points) 1. All potential appraisals done as per the set deadlines (2 points) 2. All potential appraisals are done at the beginning of the year so as to have objective inputs for the individual’s career planning, training and development, and other manpower decisions like job rotation, etc. (4 points) • Applied consistently across the organization • Comprehensible and precise format used for the assessment • Assessment parameters and rating scale clearly defined • Data from all sources/mechanisms compiled to get a complete potential appraisal of individual employees • Is taken seriously by all senior managers Interviews To HR Manager: 1. Do senior managers take it seriously? 2. Are the deadlines followed? When did the process start and when was it completed? 3. How is the data from various sources compiled to generate individual reports? 4. Do senior managers finish the entire process on time? 5. Are the same guidelines and processes applied across the organization? To Line Managers/Functional Heads: 1. 2. 3. 4.
Is the potential appraisal done as per the set guidelines? Does it take place for all employees in this department/location/organization? Do your seniors seem to take it seriously? When is it started and when does it get over? Documents/Secondary Data
1. Format used for potential appraisal—do they seem cumbersome: are the parameters for assessment (skills and qualities) clearly defined; is the rating scale defined? 2. Filled-in potential appraisal forms—are all employees covered, and are they filled completely? 3. Collect sample of potential appraisal records—cutting across levels and departments 4. Individual reports—what are the various sources of data used to prepare the same? Questionnaire Data HRD audit questionnaire
Feedback on potential appraisal for individual development, and use for career development (15 points) COMPONENTS Open system (7 points) 1. Guidelines and process for potential appraisal clear, and known to all employees (3 points) 2. Immediate boss or functional head shares ratings given, using various mechanisms shared with individual employees (2 points) 3. Every employee has a record of his/her potential assessment data (1 point) 4. Employees perceive the entire process of assessment to be done in a very transparent manner (1 point)
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HOW TO AUDIT Interviews To HR Manager: 1. Is the process explained to all employees? 2. Are the potential appraisal ratings communicated to all employees? When and how does this communication take place? 3. Do employees maintain a copy of their potential assessment? 4. What are the steps taken to ensure that the process is carried out in a transparent manner? To Line Managers/Functional Heads: 1. Is the entire process of potential appraisal and various guidelines known to all employees? 2. Do you perceive the system to be open? 3. Do you, as a senior, share the potential appraisal ratings with your subordinates? Does your senior reveal the ratings and remarks given to you? 4. Do you have a copy of your assessment? Documents/Secondary Data Check if individuals have a record of their potential assessment Questionnaire Data HRD audit questionnaire
COMPONENTS Data used for individual counseling and career development (8 points) 1. Once the entire process is over and the ratings compiled, the same is used for counseling discussions between the employee and senior (reporting boss/functional head/mentor) (2 points) 2. Data compared with individual aspirations and specific gaps pointed out to provide direction for selfinitiated learning and development (2 points) 3. Potential appraisal ratings serve as an input for the training and development system (1 point) 4. Employees feel that the system helps them continuously re-evaluate their strengths and weaknesses, and consequently plan their individual career and development with realistic self perceptions (1 point) 5. While discussing career paths for individuals—potential appraisal ratings play a more important role than performance appraisal ratings. (1 point) 6. In case the organization does not have any higher level positions for those having potential, alternative paths should be used for the individual career development (for example, through job rotation, job enrichment, etc.) (1 point) HOW TO AUDIT Interviews To HR Manager: To what extent does this system affect training and development? To what extent does it influence promotion decisions? To Line Managers/Functional Heads: 1. Do you have counseling sessions with your senior once the process is completed? What is the outcome of such counseling sessions? (Contd)
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(Contd) 2. Do you receive developmental inputs which are reflected in the potential appraisal ratings? 3. To what extent does the system help you to assess your own strengths and weaknesses? 4. To what extent does the process motivate you for self- learning and development? 5. Are the inputs used for career planning? 6. What is the weightage that the data carried while taking placement and promotions decisions? 7. Does the process help you to plan your career better? Documents/Secondary Data 1. Look at individual training needs, and compare the same with developmental inputs indicated in potential appraisal versus performance appraisal 2. Look at career planning guidelines—what is the linkage that it has with potential appraisal? 3. Study promotion guidelines—what is the linkage that it has with potential appraisal? Questionnaire Data HRD audit questionnaire A2 (p. 256), relevant items
Additional Pointers for Audit of Potential Appraisal The significance of the potential appraisal system is the linkage with critical manpower decisions like placement, promotion, career planning, and individual development. These linkages should be thoroughly investigated.
Career Planning and Development Objective of the system is to aid the individual to choose career options and opportunities, and develop in that direction after being made aware of one’s capabilities and potential, with the help of other systems and the support of his superiors. Career Planning and Development Audit Dimension
Maximum Points
Well laid-out organizational structure and paths on the basis of contextual analysis: contextual analysis Well laid-out organizational structure and paths, and organizational structure: role analysis Identification of capabilities and potential supported by other systems Development of the individual carried out in a systematically-phased manner using several mechanisms Specific strategies for different groups of employees Perceived as an integral part of the culture
10
Total
15 10 10 15 10 70 points
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Contextual Analysis (10 Points) COMPONENTS Contextual Analysis (10 points) 1. Periodic analysis is carried out of the changes in social, political and business contexts, global changes and business trends, new opportunities, and competitors plans (2 points) 2. Organizational structures and roles are designed to reflect changes and anticipate changes (2 points) 3. Information to employees about the performance of the company, and opportunities and growth plans (2 points) 4. Communication of organization’s future plans, structures, and careers (2 points) 5. Communication of technological changes, management practice changes, market changes, etc. to individuals to enhance role clarity (2 points) HOW TO AUDIT Interviews To HR Manager: 1. Are there mechanisms to survey global, national, and local business trends and opportunities? 2. Are existing structures being evaluated to make use of opportunities, and formulate new structures and roles? 3. Are there mechanisms of formulating and communicating these to all employees? 4. Do these communications help employees in planning their career, and give them a sense of direction? 5. Do HODs and other senior managers take pains to communicate organizational plans, and ensure that they are translated into work and career plans at the individual level? To Line Managers/Functional Heads: 1. What is the nature of information shared or made available to different departments and functions periodically to ensure shared thinking of changing nature of the organization, and its structure and consequent career opportunities? 2. Is it adequate? 3. Are the technological changes, management practice changes, market changes, etc., properly communicated to individuals to enhance role clarity and set the priorities right? Documents/Secondary Data 1. Circulars and communications issued to employees explaining business trends, company performance, and plans 2. Internal information-sharing circulars 3. Newspaper cuttings about the performance and plans of the company, and internal communications issued in relation to these, and competitor information and careers Questionnaire Data HRD audit questionnaire
126 HRD Score Card 2500
Specific Observations to Make While Auditing Examine the extent to which data is provided to employees about the changing context of the business. Is it adequate to set priorities of individual role-holders? Examine documents, circulars, performance appraisal forms, and departmental plans, if any, for this purpose.
Career Paths based on Role Analysis and Clarity (15 Points) COMPONENTS Career Paths: There are well laid-out career paths based on role analysis and role clarity (5 points) Role clarity-based planning (10 points) 1. Career planning is linked to role clarity and role clarity is there at all levels (2 points) 2. Awareness of roles and responsibilities of self and others across levels and functions (2 points) 3. Adequacies and inadequacies of the HRD systems to promote role analysis-based career planning and structuring (4 points) 4. Involvement of line managers in ensuring role clarity (2 points) HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4.
What is being done to clarify roles on a continuous basis? Is role clarity an objective of the performance management system? Are there mechanisms for periodic dialogue between the seniors and juniors to give direction? Are there mechanisms of sharing performance expectations between senior managers and their juniors? 5. Is the goal-setting and performance planning process in place? 6. What are the strengths, weaknesses, and suggestions for improvement in work planning systems (KPAs, KRAs, etc.)? 7. Is the role analysis used for career path and planning, and coaching? To Line Managers/Functional Heads: 1. How clear are you about your roles and responsibilities? 2. Are there mechanisms of sharing performance expectations between senior managers and their juniors? 3. Are there any HRD systems in place to enhance role clarity? 4. What are its strengths and inadequacies? Documents/Secondary Data 1. 2. 3. 4. 5. 6.
Role directories KPAs, KRAs, job analysis, or role-clarity reports Workshop documents, if any; role clarity and role negotiation workshops conducted in the past Performance appraisal reports Departmental budget reports if they give any KRAs, etc. Any other documents relating to role and role clarity Questionnaire Data
HRD audit questionnaire
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Specific Observations to Make While Auditing Study the performance appraisal forms, and examine the extent to which the KPAs and KRAs, tasks, targets, etc. differentiate the roles and responsibilities, and the extent to which duplication exists in the roles and responsibilities. Examine if there are any role directories, competency directories and skill inventories, and examine the extent to which they differentiate the roles and provide role clarity. Also examine the data available from any role analysis exercises in the past.
Identification of Capabilities and Potential Supported by other Systems (10 Points) COMPONENTS Multiple approaches used in objective assessment of capabilities and potential (10 points) 1. Performance appraisal and potential appraisal linked to career planning (4 points) 2. Use of assessment/development centers (4 points) 3. Use of other scientific methods for assessing potential and career planning—360 degree feedback etc. (2 points) HOW TO AUDIT Interviews To HR Manager: 1. What methods of assessment do you use? 2. How effectively are these implemented? 3. What are the strengths and weaknesses of these methods? And how can you improve? 4. How is performance appraisal and potential appraisal linked to career planning? 5. How do you use the assessment center for career planning? To Line Managers/Functional Heads: 1. How, according to you, are competencies measured? 2. What different methods are used? 3. Do you think the HRD is doing a good job at assessing competency objectively? 4. How can it improve? Documents/Secondary Data 1. Performance appraisal forms, etc.. 2. Potential appraisal material 3. Assessment center 4. Development center Questionnaire Data HRD audit questionnaire
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Development of the Individual Carried Out in a Systematically-phased Manner using Several Mechanisms (10 Points) COMPONENTS Ensuring a strong conceptual base, and then focusing on managerial skills and leadership qualities (5 points) 1. 2. 3. 4.
Learning specific technical and job-related skills (2 points) Learning other related technical roles and skills (1 point) Learning general managerial skills (1 point) Developing leadership skills and qualities (1 point) HOW TO AUDIT Interviews
To HR Manager: 1. What mechanisms are involved in the career planning system? 2. How effectively are these implemented? 3. What skills are to be learnt by the individual—in what steps? (Any learning preferences or priorities set by the HRD) To Line Managers/Functional Heads: 1. 2. 3. 4. 5.
Has the HRD assisted you with career planning? How was the experience? What you would have liked to do, which was not done during the career planning process? When that was done, what were you not comfortable with (or did not like)? Was the focus on managerial skills, leadership skills, technical and job-related skills, etc.? Documents/Secondary Data
Any career planning reports Questionnaire Data HRD audit questionnaire
COMPONENTS Getting acquainted with other departments and functions within the organization (2 points) Job rotation or temporary placements/assignments in all important functions, to get a feel of their functioning, and also have an overall perspective of the business HOW TO AUDIT Interviews To HR Manager: 1. Do you have the system of job rotation in place? 2. If yes, what are its objectives? 3. Are the employees aware of other functions within the organization?
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To Line Managers/Functional Heads: 1. How well are you acquainted with other operations and departments within your organization? 2. Does the HRD play any role to create awareness among employees about other departments or functions? 3. Have you ever been transferred or been a party to job rotation? 4. How has the experience been? Documents/Secondary Data Any material with regard to job rotation Questionnaire Data HRD audit questionnaire
COMPONENTS Mentoring and career counseling systems in place (3 points) 1. Senior management involved in the mentoring of individuals 2. Counseling on various issues related to career path in the organization 3. Developmental issues 4. Realistic assessment of one’s capabilities and potential 5. Enjoying one’s job using initiative, creativity, and creating challenges 6. Handling frustrations, and coping skills. How to Audit Interviews To HR Manager: 1. Do you have mentoring and counseling systems in place? 2. How well are these systems implemented? 3. What are the strengths and weaknesses in these systems? 4. What kinds of issues are discussed in counseling? 5. To what extent does the senior management involve itself in the counseling system? To Line Managers/Functional Heads: 1. Do you have counseling and mentoring systems in your organization? 2. How well are these systems accepted and used? 3. Are the counselors and mentors trained and competent? 4. Do you think these systems are proving of any help to the employees? Documents/Secondary Data Any printed material with regard to counseling and mentoring Questionnaire Data HRD audit questionnaire
130 HRD Score Card 2500
Specific Strategies for Different Groups of Employees (15 Points) COMPONENTS Approach for fresh recruits (3 points) 1. Developing technical and general managerial capabilities 2. Short-term placements in various departments so that they get a feel of various functions 3. Mentoring HOW TO AUDIT Interviews To HR Manager: 1. How is your approach towards new recruits? 2. Is it any different from what is towards other employees? 3. How do you help new recruits develop their managerial and technical capabilities? 4. Do you extend mentoring to the new recruits? To Line Managers/Functional Heads: 1. 2. 3. 4.
Have you had any new recruits in your department? How competent have you found them? Has the HRD played any role in developing the competencies of the new recruits? Have the new recruits been out on short-term assignments or placements within the organization? Documents/Secondary Data
1. Report on short-term placements of new recruits 2. Any material specific to mentoring for new recruits
Questionnaire Data HRD audit questionnaire
COMPONENTS Approach for those who have spent their time in the same position for a long time in the organization and shown potential (3 points) 1. Job rotation 2. Creating positions for lateral movement 3. Developing leadership capabilities HOW TO AUDIT Interviews To HR Manager: 1. What is your approach for those who have spent their time in the same position for a long time in the organization and shown potential? 2. How do you develop their leadership capabilities? 3. Can you create positions for lateral movements?
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To Line Managers/Functional Heads: 1. How long have you been in this position? 2. What would you expect from the HRD after you have spent long years of service in the same position? Documents/Secondary Data List of employees along with their backgrounds and other details who have spent a long time in one department Questionnaire Data HRD audit questionnaire
COMPONENTS Approach for highly promising employees (3 points) 1. Specific interventions (for example, fast track career paths) 2. Involvement in strategic teams and committees 3. Mentoring HOW TO AUDIT Interviews To HR Manager: 1. What is your approach for highly-promising employees? 2. Is it any different from what it is towards other employees? 3. What specific interventions have you planned for them? 4. Do you extend mentoring to such employees? 5. Do you involve them in strategic teams and committees? To Line Managers/Functional Heads: 1. 2. 3. 4.
Have you had any subordinate who seemed to be highly promising? Do you see HRD playing any specific role in dealing with such employees? Do you think HRD needs to invest its energies more into such people? Are they not doing enough? How do you think HRD can intervene and make the best out of such employees? Documents/Secondary data
Any material on HRD approach towards highly promising employees Questionnaire Data HRD audit questionnaire
COMPONENTS Approach for those who have reached a stage beyond which it is not possible to progress vertically (3 points) 1. Counseling (2 points) 2. Creating challenges in the current job, and supporting with greater empowerment (1 point) (Contd)
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(Contd) HOW TO AUDIT Interviews To HR Manager: 1. What is your approach for those who have reached a stage beyond which it is not possible to progress vertically? 2. What HRD systems do you emphasize on? To Line Managers/Functional Heads: 1. Have you known closely any employees who have reached a stage beyond which it is not possible to progress vertically? 2. What do you think HRD is doing for such employees? 3. What do you think HRD can do for such employees? Any suggestions? Documents/Secondary Data Any report or document with this regard Questionnaire Data HRD audit questionnaire
COMPONENTS Changes in career plans made depending on changes in the environment or organizational structure (3 points) Career plans altered in case of any changes in business environment leading to changes in the business strategy, structure, and working practices HOW TO AUDIT Interviews To HR Manager: 1. Do you alter career plans with changes in the business environment or organizational structure? 2. How do you deal with such changes? To Line Managers/Functional Heads: 1. Have you ever experienced changes in career plans because of changes in the business environment or organizational structure? 2. How, according to you, should HRD deal with such situations? Documents/Secondary Data Any published or printed material in this regard Questionnaire Data HRD audit questionnaire
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Perceived as an Integral Part of the Culture (10 Points) COMPONENTS In line with a culture focused on competency building and commitment building across the organization (2 points) 1. Attention to competency building across the organization (1 point) 2. Focus on commitment building across the organization (1 point) HOW TO AUDIT Interviews To HR Manager: 1. Do you think the culture of the organization is focused on competency building and commitment building across the organization? 2. What makes you say so? To Line Managers/Functional Heads: 1. What role is HRD playing to instill in the culture of the company, competency building, and commitment building across the organization? 2. What suggestions will you offer to the HRD in this regard? Documents/Secondary Data Any report on study conducted on culture of the organization Questionnaire Data HRD audit questionnaire
COMPONENTS Openness in sharing the information with the employees (4 points) 1. Transparency of the entire process (2 points) 2. Career paths and plans are shared with all employees (2 points) HOW TO AUDIT Interviews To HR Manager: 1. What do you think about the transparency of this entire process? 2. How do you try to make it more and more open? To Line Managers/Functional Heads: 1. Do you think the career planning system is open and transparent? 2. Do you share your career paths with other employees? 3. Do the other employees share their career paths with you? Documents/Secondary Data Career plans of employees Questionnaire Data HRD audit questionnaire
134 HRD Score Card 2500
COMPONENTS Commitments made to employees are met (4 points) 1. If any process or intervention is planned and promised to the employees (for example, job rotations, training and development, counseling, job enrichment, etc..), it is met (2 points) 2. Employees seem to trust the career planning and counseling that takes place in the organization (2 points) HOW TO AUDIT Interviews To HR Manager: 1. How well does HRD live up to its commitments (promises made to employees)? 2. Under what circumstances does it become difficult to give to the employees what has been promised? 3. How does this affect the trust and relationship between HR and non-HR staff?
To Line Managers/Functional Heads: 1. Have you had an experience where HRD has not fulfilled its promise? 2. What impressions did this give you? 3. How much do you trust the HRD in your organization for the genuinity of its systems and functions?
Documents/Secondary Data Any material in this regard Questionnaire Data HRD audit questionnaire
Analysis of Secondary Data 1. Career path documents • Extent of documentation • Who maintains the records? • How much in advance is it set? How frequently are the plans altered, and why? 2. Career counseling sessions—being conducted or recordings • Attitude of the senior • Time of discussions • Frequency • Recording of discussions • Outcomes of these sessions 3. Career-related data of individuals • What does the past data indicate—trends in locations, departments, etc. to see if the system is being implemented across the organization as a system?
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4. Communication related to career plans • How is it communicated? • People involved? • How is the communication received?
Checklists 1. Questions to be asked to HR manager • Do you have a specific strategy for career planning? How is it carried out in the organization? • What is the role of the HR department in the entire process? • What is the involvement of other senior managers in the process? • How is the information communicated to employees? • In case there are any changes in the structure or work practices, which may have bearing on the career planning, how is it taken care of? How are employees made aware of the changes? • Are the commitments made to employees in terms of their career path met? • What are the various processes in place to aid career planning and development? • Are there different approaches used? For example, in case of high potential employees, how is career planning done? What is the information that new recruits get when they join the company in terms of their career path? • Is career planning taken seriously in the organization? • What are the strengths and weaknesses of the system as it is being carried out in the organization? How do you plan to improve it further? 2. Questions to be asked to line managers • How is career planning done in the organization? • Are there well laid-out career paths for employees? • When you joined the organization, were you made aware of your career path in the organization? If yes, what is it? • Is the process perceived to be transparent? Is adequate information shared with employees? • Are changes in the business structure or strategy reflected in the career plans of employees? • In case you have any issues with respect to your career planning and development, are they clarified? • In case there is a special scheme of high potential managers, is it de-motivating for others? • Is there adequate counseling and mentoring taking place to support career planning? • Is it linked to your potential appraisal and performance? • Are commitments made to employees with respect to their career development met? • What are the indications that career planning and development is taken seriously in the organization? • What are the strengths, weakness, and your suggestions for improving the system as it is being carried out in the organization currently?
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Documents 1. Recordings of any career-counseling sessions 2. Career-related data of individuals across the organization 3. Communication related to career plans—letters and circulars
Job Rotation Job Rotation Audit Dimension
Maximum Points
Initial planning of the process Implementation of the process, and integration with other HR systems Impact on culture in terms of learning, development, and motivation Total The points may be multiplied by 2 to raise them to 70 points for comparison purposes
10 20 5 35 points 70
Initial Planning of the Process COMPONENTS Strategy in line with the business requirements (1 point) Takes into consideration manpower requirements as stated in the manpower plans HOW TO AUDIT Interviews To HR Manager: 1. What is the strategy for job rotation? 2. How do you make sure that it is in line with the business requirements? To Line Managers/Functional Heads: 1. What do you know about the initial planning of the job rotation system? Documents/Secondary Data Documentation of initial plans, strategy, etc. Questionnaire Data HRD audit questionnaire
COMPONENTS Clearly aligned and integrated with other HR systems of the organization (3 points) 1. HR information and data taken into consideration by linking at the planning stage itself with potential appraisal, training and development, succession planning, career planning, etc. 2. Clearly used as a developmental and motivational strategy for senior management and high potential managers 3. Helps senior management get a larger perspective to the overall business 4. Aid to multi-skilling for lower management and workers
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HOW TO AUDIT Interviews To HR Manager: 1. How is job rotation linked to other HRD systems? 2. How is this system useful? What are its objectives? To Line Managers/Functional Heads: 1. Do you see any link between job rotation and other HRD systems? 2. Is the link poor or good? How can it be improved? Any suggestions? Documents/Secondary Data Any data on linkages between job rotation and other HRD systems Questionnaire Data HRD audit questionnaire
COMPONENTS Planned in a participative manner (3 points) 1. Functional heads given the freedom to plan job rotation for their people with the HR providing a supportive role 2. Adequate feedback taken from all departments to get accurate requirements—both individual as well as organizational 3. Periodic recommendations from functional heads incorporated in the plans HOW TO AUDIT Interviews To HR Manager: 1. How far do you involve line managers in the process of planning job rotation? 2. Is their involvement regular and active? To Line Managers/Functional Heads: 1. How much are you involved in planning job rotation for your subordinates? 2. Does HRD seek your suggestions, and are the suggestions implemented? 3. Are you happy with the extent of involvement of line managers with HRD in job rotation process? Any suggestions for improvement? Documents/Secondary Data Any report on participation of non-HRD members into the planning of job rotation Questionnaire Data HRD audit questionnaire
138 HRD Score Card 2500
COMPONENTS Final plan is detailed and clear (3 points) 1. 2. 3. 4. 5.
Job rotation policy is in place and known to employees Clear guidelines drafted and documented Information available to all functional heads Individual employees are clear about the guidelines and process Clear linkages drawn and explained in the document HOW TO AUDIT Interviews
To HR Manager: 1. 2. 3. 4.
Do you have a written-down job rotation policy? In addition to the policy, do you have documented guidelines and linkages with other HRD systems? Is this material circulated to all? Is it available to line managers as and when they wish to refer to it?
To Line Managers/Functional Heads: 1. Have you seen the job rotation policy and other related documents? 2. Do you have access to it? 3. Do you understand the linkages HRD has drawn between job rotation and other HRD systems? Documents/Secondary Data 1. Job rotation policy 2. Related documents like the guidelines and linkages with other HRD systems Questionnaire Data HRD audit questionnaire
Implementation of the Plan (20 Points) COMPONENTS Followed as planned (5 points) 1. Part of job rotation data clearly indicates that job rotation is done in a planned systematic manner across the organization as per stated rules and norms and not just as an ad hoc process (3 points) 2. Checks in the system to ensure timeliness of the manpower shifts (1 point) 3. Feedback taken from functional head about the implementation and corrections made if required (1 point) HOW TO AUDIT Interviews To HR Manager: 1. How is the job rotation system actually implemented? Explain in detail 2. What are the strengths and weaknesses of this system, and how can it improve?
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To Line Managers/Functional Heads: 1. Does the HRD seek feedback from you with regard to the implementation of the system? 2. How do you think is this system implemented? 3. What are the adequacies and inadequacies of the system? 4. How can it improve? Documents/Secondary Data Any report on implementation of the job rotation system Questionnaire Data HRD audit questionnaire
COMPONENTS Ensures optimum utilization of manpower (5 points) 1. Competency match checked after the person re-deployed has performed in the new capacity (3 points) 2. Checks to see if there is any duplication of responsibilities of efforts (2 points) HOW TO AUDIT Interviews To HR Manager: 1. How do you ensure optimal utilization of manpower? 2. How do you prevent duplication of responsibilities or efforts? To Line Managers/Functional Heads: 1. Do you think there is optimal utilization of manpower in your department? 2. Does HRD show interest in understanding the responsibilities of employees in your department? 3. How do they intervene? What do they actually do? Documents/Secondary Data Any material in this regard Questionnaire Data HRD audit questionnaire
COMPONENTS Support by other processes (5 points) 1. Developing high potential employees and senior management using job rotation as a strategy forms KRA of the top management (3 points) 2. Proper counseling and mentoring to ensure that the person is able to learn and contribute to the new function (2 points) (Contd)
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(Contd) HOW TO AUDIT Interviews To HR Manager: 1. What all is job rotation used for? What are its objectives? 2. By what other processes is support offered? (for example, counseling) To Line Managers/Functional Heads: 1. What do you think is the biggest advantage of having job rotation in place? 2. Does HRD provide support by other processes? Documents/Secondary Data Any material in this regard Questionnaire Data HRD audit questionnaire
COMPONENTS Re-assessment of the overall implementation (5 points) 1. Consequences of the process studied through formal and informal interactions—feedback from functional heads and line managers to ensure individual as well as organizational goals are met (3 points) 2. Data from the study used to bring improvements in the system (2 points) HOW TO AUDIT Interviews To HR Manager: 1. Is the overall implementation of the job rotation system re-assessed? How? 2. Are non-HRD people involved in this re-assessment process? How? 3. Is the data gathered used to bring improvements in the system? To Line Managers/Functional Heads: 1. 2. 3. 4.
Is the implementation of the job rotation system re-assessed? How far are you involved with this? Does HRD involve other line managers too? To what extent? Is the information used for further improvements? Documents/Secondary Data
Any report on re-assessment of job rotation system and improvement plans Questionnaire Data HRD audit questionnaire
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Impact on Culture in Terms of Learning, Development, and Motivation (5 Points) COMPONENTS 1. Perceived as a value adding system in the organization (2 points) 2. Individuals across the organization perceive it as a useful mechanism, and support the same (1 point) 3. Helps in increasing appreciation for different functions and gain better understanding of the overall business (1 point) 4. Individuals do not feel threatened by the same (1 point) HOW TO AUDIT Interviews To HR Manager: 1. How do employees perceive this system? 2. Have you conducted any survey to scientifically understand their perceptions? 3. Do you think the system is adding value in terms of increasing appreciation for other functions, etc.? To Line Managers/Functional Heads: 1. What is your overall impression about this system? 2. How do your subordinates perceive it? 3. Do your employees feel comfortable with this system? Are you aware of any apprehensions from their side? Documents/Secondary Data 1. Any written material in this regard 2. Any survey findings about perceptions of employees towards job rotation Questionnaire Data HRD audit questionnaire
COMPONENTS Facilities learning by placing an individual in different functions (2 points) 1. Individuals see a clear linkage between developmental inputs required and the system 2. Helps in tapping the potential of individuals HOW TO AUDIT Interviews To HR Manager: 1. How does this system facilitate learning? 2. Do you think this system helps in tapping the potential of individuals? How? 3. What mechanisms are in place to ensure this? To Line Managers/Functional Heads: 1. 2. 3. 4.
Do your subordinates feel that this system helps them to develop their potential? How have you found this out? Do you think this system actually facilitates learning? How can this system further improve? Documents/Secondary Data Questionnaire Data
HRD audit questionnaire
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COMPONENTS Increasing motivation by providing new challenges and opportunities (2 points) 1. Individuals feel their individual aspirations in terms of career progression and development are met to a certain extent because of job rotation. 2. Interview data indicates higher level of productivity in different functions which can be attributed to job rotation. 3. Employees do not feel they are stuck in the same function or monotonous positions for extended periods of time. HOW TO AUDIT Interviews To HR Manager: 1. Does this system contribute to higher motivation levels? How? 2. Are career aspirations of employees taken care of (at least to some extent)? 3. What is the employee feedback about this system? To Line Managers/Functional Heads: 1. Do you think your subordinates feel motivated because of job rotation or not? 2. How does it affect their performance? 3. What is your overall impression about the system? What impact does it have on employees? Documents/Secondary Data 1. Any interview data indicating higher productivity levels which can be attributed to job rotation 2. Any research conducted to know the impact this system has on employees Questionnaire Data HRD audit questionnaire
Checklists 1. Interviews with line managers • Do you have a formal system for job rotation in the organization? How does it take place? Are you aware of the policy guidelines, if any? • Have you been given the opportunity to work in different departments/locations of the organization? How was the process managed? • Are various functional heads given the freedom to prepare the job rotation plan with the support of HR or is it drawn by the HR department only? • If you wish to work in other areas, how do you go about initiating that change? • Do you receive communication well in advance in case you are going to be shifted? • Do you feel it is useful to you personally or to the organization overall? • What is the role played by the HR department? What is the role played by your functional head/you in case of your subordinates? • Is job rotation necessary in the organization? Do you like it? Is job rotation possible for your department? If no, why?
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• What, in your opinion, is the objective of job rotation as it is being used in the company (training, motivation, transfer, disciplinary action, etc.) • What are the strengths and weaknesses of the system as it is being managed here? How do you feel the system can be further strengthened? 2. Interviews with HR managers • Do you have a formal system for job rotation? • What are the various purposes for which you use job rotation? (Training, filling vacancies, etc.) • Is job rotation incorporated as a specific strategy or aid in various HR systems? (Manpower planning, training and development, and retention) • Is the job rotation designed as a specific strategy when the manpower plan is drawn? • To what extent are the line managers involved in this system? What is your exact role in the process? • What is the frequency with which it is carried out? • To what extent has it been successful? • What is a particular decision taken for job rotation? What are the various sources of information used? (Performance appraisal data, potential appraisal data, manpower plan, training needs, etc.) • Have you studied the effectiveness of the system? • In case you have not been able to implement it— what are the reasons?
Documents 1. 2. 3. 4.
Job rotation policy Any formal documents on steps involved, for example, in HR manual and manpower plans? Any studies conducted to evaluate its effectiveness Job rotation data of the past
Training and Learning Training and Learning Audit Dimension Scientific identification of training needs Pre-training preparation: involvement of candidates (trainees and their superiors), choice of the institution/program, ensuring appropriateness of the inputs Training process Post-training requirements and activities Learning policy and training budget Competencies of those handling training function, and seriousness of line managers Business linkages of training Total
Maximum Points 10 10
10 10 10 15 5 70 points
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Scientific Identification of Training Needs (Points 10) COMPONENTS AND INDICATORS Training needs are identified systematically (8 points) 1. 2. 3. 4.
An annual survey is conducted (1 point) Employees across the organization are involved in the same (1 point) The survey is taken seriously by the HR/training department (1 point) All forms/questionnaires are completed by line managers on time, and sent to the appropriate authority (HR/training department) (1 point) 5. Multiple mechanisms are used such as (2 point) • Performance appraisals • Assessment development centers • Questionnaires 6. There is a separate format highlighting individual training needs, and not just the performance appraisal form (1 point) 7. The needs are documented properly—a copy with the HR and with the individual department head (1 point) HOW TO AUDIT Interviews To HR Managers: 1. What are the various mechanisms used to identify training needs? 2. Who is responsible for the same? 3. When is the process carried out? Who are the people involved? How is the data collected? Documents/Secondary Data 1. Check if the format is available and if it is comprehensive 2. Look at filled-in formats of a random sample—different departments and different levels—check if individual differentiation is there 3. See the extent to which training needs mentioned in the performance appraisal form of the individual are included in the training needs form 4. Look at random records generated individual assessment/development centers Questionnaire Data HRD audit questionnaire
COMPONENT AND INDICATORS Training needs are based on various performance parameters like current performance (2 points) 1. There are clear differences between individual training needs, and the same is not repeated. 2. Training needs are differentiated in terms of technical, behavioral, and managerial components. Current performance gaps are identified on the basis of performance appraisal. HOW TO AUDIT Interviews To HR Manager: 1. To what extent do the future plans of the organization influence training needs? 2. To what extent do technological changes influence training needs?
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To Line Managers/Functional Heads 1. What are the training programs you attended last year—of those, how many were functional and how many were behavioral? 2. What is the ratio of functional to behavioral training programs you are planning to attend in the current year? 3. If there is any new concept/technology in your function—are you and other department members accordingly trained? 4. Are people generally nominated for the same training programs year after year in your department/ overall organization? Documents/Secondary Data 1. Analyze individual training needs across various departments and levels—check if there is a differentiation between technical, behavioral, and managerial training requirements? 2. Look at the training calendar of current and previous year—see if training programs are merely being repeated. Questionnaire Data HRD audit questionnaire
Pre-training Preparation for Ensuring Appropriateness of the Training Program (10 Points) COMPONENT AND INDICATORS A scientific mechanism should be in place to ensure that the training program is appropriate and suits the needs of the candidate/organization (2 points) 1. Coverage of training programs matches the training needs identified earlier 2. Training manager/HR manager discusses organizational/individual requirements with the concerned faculty members along with the expected outcomes 3. Training institution understands the organization and its needs, and collects data to make training relevant Training programs meant for large number of employees are customized to the organizational context and requirements HOW TO AUDIT Interviews To HR Manager 1. How do you choose the training institutes and training programs to be given to the employees? Which institute does the organization have a regular tie-up with? For which programs? 2. Do you have any discussions with the training faculty? 3. Do you get the training institute to customize any training programs? How is that done? To Line Managers/Functional Heads 1. Are the training programs in line with needs identified? 2. How is the overall quality of training institutes? (Contd)
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(Contd) Documents/Secondary Data 1. 2. 3. 4.
Training calendar Are the training programs in line with the training needs identified? Does the training institute make efforts to know the organization? Brochures and write-ups of some of the training programs being attended—are the inputs mentioned in line with individual requirements? Questionnaire Data
HRD audit questionnaire
COMPONENT AND INDICATORS Setting individual training schedules in advance (3 points) 1. Training calendar is prepared well in advance, that is, at the beginning of the year. 2. Training calendar is circulated to all departments at the beginning of the year. 3. Individual training calendars are prepared at the beginning of the year, and copies are maintained with the individual/functional head and HR department. The training plan is taken seriously by all. 4. Supervisor is informed well in advance about the training program so as to ensure that the employee can be relieved for the training through proper work scheduling. 5. Training programs for critical developmental inputs are provided at the beginning of the year. HOW TO AUDIT Interviews To HR Managers: 1. When is the training calendar prepared and finalized? 2. Are individual training calendars prepared using the training calendar and individual needs as reference? How is it maintained? 3. Do people attend the training programs finally or do supervisors not send them due to work pressure? 4. What are the training programs scheduled for the beginning of the year? On what basis? To Line Managers/Functional Heads: 1. When do you receive the training calendar for the current year? 2. Do you prepare an annual calendar for yourself? Is a copy maintained in the HR department? 3. Are you able to attend all training programs you get nominated for? If no, what are the reasons for the same? 4. For developmental inputs most important for the current year—do you attend the training program well in beginning of the year? Documents/Secondary Data 1. Check if individual training schedules are documented properly with concerned authorities (training manager/departmental head) 2. Analyze the training programs scheduled for the beginning of the year—are they special skills training/important technical training or general ones? Questionnaire Data HRD audit questionnaire
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COMPONENTS AND INDICATORS High involvement of candidate to ensure that the program is value adding (5 points) 1. Employees are aware of the reasons for training. 2. Employees are treated as equal partners in taking final decision about which training programs to attend. 3. Choice is provided regarding the training institutes and topics for specialized skills. Candidate should be informed well in advance about the training program so that he/she can accordingly plan out the work, and make it possible to go for the training. HOW TO AUDIT Interviews To HR Manager: 1. To what extent is the individual consulted regarding choice of training programs/institute to go for? To Line Managers/Functional heads: 1. Do all training programs seem relevant/value adding to you? 2. Are you given a choice of institutes where you would like to go for a specific training program? 3. Do you receive the information about a training program of your interest well in advance? Questionnaire Data HRD audit questionnaire
Training Process (10 Points) COMPONENTS AND INDICATORS The training should be conducted well, planned well by the faculty, and delivered well (5 Points) 1. 2. 3. 4.
Training programs are well designed They are relevant Trainers are experts in the respective fields Adequate time is given to ensure comprehensive coverage of all topics HOW TO AUDIT Interviews
To HR Managers: 1. Does the organization avail of different methods of training or is a particular method favored? To Line Managers/Functional Heads: 1. How was the quality of some of the training programs you have attended—recently and last year? 2. How did you find the trainers? 3. Was the time well managed? Documents/Secondary Data 1. Check out the tools being used in various training programs 2. Check period of various training programs—are programs for senior levels/special skills given long time or just compressed into one–two days? 3. Check names of some of the trainers—are they known in that area? Questionnaire Data HRD audit questionnaire
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COMPONENTS Training motivation ensured (5 Points) INDICATORS 1. Faculty should be making efforts to understand and cater to the needs of the trainees through discussions with the respective organizations. 2. Faculty should be evaluating the training programs periodically and seeking feedback. 3. Feedback should be taken seriously and used to improve the program by the training institute. 4. HR department uses the feedback to decide on whether to continue with the faculty. 5. Sessions are designed to give adequate time for participants to absorb what is being taught and also feel relaxed between different modules/days. 6. Good learning facilities are available at the institute/venue/organization—library with good collection of books, latest journals and magazines, CDs, etc. 7. Classrooms are spacious and well designed, having all necessary equipment—projectors, PCs, etc. 8. Living facilities are well maintained and ensure basic comfort of the participants. 9. Training center is in a nice quiet location where participants do not feel distracted. 10. There are some basic recreational facilities to help participants relax at the end of the sessions. 11. Employees speak high of the faculty and training programs attended—recommend the same to other colleagues. 12. Employees feel satisfied with the institute in terms of facilities and ambience. HOW TO AUDIT Interviews To HR Managers: 1. How do you communicate the organization’s/individual’s needs to the faculty? 2. Do you take feedback about the expertise of the faculty from the participants? How is the feedback of faculty from the participants? How is the feedback used? Is it communicated to the trainer/training institute? 3. Do you visit the training location before finalizing on the same? To Line Managers/Functional Heads: 1. Do you give feedback on the faculty of the training program? Is the feedback used by the institute/ organization to improve the faculty? 2. How is the overall ambience of the training institute? 3. How are the classrooms? How are the accommodation arrangements? Are the facilities adequate? 4 . Did you enjoy the overall experience? Do you recommend the same to other colleagues? Documents/Secondary Data 1. Check the timetables of some of the training programs—does the time allotted for the topics seem adequate? 2. Study some of the feedback forms about the faculty given by participants 3. Visit the training institute to check various points mentioned here 4. Check the seminar hall and library facilities within the organization itself Questionnaire Data HRD audit questionnaire
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Post-training Activities and Requirements (10 Points) COMPONENTS Implementing individual plan for improvement (5 points) INDICATORS 1. Candidate is required to make an action plan post-training, to ensure that the new skills can be strengthened and used in work 2. Immediate superior participates in this process 3. HR department/training department ensures that this is being done There should be a mechanism for evaluating changes in the individual’s performance or effectiveness posttraining that can be attributable to the training program—using supervisory feedback, self evaluation, and peer evaluation or use of some questionnaire/systematic diagnostic tools HOW TO AUDIT Interviews To HR Manager: 1. How is the post-training effectiveness evaluated? What are the roles played by the individual, his superior, and the HR department? To Line Managers/Functional Heads: 1. Are you/your subordinates required to make a plan of action after having attended a training program? 2. Is there a periodic evaluation to study post-training effectiveness in the individual? Is the system seriously followed? Documents/Secondary Data 1. Individual action plans—are they in line with the training needs stated and training program attended? 2. Supervisory feedback forms on post-training effectiveness—is it comprehensive, and are the remarks made by the superior adequate? 3. Filled-up self-evaluation forms—is the format comprehensive, and do they seem to have been seriously filled? Questionnaire Data HRD audit questionnaire
COMPONENTS AND INDICATORS Sharing learnings with others (3 Points) The participant is required to give a small presentation to his/her own department or related functions, post-training about learning, and insights gained (Contd)
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(Contd) HOW TO AUDIT Interviews To HR Manager: 1. Is there a system to ensure that the individual shares his/her learning with the rest of the team/related functions if required? To Line Managers/Functional Heads: 1. 2. 3. 4. 5.
Do participants make a presentation to the department after having attended a training program? Did you make a presentation? Is it considered to be useful? Is it attended by the department head? Is the learning documented? Documents/Secondary Data
1. Any documents prepared by participants after a training program regarding key learning—maintained in the department if required 2. Is copy of the reading material kept in the library? Questionnaire Data HRD audit questionnaire
COMPONENTS AND INDICATORS Feedback to HR department or training manager (2 Points) 1. The HR department/training manager should have a formal system of seeking feedback about every training program attended 2. The feedback looks at both quality of training program in terms of faculty, facilities and inputs, and value addition to the individual The feedback is used by the organization for ensuring that good training programs are retained, and those which are not good are changed HOW TO AUDIT Interviews To HR Manager: 1. Do you take feedback from participants after the training program? How is the feedback used? To Line Managers/Functional Heads: 1. Is a detailed feedback taken from you after returning from a training program? 2. Do you feel that the feedback is used to improve the overall quality of training program? Can you give us any instances? Documents/Secondary Data 1. Random filled-in feedback forms by participants—is the format comprehensive, and are they filled in completely? 2. Analysis studies done on the basis of the feedback—does HR department not have any documentation of the analysis of a particular training program? How is the analysis done? Questionnaire Data HRD audit questionnaire
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Learning Culture and Training Budget (5 Points) COMPONENTS AND INDICATORS Well-documented training policy that focuses on learning (7 points) 1. There is a definite training and learning policy in the organization. (1 point) 2. It is documented. It focuses on learning. (1 point) 3. It is based on sound principles of adult learning. (1 point) 4. The policy is shared with all. (1 point) 5. All employees feel satisfied with the learning or training policy. (1 point) 6. All training efforts are in line with the training policy—followed in spirit. (1 point) 7. Any changes in the training policy are communicated to all employees. (1point) Adequate amount budgeted (3 Points) 1. Adequate budget is allotted for training (2 points) 2. Budget is modified as number of employees/complexities in skills needed increases (1 point) Check HOW TO AUDIT Interviews To HR Manager: 1. Do you have a training policy? How was the same prepared? 2. What is your training budget? What is the per employee ratio? 3. How is training budget arrived at? To Line Managers/Functional Heads: 1. Are you aware of the training policy in the organization? 2. Do you feel that the training policy merely exists on paper and is not followed? 3. Is adequate budget allotted for training? Documents/Secondary Data 1. Training policy document—is it clear, is it properly documented, and available? 2. Training budget over the last three years—see the increase and per employee budget. Compare the same with some benchmarks if possible Questionnaire Data HRD audit questionnaire
Competencies of Those Handling Training Functions (15 Points) COMPONENT AND INDICATORS Training function is handled by competent and trained staff in HRD (5 Points) 1. HR managers responsible for training function put high emphasis on individual and organizational development. 2. They are aware of dynamics of training. 3. They have knowledge of various theories and methods of learning. 4. They are competent as faculty themselves. 5. They demonstrate high level of empathy and openness to feedback. (Contd)
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(Contd) HOW TO AUDIT Interviews To HR Managers: 1. How competent is the training staff? 2. How can they improve? 3. How do you ensure quality of training programs? To Line Managers/Functional Heads: 1. Have you ever attended any training programs organized by HRD? 2. How was the experience? 3. How competent was the faculty? Documents/Secondary Data Any report or published material in this regard Questionnaire Data HRD audit questionnaire
COMPONENTS AND INDICATORS Line managers, specially sponsors, take training seriously and give it due attention (5 Points) 1. Line managers encourage their subordinates to attend training programs. 2. They provide adequate support to the subordinates to develop the new skills. 3. They help the subordinates develop action plans for development post-training. 4. They evaluate the improvements in the subordinates and prove them with periodic feedback to aid their development. 5. They provide adequate support to all processes connected to the training and development system. HOW TO AUDIT Interviews To HR Managers: 1. How seriously do line managers take training programs? 2. What have been your experiences? To Line Managers/Functional Heads: 1. What is your opinion about the training programs conducted by HRD? 2. How should they improve? 3. Do you recommend your staff to attend these programs? Documents/Secondary Data Any report or published material in this regard Questionnaire Data HRD audit questionnaire
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COMPONENTS Top management is serious about training and gives it due importance (5 Points) INDICATORS 1. Top management communicates its commitment to individual development to various forums. 2. Top management takes periodic feedback from HR head/functional heads about how training adds value to individuals and overall organization. 3. Top management allocates adequate budget to support all training activities. 4. They invest time and efforts in the development of the second line of management. 5. Leadership styles are perceived as being facilitative of learning. Check HOW TO AUDIT Interviews To HR Manager: 1. What is the top management attitude towards training? 2. Do they spare resources and provide support? To Line Managers/Functional Heads: 1. How do you think is the top management’s involvement with training activities? Documents/Secondary Data Any report or published material in this regard Questionnaire Data HRD audit questionnaire
Business Linkages of Training (5 Points) COMPONENTS and INDICATORS Training is in line with business requirements and ROI is measured (3 Points) 1. Training is linked to current business plans or future business plans or necessities 2. Cost control, technology up-gradation, or culture building 3. It is not a waste, and has some benefits commensurate with the investment. Periodic evaluations are conducted on effectiveness and ensure relevance HOW TO AUDIT Interviews To HR Manager: Is training in line with business requirements? To Line Managers/Functional Heads: Do you think training offered by HRD is in line with the business? Documents/Secondary Data Any report or published material in this regard Questionnaire Data HRD audit questionnaire
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COMPONENTS Training is perceived to have developed individual competencies as well as organizational capabilities (2 Points) INDICATORS 1. Develop individual competencies 2. Develop organizational competencies HOW TO AUDIT Interviews To HR Manager: 1. How do you think training helps to develop individual competencies? 2. How do you think training helps to develop organizational competencies? To Line Managers/Functional Heads: 1. How do you think training helps to develop individual competencies? 2. How do you think training helps to develop organizational competencies? Documents/Secondary Data Any report or published material in this regard Questionnaire Data HRD audit questionnaire
Organization Development Interventions OD Interventions Audit Dimension
Maximum Points
Carried out in a planned systematic manner
20
Using action research where necessary
10
Ensuring success of the OD intervention
15
Perceived visible benefits as a consequence of OD interventions
10
Competencies of people involved
15
Total
70 points
COMPONENTS Entry into the organization (2 points) 1. Establishing rapport between the external consultant and the organization: also helping the consultant in getting an understanding of the organization, and its concerns 2. Preliminary data collection 3. Interviews with top management and other key people 4. Study of the various processes in the organization 5. Study of documents and secondary data 6. Final presentation by the consultant to the top group on the OD approach works, preparing them for the process, clarifying any issues before the work is initiated, and eliciting their support for the same
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HOW TO AUDIT Interviews To HR Manager: 1. How systematically is the OD intervention planned? 2. What is the planning process like? (Interviews, study of various processes in the organization, study of documents and secondary data, etc.) To Line Managers/Functional Heads: 1. Are OD interventions planned by HRD? 2. What makes you think/say so? 3. Have you observed any consultants and top management involvement in the planning phase of the process? Documents/Secondary Data Any documents pertaining to the planning phase of the process Questionnaire Data HRD audit questionnaire
Carried Out in a Planned Systematic Manner (20 points) COMPONENTS Problem Identification phase (6 points) 1. Using various sources for collecting information (3 points) • Interviews with people across the organization in stages—starting from top management • Observations—general observations in the organization in terms of dynamics at play, working conditions, etc. • Other methods of data collection—survey feedback, analysis of secondary documents 2. Comprehensive diagnosis of the issue and causes (3 points) • Compilation of all the data collected • Detailed analysis with additional notes on the key problems being faced by the organization or probable causes for the issues which have already been recognized by the organization HOW TO AUDIT Interviews To HR Manager: 1. 2. 3. 4.
How do you go about in the problem identification phase? Elaborate. What variety of methods do you use? How do you diagnose the issue and its causes? What mechanisms are used for the same?
To Line Managers/Functional Heads: Have you observed HRD conducting interviews, surveys, etc., to throw light on issues of concern? Documents/Secondary Data Document on problem identification phase of the process Questionnaire Data HRD audit questionnaire
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COMPONENTS Strategy planning in a participative manner (7 points) 1. Sharing feedback of the diagnostic understanding with the key people (1 point) 2. Working out various options and alternatives for dealing with the problem, and the consequences of each of the alternatives (2 points) 3. Encouraging the team to take a decision on the alternative to be used (2 points) 4. Deciding a strategy for implementing the change required either using an in-house team or with the involvement of the external consultant (2 points) HOW TO AUDIT Interviews To HR Manager: 1. What is the strategy for moving ahead to the next phase? 2. Is the information (identified problem) discussed with key people in the organization? 3. Are different options or alternatives discussed? To Line Managers/Functional Heads: What is your opinion about the involvement of employees in deciding a methodology or plan of action for next steps? Documents/Secondary Data Decided strategy Questionnaire Data HRD audit questionnaire
COMPONENTS Planning the specific intervention (5 points) 1. 2. 3. 4.
Taking a decision on the intervention to be used (structural, cultural, etc.) Detailed plan on how to proceed Using a collaborative approach for implementation and review Data collection on outcomes and improvements, analysis, review of outcomes, and discussion on modifications to be made and future plan of action 5. Using temporary teams to continue the work 6. Planning the next phase to enhance the improvements HOW TO AUDIT Interviews To HR Manager: 1. How is the next course of action decided upon? 2. With whose consent and participation? 3. Is a detailed plan drawn and documented? To Line Managers/Functional Heads: 1. Are you aware of a detailed plan laid down for implementing OD interventions? 2. How is it drawn? Any participation from line managers, senior mangers, etc.?
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Documents/Secondary Data Detailed plan of action for implementing OD intervention Questionnaire Data HRD audit questionnaire
Using Action Research Where Necessary (10 points) COMPONENTS Using action research where necessary (10 points) 1. Using for improving various HR systems (5 points) 2. Using action research to review the OD interventions initiated in the organization (5 points) HOW TO AUDIT Interviews To HR Manager: 1. Is there a research orientation in the organization and especially among HRD members? 2. Is action research conducted to improve HRD systems? 3. Can you give a few illustrations? To Line Managers/Functional Heads: 1. Have you ever participated (maybe as a respondent) in any research work undertaken by HRD? 2. How has the experience been? 3. Do you think HRD is doing a good job with research work? How can it improve? Documents/Secondary Data Report on any action research conducted Questionnaire Data HRD audit questionnaire
Ensuring Success of the OD Intervention (15 points) COMPONENTS Ensuring success of the OD intervention (15 points) 1. Start with the needs most felt by the organization to ensure willingness to change (1 point) 2. Choosing receptive entry points (2 points) • At least one department in the organization is willing to experiment, and has the resources required to stabilize the change planned 3. Working with forces supportive of the change (2 points) • Focus on roles and departments enthusiastic or willing to change (Contd)
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(Contd) 4. Proliferate efforts towards changes (2 points) • Using autonomous units as model • Using multiple entry points to address inter-related issues • Achieve minimum critical concentration in any department to achieve success 5. Developing internal resources (4 points) • Choosing and defining the role of the internal OD facilitator and his/her team • Establishing linkage of the internal facilitator with external consultants • Reviewing the work of the internal facilitator • Continuous professional development of the internal facilitator 6. Getting top management commitment (4 points) HOW TO AUDIT Interviews To HR Manager: 1. How you ensure success of OD interventions? 2. What efforts do you invest in to develop internal resources? 3. How do you ensure maximum support from other departments and top management? To Line Managers/Functional Heads: 1. Do you think OD interventions (in the past) have been successful? 2. What makes you say this? 3. What factors do you think have contributed to the success of these interventions? Documents/ Secondary Data Any material in this regard Questionnaire Data HRD audit questionnaire
Perceived Visible Benefits as a Consequence of OD Interventions (10 Points) COMPONENTS Perceived visible benefits as a consequence of OD interventions (10 points) 1. Helps the organization’s problem-solving capability through confrontation and collaboration (3 points) 2. Promotes linkage between the individual goals and organizational goals, and also between different groups and functions in the organization (2 points) 3. Improved culture for learning and continuous improvement: (5 points) • Greater risk-taking capacity • Collaboration • Ambiguity tolerance • Openness
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HOW TO AUDIT Interviews To HR Manager: 1. What are the perceived visible benefits of OD interventions? 2. What effect have the interventions had on the culture of the organization? 3. What effect have the interventions had on the problem-solving capability of the organizational members? 4. What effects have the interventions had on the linkages between individual and organizational goals? To Line Managers/Functional Heads: 1. Do you think the OD interventions are useful? 2. In what way do they help the organization? 3. What are your subordinates’ perceptions about the same? Documents/Secondary Data Any survey conducted to understand the perceptions people have on the benefit of OD interventions to the organization Questionnaire Data HRD audit questionnaire
Competencies of People Involved (15 Points) COMPONENTS Involvement of an external specialist (5 points) 1. Imitated by an expert who has the knowledge of applied behavioral science, and also the skill of applying this knowledge in the organizational situation (3 points) 2. Initial stage external consultant involved to get an objective view of the organization, and confront issues which an internal person may not be able to do (2 points) HOW TO AUDIT Interviews To HR Manager: 1. Do you involve external consultants for OD interventions? 2. How do you assess the competencies of such consultants? 3. How involved are the external consultants in all phases of the process? To Line Managers/Functional Heads: 1. Do you observe any external consultants participating in the OD process? 2. What is your impression about them? Documents/Secondary Data Any report on external consultants’ involvement in the OD process Questionnaire Data HRD audit questionnaire
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COMPONENTS Strong internal resources to carry forward the work initiated by the external expert (5 points) 1. 2. 3. 4.
Knowledge of basic concepts of applied behavior sciences (1 point) Trained in methods used in OD (1 point) High level of diagnostic and problem-solving capability (1 point) Behavioral qualities such as creativity, perseverance, interpersonal sensitivity, communication skills, empathy, etc. (2 points) HOW TO AUDIT Interviews
To HR Manager: 1. What are the internal resources you have for OD? 2. What are the strengths of your employees useful for OD interventions, such as behavioral traits, problem solving capabilities, etc.? To Line Managers/Functional Heads: 1. Do HRD employees have the necessary skills and training in handling OD? 2. Are they competent enough? How can they improve? Documents/Secondary Data Any report on the internal resources of the organization useful for OD Questionnaire Data HRD audit questionnaire
COMPONENTS Supportive role of the top management (5 points) 1. 2. 3. 5. 6.
Efforts initiated from the top (1 point) Commits the necessary support and resources required (1 point) Takes the data seriously and supports the changes required (1 point) Facilitates change efforts by setting example (1 point) Serve as links between various functions and departments to facilitate the change through collaboration (1 point) HOW TO AUDIT Interviews
To HR Manager: 1. What support does the top management offer? 2. How do you maximize the top management support? 3. What more do you expect and how can you obtain it? To Line Managers/Functional Heads: 1. Does top management support in the OD process? 2. Do you think the top management is involved in the process?
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Documents/Secondary Data Any written material on top management involvement Questionnaire Data HRD audit questionnaire
Analysis of Secondary Data 1. Documents available from OD exercises done in the past (climate surveys, employee satisfaction surveys, etc.) Study: (i) Variety of interventions (ii) Methodologies used for data collection (iii) Depth of study and analysis (iv) Major findings (v) Action plans and implementation strategies (vi) How they are documented (vii) Who has access to the same (viii) People involved, and their role and responsibilities 2. Findings of the survey and action plans: (i) How have the findings been used? (ii) Are the action plans drafted with details about activities, people to be involved, time span, review mechanism, etc.? (iii) Are the outcomes documented? (iv) How are they communicated to other employees? 3. Communication and circulars related to past OD exercises
Checklists 1. Interview questions for HR managers (i) What are the various OD exercises undertaken in the past? What was the sequence of activities? What have been the results? What are the changes as a consequence of these interventions? (ii) Who were the external consultants involved in the efforts? (iii) To what extent are you or other internal facilitators trained/skilled in this area? (iv) What has been your role in various exercises? (v) What is the attitude of and support given by the top management for any OD interventions? (vi) To what extent are other line managers involved in the same? (vii) Is the data shared widely? (viii) What is the scope and priority for OD exercises? (ix) Have you identified any other focus areas for the future? (x) How successful do you feel the various OD interventions have been? What are the factors you attribute to the successes and failures?
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(xi) What have been the facilitating factors? (xii) What are main stumbling blocks encountered so far, and how do you plan to counter them? (xiii) How can OD efforts be further strengthened and improved in the organization? 2. Interview questions for line managers (i) What are various OD interventions undertaken in the organization? (ii) What has been your involvement in the same? (iii) Is the data widely shared with all employees? (iv) What is the attitude and role of the top management in this regard? What is the role of the HR department? (v) What are the improvements you have seen as a result of the OD interventions? (vi) What are the areas you perceive that need to be tackled using OD? (vii) What are the strengths, weaknesses, and suggestions for improvements with respect to OD in this organization?
Documents 1. Documents available from OD exercises done in the past (climate surveys, employee satisfaction surveys, etc.) 2. Findings of the survey and action plans 3. Communication and circulars related to past OD exercises
360 Degree Feedback and Leadership Development The System and its Coverage (10 points) 1. 360 degree feedback is used for leadership assessment, coaching, mentoring, and leadership development. (1 point) 2. The policies and objectives of 360 degree feedback are well laid out. (2 points) 3. Documentation covers objectives and purpose, methodology, the tool, assessors, criteria for selection, anonymity, confidentiality of data, use of data, role of coaches, role of consultants, etc. They are all explained well. (2 points) 4. It is communicated to all managers and employees concerned. (2 points) 5. It covers all supervisory employees who are likely to benefit from it—managers, supervisors, young managers, top management, good performers, and poor performers, etc., are all included. The tools are appropriately changed. (2 points) 6. Organizational values, culture, and norms are given adequate coverage. (1 point)
It is Well Structured and Methodology is Well Tested Before Stabilizing It (10 Points) 1. It is based on competency mapping and leadership models of the company. (2 points)
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2. The competency models were well researched and used for the company, and not merely borrowed from outside. (2 points) 3. 360 degree feedback tools are well developed and are relevant to the company. They are based on competency mapping or leadership development models of the organization. (2 points) 4. There is formal coaching (by outside or internal facilitators), and counseling as a part of 360 degree feedback. (2 points) 5. The users were well prepared when it was used for the first time. The feedback was given under guidance of trained 360 degree feedback specialists. (2 points)
Those Who Guide and Facilitate 360 DF are Competent and Credible Facilitators (5 points) 1. Facilitators of 360 degree feedback are trained, and have a good grounding in human behavior and psychology. (1 point) 2. Consultants have credibility. Consultants understand the psychology of the employees, and have a good rapport with them. (1 point) 3. There are trained internal coaches and facilitators in the organization. (1 point) 4. The limitations of the 360 DF and the subjective nature of it have been adequately explained by the facilitators, and have been internalized well by all participating employees. (2 points)
Process of Feedback and Management of Consequences of Feedback (20 points) 1. Managers are trained and well prepared through in-house workshops to receive feedback. (2 points) 2. They are coached individually after receiving feedback. (2 points) 3. Employees are required or encouraged to develop individual action plans on the basis of the feedback. (2 points) 4. They are encouraged to share the data and develop action plans. Action plans get developed after the 360 degree feedback. (1 point) 5. Employees and the management take 360 degree feedback seriously. (2 points) 6. Follow-up activities are conducted after 360 degree feedback. (2 points) 7. The training needs emerging out of 360 degree feedback are taken seriously and are used for development plans. (2 points) 8. Managers are made accountable to use the results of 360 degree feedback or at least for implementing their action plans. (2 points) 9. The top management treats poor performers or those getting negative or relatively poor feedback supportively, and invests in building them. (2 points) 10. 360 degree feedback is used as an empowering tool. (2 points) 11. The limitations of 360 degree feedback are well understood by the company. The facilitators have given sufficient education to employees receiving feedback. (1 point)
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Implementation and Use of Data and Integration into Other Systems (10 points) 1. 2. 3. 4. 5.
It is taken seriously. Assessors spend time and effort on their assessments. (2 points) Employees take it seriously, and use the data for development. (2 points) Managers share data with HRD and other colleagues, and make use of it. (2 points) It is not a one-time affair, and it is conducted periodically. (2 points) HR department and the top management use the data for organizational interventions like training, career planning, vision, and value clarification, etc. (2 points)
Impact of 360 Degree Feedback (15 points) 1. 2. 3. 4. 5. 6.
7. 8.
It has promoted transparency, initiative, proaction, and leadership competencies. (2 points) It has created more teamwork, and operational efficiency. (2 points) It resulted in change and impact on the organization. (2 points) It has created reflectiveness. It has helped people to become more open, transparent, interpersonally sensitive, and team players. (3 points) Empathy has gone up, and not defensiveness. (1 point) It has enhanced delegation, time management, internal customer orientation, team work, performance improvements, and has had some positive impact on the leadership competencies. (3 points) There have been no cases of negative impact of the 360 degree feedback. (1 point) There were no attempts made by senior managers attending the 360 degree feedback to identify those who have given them feedback, and show subsequent biases. (1 point)
Methodology Interviews and Questions to Ask? Facilitators and external coaches for the program
How did you conduct the program? What tool did you use? How did you develop the tool? What are your impressions of the seriousness of the organization? What are some of the experiences you had during the program? How did the participants respond to feedback, and particularly negative feedback to each other? What kind of action plans have they made? How do you design the feedback program?
Top management
What was your objective of having this program? How did you find the experience? What reports have you got about the success or failure of the program? What improvements have you made over a period of time? How do you wish to continue? How are you using the data and how do you plan to use them in future?
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Candidates who have recently participated in the 360 degree feedback
What was your experience? What do you think of the entire process? What do you think of the facilitators and the facilitation process? What do you think of the tools? What is you experience with the entire process? What have you got of this? What are your observations of those who benefited from it or not benefited from it? In what way has it helped you? What action plans have you made? What support have you got from your coach, HR, facilitators, and top management? What are your recommendations for the improvement of the process?
HR team facilitating the program
What are your experiences? How have you improved the process over a period of time? What are plans for the future in terms of continuing this or making this more robust and effective? How do you rate the top management, employee, and participant involvement?
In-house facilitators or coaches
What role did you play? What challenges did you face in facilitation? What changes need to be made to get the best out of these interventions? What action plans have the candidates made? What follow-up is being planned?
Some of the junior staff or direct reports of those who have gone through the feedback
How was it explained to you? What do you think are the real objectives? Do you think there is any hidden agenda of the top management? If yes, what are the perceptions? What gives you that feeling? How did you find the 360 degree feedback tools? What suggestions do you have to improve the process? Has anonymity been completely ensured? Have any managers tried to make guesses? Have you seen or heard of any negative impact, or not so desirable impact of the feedback? How did those candidates deal with the same? What suggestions do you make for the future?
Observation Observe the feedback program in progress and examine the way it is conducted, participant interest, nature of questions raised, design of the program, etc. Analysis of secondary data and records Get a sample of feedback reports Study the feedback program design Study and examine the tool for the relation with company competencies and leadership models Get some of the action plans, and examine them If the facilitators have given any benchmarking data or any organizational report, examine the same See if there is any follow-up study conducted, and check the results
166 HRD Score Card 2500
Questionnaire study Take the relevant portions from the HRD audit questionnaire, and use the data Develop a special questionnaire to evaluate the effectiveness of the 360 DF if only this system’s audit is being conducted
Master Table for Calculating Letter Grades or Maturity Levels from HRD Score Card Letter Grade
Maximum Points 1000
500
840
160
70
A*
901–1000
451–500
757–840
145–160
64–70
A
801–900
401–450
673–756
129–144
57–63
B*
701–800
351–400
589–672
113–128
50–56
B
601–700
301–350
505–588
97–112
43–49
C*
501–600
251–300
421–504
81–96
36–42
C
401–500
201–250
337–420
65–80
29–35
D*
301–400
151–200
253–336
49–64
22–28
D
201–300
101–150
169–252
33–48
15–21
F
101–200
51–100
85–168
17–32
8–14
F*
0–100
0–50
1–84
1–16
1–7
U
Ungraded
Letter Grade
10
20
40
60
100
200
340
A*
10
19–20
37–40
55–60
91–100
181–200
307–340
A
9
17–18
33–36
49–54
81–90
161–180
273–306
B*
8
15–16
29–32
43–48
71–80
141–160
239–272
B
7
13–14
25–31
37–42
61–70
121–140
205–238
C*
6
11–12
21–24
31–36
51–60
101–120
171–204
C
5
9–10
17–20
25–30
41–50
81–100
137–170
D*
4
7–8
13–16
19–24
31–40
61–80
103–136
D
3
5–6
9–12
13–18
21–30
41–60
69–102
F
2
3–4
5–8
7–12
11–20
21–40
35–68
F*
1
1–2
1–4
1–6
1–10
1–20
1–34
U
Maximum Points
Ungraded
Unit 4
HRD Competencies HRD competencies are traditionally seen only as competencies of HR staff. In our approach, we define HRD competencies as the competencies required by the main stakeholders of the organization that hold the key for making HR work. The most critical group that makes the HR work is the HR staff. These include all those who work in the HR department. The managerial staff that are responsible for designing, initiating, and implementing HR systems are critical. If they do not have a good knowledge base, HR is not going to work. In most Asian countries, the CEOs are still not well informed of the strategic role HR can play. As a result they may not even have employed the right people to be in HR departments. In addition, not many business schools or HR schools have done a proper job of preparing right professionals for HR jobs. Under these circumstances, it is extremely necessary to measure the current competency levels of HR staff. The HRD score card precisely tries to do the same and assigns a high value to the competencies of HR staff. The HRD score card recognizes that a competent HR manager can do a lot if he is supported by line managers and top management. The support is not merely in terms of resources, but more in terms of their own learning attitudes, empowering styles, and leadership. Recognizing this, the HRD score card identifies HRD competencies to include the learning attitudes of line managers, developmental and empowering styles of top management, and supportive role played by workmen or field staff, including their representatives. HRD competencies thus consist of the five categories: Competencies
Points
1. Level of competency of HRD staff and the department 2. Line managers’ attitudes to learn 3. Facilitating top management styles: developmental
200 100 100
4. Extent to which non-supervisory staff or workmen have positive attitudes to learn 5. Extent to which the HRD department has credibility, and a positive image
60
Total
40 500
168 HRD Score Card 2500
Competencies of the HRD Staff (Maximum 200 points) HR staff are the main facilitators of HR in an organization. They need to be capable of facilitating the HR function; they should have five critical qualities to make HR succeed and have an impact. These include: 1. Knowledge of the business in which they are facilitating HR and strategic thinking 2. Functional knowledge of HR including a vision and entrepreneurship to put the function in the driver’s seat 3. Leadership and change management qualities or personal qualities, and attitudes needed to initiate, facilitate change, and execute various HR interventions 4. Execution skills including personnel management knowledge and skills 5. Personal credibility and learning attitude These five categories are further split into 10 categories of competencies. Each has two competency dimensions. These are not pure variables, but a list of variables is included. For example, knowledge of business combined with strategic thinking makes the person a valuable organizational resource, and gives the competency needed to put HR in a leadership role. Functional knowledge combined with vision and entrepreneurship for the function gives the functional knowledge edge to the person. Leadership competencies include initiative, communication skills, etc., and technologysavvy attitude which again give the competitive edge required for the HR function to be world class. Personnel management skills needed for using HR is included for contextual reasons which cannot be ignored in developing countries. The basic knowledge base needed to administer HR as a legalistic function, human infrastructure management function or welfare functions, etc., are necessary in the Indian context, and is included as a part of the execution skills. Finally, personal credibility and learning attitude keep the HR professional at constant alert and improve the knowledge base, respectively.
Methods of Assessment These competencies can be measured in many ways. However, the following are the suggested methods of assessment of the 10 competencies for HR managers that were mentioned earlier. Knowledge of business and functional knowledge can be measured through biographic information, objective tests, and interviews. The rest of the competencies, including leadership and change management, execution skills, and personal credibility can be measured through interviews, psychometric tests, 360 assessments, and specially-designed assessment centers. If detailed biographic information is available for all the HR staff in the personnel records of the organization, the same may be used for assessing the functional knowledge and competencies. This assessment should be done for every employee in the HR department at executive levels. This is because all employees are expected to have the following competencies, though to varying degrees.
HRD Competencies 169
Competency 1. Business Knowledge:
Methodology of Assessment 1. Interview Method: Interview to ascertain knowledge of
Knowledge of business (products,
the company and business. Interviews to be conducted
services, customers, technology,
by panel of experts drawn from the line managers of
competitors, developments, research
the company or alternatively by external assessors after
and development) and all functions (sales and marketing, production and
learning details of the company, its business, etc. 2. Knowledge Test: Test of knowledge of the company
operations, finance, systems, MIS,
and its business. Test needs to be constructed. Should
logistics, services, etc.); knowledge of
test knowledge of the company its products, financials,
business capital (intellectual) and its constituents and methods of building business capital 2. Strategic Thinking: Analytical ability,
markets, services, structure, functions, etc. 3. 360 Assessment: This is to be filled by internal customers of the candidate 1. Interviews: To ascertain strategies introduced in the
cost and quality sensitivity, ability to
past, the way his mind works, awareness of the strategies
spot opportunities, anticipate and find
needed by the organization, ability to identify the ROI on
alternate ways of solving problems
various HR interventions, ability to see the implications of various HR decisions on the intellectual capital of the company, ability to identify the linkages between investments on employees and their output, creative thinking, and problem-solving abilities and attitudes 2. Assessment Centers: Specially designed exercises can give data on the strategic thinking ability of the candidate. Situational tests need to be constructed; 360 degree feedback should be used. Observation and historical data about the strategies introduced in the company by HR. Strategies of dealing with attrition, PMS, high fliers, Mergers & Acquistions (M&A); etc.
3. Functional Excellence:
Use HR knowledge test: Refer to relevant tools in Unit 7
HR knowledge and HR delivery
HR skills and delivery: Refer to relevant tools in Unit 7
including culture sensitivity, empathy,
Interview method
coaching, and facilitation
360 degree feedback Assessment and development centers Observation of actual implementation record and history Biographic analysis
4. Vision of the Functions and Entrepreneurship
Interviews: Ask questions about the vision for the department or function. Interview on the entrepreneurial thinking, and ways of viewing ROI on HRD interventions. Assessment Centers and Tests: Ask the candidate to prepare and make a presentation on the vision for the HR department. Give a case study and ask him to formulate vision 360 degree feedback. (Contd)
170 HRD Score Card 2500
(Contd) Competency
Methodology of Assessment
5. Leadership and Change Management: Communication, initiative, creativity and change management
Individual interviews with each manager to assess their skills, and experience in change management; extent of initiative 360 degree feedback Assessment centers using case studies, and simulation exercises to measure change management skills Creativity tests to measure creativity and creative problemsolving Case analysis and Leaderless Group Discussions (LGDs) to assess communication skills—written and oral, and tests on change management skills
6. Technology-savvy: including HR technology and research methods
Interviews to ascertain the familiarity with the use of IT for HR, knowledge of HR and Human Resources information System (HRIS), SAP and Enterprise Resource Planning (ERP) solutions, e-learning, and other applications for strategic placement of HR; awareness of current practices Assessment Centers: use tests, and simulation exercises to test how savvy the technology is; 360 degree feedback
7. Personnel Management and Administrative Skill
Knowledge tests to test knowledge of basic personnel management theory and practices, focusing on labor laws and other statutory requirements Assessment centers to assess knowledge and skills Interviews to ascertain the knowledge base
8. Execution Skills: Planning and monitoring skills, cultural sensitivity, persuasive skills, behavior modification techniques and group dynamics, ability to craft interventions for implementation, cost and quality sensitivity
Interviews for assessment of the professional preparation to plan, and manage any system; experience in planning, and managing any system, etc. Assessment centers using simulation exercises, in-baskets, and other methods to ascertain execution skills Attitude and personality inventories to assess cultural sensitivity and familiarity with group dynamics, etc. 360 degree feedback
9. Learning Attitude and Selfmanagement: Self-awareness and desire to learn, time management, networking, research,and analytical skills
Interviews to ascertain methods of learning and selfrenewal; biographic information to ascertain membership of professional bodies, programs attended, pattern of learning, etc.; interviews to ascertain learning aptitude, and selfrenewal efforts Assessment center Psychometric tests on learning styles, networking skills, research, and analytical skills Emotional intelligence scale, and other such psychometric tools
10. Personal Credibility
360 degree feedback Interviews with line managers and internal customers Visibility, credibility, inventory, and such other tests to be administered to internal customers
HRD Competencies 171
Business Knowledge (Take into Account Michigan Studies1) Knowledge of business (products, services, customers, technology, competitors, developments, research and development), and all functions (sales and marketing, production and operations, finance, systems, MIS, logistics, services, etc.), knowledge of business capital (intellectual) and its constituents, and methods of building business capital
1
Rating
Indicators
19–20 (10)
1. Knows all about business, competitors, products and services, demand for the products and services, market share of the company, raw material and supply systems, share value and pricing information, competitors and likely competitors familiar with financial parameters of business Knows about the vision, mission, and values of the company Knows about the nature of work, familiar with the technology used Knows technical details to some extent; can converse with a customer Knows and appreciates all functions in the company Familiar with balance sheet figures, sources of profit, and informed about valueadding activities of the company. Also knows about the intellectual capital of the company and the portion of fixed assets to the market value of the company, etc. 2. Has worldwide knowledge 3. All HR staff have thorough knowledge about these matters, and are constantly updating themselves with the changing scenario and information
16–18 (8–9)
80 per cent HR staff have all the knowledge mentioned earlier Or all HR staff have knowledge on 80 per cent of the matters listed in points 1 and 2 listed earlier. Some effort is also made to keep them posted with changes in business.
11–15 (6–7)
Only 60–70 per cent have full knowledge of the company or almost all HR staff have 60–70 per cent of the knowledge listed in points 1 and 2
6–10 (4–5)
Only 40–50 per cent have full knowledge of the company or almost all HR staff have 40–50 per cent of the knowledge listed in points 1 and 2. Some of the staff in HR (40–50 per cent) keep themselves updated with business changes.
3–5 (2–3)
Only 20–30 per cent have full knowledge of the company or almost all HR staff have 20–30 per cent of the knowledge listed in points 1 and 2.
0–2 (0–1)
Only one or two top-level persons in HR have full knowledge of the company or most staff have very limited knowledge of what is listed in points 1 and 2.
Remarks
Internal customer views could be taken, and this assessment could be made using a questionnaire. A cross-section of managers from various departments needs to give inputs on this matter. Simple tests can be conducted to measure this objectively.
Points
In the 2002 Human Resource Competency Study conducted by the University of Michigan (Brockbank and Ulrich 2002), five major categories or domains of HR competencies emerged from HR professionals in highperforming firms: strategic contribution (manage culture, facilitate “fast change”, be involved in strategic decision-making, and create “market-driven connectivity”), personal credibility, HR delivery, and business knowledge.
172 HRD Score Card 2500
Functional Excellence HR knowledge and HR delivery including culture sensitivity, empathy, coaching, and facilitation. Rating 19–20
Indicators 1. All HR staff are highly-trained professionals in their field. They have had the required professional preparation. They are familiar with the theory and practice behind HR, specially in terms of various systems and practices in relation to manpower planning, recruitment, testing, induction, integration and assimilation, retention research and strategies, PMS, potential appraisal, ADCs, retirements management, training, e-learning, HRIS, SAP and ERP applications, implementation issues, employee engagement surveys, organizational structuring, issues and cultural problems, cautions in mergers and acquisitions, etc. 2. HR staff are culturally sensitive. All staff concerned with overseas operations are familiar with the cultures where the company has its business (for example, China, US and UK, African countries, Indonesia, etc.). All HR staff make efforts to learn about the cultures where the business operates or plans to operate. 3. All HR staff show a high degree of interpersonal sensitivity and empathy to the employees. They are used to resolve conflicts and sort out problems. 4. HR staff have coaching and facilitation skills. 5. HR staff are good at execution and HR delivery.
16–18
About 70–80 per cent of HR staff are professionally trained, and have all the competencies mentioned points 1–5. A few of the staff do not yet have professional competencies, and they are being encouraged to acquire the same. A few of the staff still do not have all the functional knowledge and skills.
11–15
About 50–60 per cent of the HR staff can be said to possess the knowledge, attitudes, and skills in points 1–5. Most of the staff have about 50–60 per cent of the knowledge, attitudes, and skills mentioned in points 1–5.
6–10
Only about 30–40 per cent of the HR staff have the knowledge, skills, and attitudes mentioned in 1–5. Most of them are yet to acquire the same. A few of the HR staff may have most of the qualities and knowledge mentioned.
3–5
The professional preparation of most HR staff is weak in terms of what is stated in point 1. Hardly 20 per cent or two out of 10 have all the KSAs mentioned in points 1–5. Many staff need to develop themselves in terms of the attitudes, skills, and other competencies mentioned in points 1–5.
0–2
The HR staff are weak in terms of their professional preparation. There are one or two exceptional staff in the HR, but almost all of them need to be trained on almost all the KSA areas outlined.
Remarks
Use knowledge and attitude tests for ascertaining this. ADCs are helpful. Use the professional preparation of HR manager questionnaire to get further inputs on this. Use biographic information to come to the conclusions on HR knowledge and delivery.
Points
HRD Competencies 173
Leadership and Change Management Communication, initiative, creativity, and change management Rating
Indicators
19–20
1. All HR staff have excellent written communication skills. 2. They are also good communicators orally, and negotiators and presenters. 3. All HR staff have participated in change management earlier successfully, and have the required skills to introduce and manage change. 4. Almost all HR staff are known to be great initiative takers, and have put the HR of the company on the national or international map. They participate in dissemination of HR practices and get ideas from their participation. 5. The HR staff are known to be very creative. 6. The HR staff at all levels in this company are encouraged to take part in change, participate in local initiatives, community work, innovations, global and local seminars, and lead discussions. The top-level HR leaders encourage juniors to take lead roles, and build their competencies. They also contribute to brand building and intellectual capital formation of the company.
16–18
About 70–80 per cent or eight out of 10 of the HR staff exhibit almost all the qualities and skills mentioned under points 1–6. All HR staff have at least five of the six competencies highlighted.
11–15
About 50–60 per cent of the HR staff or six out of 10, at best, have all the competencies mentioned. Almost all HR staff have at least four of the six competencies mentioned.
6–10
About 30–40 per cent of the HR staff or three to four out of 10, at best, have all or most of the competencies mentioned above. Most HR staff have at least three of the six competencies mentioned in points 1–6.
3–5
About 20 per cent of the HR staff or two out of 10 at best have all or most of the competencies mentioned above. Almost all HR staff have at least two of the six competencies mentioned in points 1–6. The HR team has a long way to go in acquiring the competencies.
0–2
Only the top-level HR can be considered as leaders. None of the others have the competencies listed. Even the top level needs to develop most of the skills (assign zero in this case).
Remarks
360 degree feedback is a good tool. Internal customer assessment and assessment by CEOs and other line managers can provide insights into this area. Interviews and ADCs also help.
Points
Strategic Thinking Rating
Indicators
19–20
HR staff participates in making HR strategies. They initiate and give a lot of strategic inputs to the top. The top depends on the HR staff for strategic inputs. HR staff are conversant with business strategies, and participate in the same. There are several occasions in the past when the HR staff have given new directions to business. All business decisions are taken with HR in consultation. Almost all HR staff can think strategically. They are highly aligned to business and formulate recruitment, placement, manpower utilization, compensation strategies, etc.
Points
(Contd)
174 HRD Score Card 2500
(Contd) Rating
Indicators
Points
HR staff are competent and contribute to quality, product improvements, servicelevel agreements, ISO, IT, etc. Strategic decisions are taken in consultation with the HR staff. HR also plays an active role restructuring and implementing mergers and acquisitions. 16–18
80 per cent of the HR staff contribute in some form or the other to strategic decisions of the company. They are business-savvy and are strategic thinkers. They are professionally trained, qualified, and business-aligned persons. Most HR interventions are aligned here to business strategies. HR strategies lead and are highly aligned with business strategies. HR also plays an active role restructuring and implementing mergers and acquisitions.
11–15
About 60 per cent of the HR staff contribute in some form or the other to strategic decisions of the company. They are business-savvy and are strategic thinkers. They are professionally trained, qualified, and business-aligned persons. Most HR interventions are aligned here to business strategies, or most of the time the HR staff are consulted for strategic inputs. They always have something to contribute. The top-level HR staff contribute to strategic decisions and thinking. Some of the HR structures are well aligned with the business strategies.
6–10
About 40 per cent or four out of 10 of the HR staff contribute in some form or the other to strategic decision of the company. They are business-savvy and are strategic thinkers. They are professionally trained, qualified, and business-aligned persons. Some of the HR interventions are aligned here to business strategies. The top-level HR staff contribute to strategic decisions and thinking.
3–5
Only a few of the HR staff (around 20 per cent at best) are strategic thinkers. Most often, HR is not used in strategic decisions. They sometimes are the last to know. Most staff lack professional preparation, and are system specialists more than strategic thinkers.
0–2
There is hardly any strategic thinking competence among the HR staff or department. They are more routine operators and are used for day-to-day operations than for strategic thinking. They also lack experience and professional preparation to be strategic thinkers.
Remarks
Interviews with top-level managers and the HR leaders will give insights into this aspect. Papers presented by them, roles played by them in task forces, Cross Functional Teams (CFTs), etc., are also indicative of their competence.
Personal Credibility Rating
Indicators
19–20
All HR employees are known to honor their promises. They are trusted by the employees and are treated with respect. HR employees and their department are highly respected. Line managers willingly give time to HR as and when HR approaches them. Whatever HR staff say is treated with trust and credibility. HR staff are considered to be transparent and honest.
16–18
Most (80 per cent) HR staff are credible and are fully trusted. There may be one or two out of 10 who have credibility issues. Transparency, honesty, and credibility are placed as highly-valued qualities among the HR.
Points
HRD Competencies 175
11–15
Many (60 per cent) of HR staff enjoy the status as fully trusted, transparent, and credible employees. Others (four out of 10) need to work on their credibility. There have been some rare instances where credibility gap has been created in the past by some of the employees or some actions taken or not taken by the HR department.
6–10
Some of the HR staff do not enjoy full credibility with the line managers. They need to work on their credibility and transparency. There have been some instances where credibility gap has been created in the past by some of the employees or some actions taken or not taken by the HR department.
3–5
There have been instances where credibility gap has been created in the past by some of the employees or some actions taken or not taken by the HR department.
0–2
The HR department does not have credibility. They constantly need the support of the top management, and its intervention in most initiatives. Often their intentions are questioned by line managers.
Remarks
360 degree feedback reports and questionnaire studies on the credibility are good tools for assessment.
Technology-savvy HR technology and research methods Rating
Indicators
19–20
1. All HR staff are technology-savvy. They use IT, and are conversant with the same. 2. They also try to learn the technical matters of the company. They have used HRIS for employee benefits. 3. A lot of IT is used by the HR staff in recruitment, placements, psychometric testing, performance appraisals, 360 degree feedback, e-learning, communications, web management, dissemination of knowledge, studies and surveys, promotions, circulars, guidelines and manuals, routine personnel administration, records maintenance, etc. 4. They strongly promote IT. It is used to do a lot of human process research and secondary data analysis and is used for strategic decisions.
16–18
80 per cent of the staff are technology-savvy as indicated in points 1, 2, and 3. However, the staff are weak in point 4 where technology can be used for analysis of various forms of human resources research. IT is used for most applications mentioned in point 3.
11–15
60 per cent of the staff are not IT-savvy as defined in points 1–4. However, if the HR staff is using IT for research, then shift the marks to above category. IT is used for some of the applications mentioned in point 3.
6–10
Only about 4 out of 10 are IT-savvy as defined in points 1–4. However, if they are strong in 4 (even if a few are using IT for research), shift to above category for assigning points.
3–5
Very few are IT-savvy. Most staff need to be trained. IT is hardly used for applications by the staff here. Out of the several applications mentioned in point 3, it is hardly used for two to three applications.
0–2
The HR is not IT-savvy. They have not used it in any significant way. They are just familiar with the basics and have a long way to go.
Remarks
Can be assessed by observation and interviews with the HR staff. Examine the IT systems and their use for HRIS, training needs identification data management, etc. Interview to ascertain the IT competencies. Give advantage to higher-level applications like using it for research and going beyond the use of programs supplied by SAP, ERP, and other agencies.
Points
176 HRD Score Card 2500
Personnel Management and Administrative Skill Rating
Indicators
19–20
All executives are trained in personnel management and are proficient in the same. They have knowledge of labor laws, discipline procedures, recruitment, industrial relations, health, safety and environment, salary administration and compensation management, logistics and infrastructure management, etc. They are experienced and skilled personnel management experts. They are able to manage employee relations and welfare activities extraordinarily well. The personnel policies and the administrative support provided by the respective staff keeps the organization running smoothly and keeps employees motivated. At any given point of time, they have the capacity to handle administrative matters. These executives release the time of other HR staff and protect them from spending their time on routine HR issues. There is good internal coordination and understanding among the staff to enable the personnel specialists to do their specialist work and spare the other staff for strategic roles and tasks. There are many leaders and specialists in personnel management (PM), and administration in this organization. Employees are satisfied with the level, speed, quality, and competency with which services are provided for them by the trained HR staff.
16–18
The HR team possesses good personnel management knowledge and administration skills. There is good enough knowledge on the statutory HR requirements and laws present in the HR staff. There are enough staff to handle these issues and help the rest of the staff focus their attention on the critical competency-building matters. They are competent in handling the routine, and critical and statutory issues. There are at least a few leaders in PM and administration in this organization.
11–15
The HR staff have adequate personnel management knowledge and administrative skills to keep the organization run smoothly. The personnel management and administrative practices are being undertaken at a very satisfactory level.
6–10
There is reasonably adequate knowledge and skills to take care of the statutory obligations in PM. The skills base is manageable, though not remarkable.
3–5
A few of them have some knowledge and administrative skills in PM. The organization may need to have more skilled staff to handle this aspect and save productive time of other HR staff.
0–2
The PM and administrative skills are not present in any of the HR executives. The organization has to depend on external sources for such skill, especially on legal matters, health, safety, environment, and other IR-related matters. Often there are delays and resulting dissatisfaction and problems due to low level of skill base on this issue.
Remarks
Unlike the other skills, this skill need not be present in all. It should be there in some of the members, and should be in-depth and of quality expertise. It should protect and help other staff to play strategic roles. This can be assessed through interviews with the top management, HR head, and HODs. 360 degree feedback questionnaires are additional sources of assessment.
Points
HRD Competencies 177
Vision of the Function and Entrepreneurship Rating 19–20
Indicators
Points
The HR department is vision-driven. It has a well-articulated and forward-looking vision, mission, and values. The vision is shared by all, and all staff are very proud about their function, and are aware and very passionate about their work. The HR staff also think entrepreneurially. They are business-driven, costconscious, and opportunity-seeking. The HR staff do not have narrow functional identities and when required, they can rise up to the occasion, and work for the organization than merely for their function. The HR staff have a high sense of priority, and are aware of doing right things and doing things right. The HR staff are creative, innovative, risk-taking, and look for the best and next practices.
16–18
About 80 per cent of the HR staff share the qualities mentioned: vision, passion, values, creativity, innovation, entrepreneurship, opportunity seeking, etc. They have these qualities to a great extent.
11–15
About 60 per cent of the staff seem to have such qualities mentioned indepth. They are quite skillful in showing these qualities and deriving benefits to the organization. Only a few of them, four out of 10, may be weak in these qualities and skills.
6–10
About 40 per cent HR staff seem to have such qualities. These qualities are present in most of them to an average level and not to an extraordinary level or only some of the mentioned qualities are present in most of the HR staff. Only a select few seem to have the qualities in depth, and put them to use very passionately. Others need to develop them further.
3–5
A select few individuals seem to show vision and values, and entrepreneurial tendencies. Most staff do not show any such qualities. It is limited to about two out of 10 or even less.
0–2
There is lack of vision and entrepreneurship. It may be shown occasionally for satisfying the top management. It is not institutionalized and also not shared by most staff. It is at a very low level at present.
Remarks
Measured through interviews and individual presentations about the vision, values and perceptions of the department. 360 degree tools are useful.
Learning Attitude and Self-management Self-awareness and desire to learn, time management, networking, and research and analytical skills
178 HRD Score Card 2500
Rating
Indicators
19–20
1. All HR staff show a very high degree of commitment to self-learning and professional development. 2. All HR staff are members of professional associations and bodies, and take active part in their conferences and seminars locally, nationally or internationally. The HR staff are well networked. 3. Each HR executive is known to spend at least a week or equivalent in a year (or about 50 hours a year) for self-renewal and professional development through seminars, courses, field trips, benchmarking trips, and other forms of professional development. 4. The HR staff subscribe to professional journals and magazines from India and abroad. Professional discussions and presentations, and experience-sharing exercises are undertaken regularly and systematically in their organization by each and every HR staff. 5. Each HR staff member is conscious of his/her time and others’ time. They are aware of the value of time and talent, and use their time to do right things, and help others to identify priorities and do things right. 6. The HR staff periodically undertake research to diagnose the state of people and their mental health, knowledge acquisition, stress levels, motivation, problems, etc., and suggest solutions to enhance efficiency and effective utilization of people, and their competencies. 7. Each and every HR staff practices a number of things they expect the line managers to follow, and sets examples for others (setting KRAs on time, completing appraisals on time, identifying training needs, etc.)
16–18
A large number of HR staff possess and carry out almost all these mentioned activities, and possess the skills mentioned. There is some minor scope for improvements. If points 6 and 7 are weak, the points should be less than 15, even if 80 per cent HR staff have all the other skills.
11–15
About 60 per cent of the HR staff fall into the descriptions presented in points 1–7. If points 6 and 7 are weak for most employees, the points should be less than 10, even if 60 per cent HR staff have all the other skills.
6–10
About 40 per cent of HR staff seem to exhibit most of the indicators mentioned in points 1–7. They are carried out with reasonable proficiency. They seem to use their time and talent appropriately at least to a satisfactory level.
3–5
Very few HR staff have most of the competencies as mentioned in 1–6. It may be less than 20 per cent or two out of 10 who may possess most of these mentioned competencies or indicators. The learning attitude and practice are rather limited in this company, and needs to be strengthened. Only a few of them seem to use their time and talent appropriately.
0–2
There is no learning and self-renewal attitude present in the HR staff. It is very weak, and needs to be inculcated. They spend very little time and effort for professional development, self-renewal, networking, and the like. Most of them may not even be using their time and talent appropriately.
Remarks
These can be assessed through interviews and observation of the output of each of the HR staff.
Points
HRD Competencies 179
Execution Skills Planning and monitoring skills, cultural sensitivity, persuasive skills, behavior modification techniques, and group dynamics, ability to craft interventions for implementation, and cost and quality sensitivity. Rating 19–20
Indicators 1. All HR staff are extremely good at execution. The HR function is known for its execution efficiency. This is a clear strength of this department and the staff. All HR staff possess the following skills to a remarkably high degree: planning and monitoring skills, cultural sensitivity, knowledge of change, behavior modification interventions in people, knowledge of groups, team functioning and group dynamics, ability to craft interventions to suit the organizational needs, cost sensitivity, and quality and service orientation. 2. All staff have been involved in the past in change management and operationalization of systems, and other practices or interventions. They have carried out these interventions with great success, and have added to their experience and skills base.
16–18
A majority or about 80 per cent of the HR staff have execution skills like those mentioned in points 1 and 2. They have the skills base as well as experience of implementation. They are particularly good at planning and monitoring, and carrying the employees with them.
11–15
About 60 per cent of the staff have execution skills mentioned in points 1 and 2. They have a good degree of skills base in terms of the skills listed. They can be counted on to plan, implement, and execute systems well, and ensure success. However, some more need to be developed.
6–10
Only some members (about 40 per cent) of the HR department seem to have adequate execution skills as mentioned. Overall, they are average or slightly below average in execution. A lot more is desired to be developed.
3–5
Only a select few staff in HR have the skills base needed for execution and effective implementation of systems and other interventions. Very few of them have had any significant experience or skills base in execution. At best 20 per cent of the staff may have some execution skills like those mentioned in points 1 and 2.
0–2
The HR department and almost all HR staff barring one or two lack execution skills. They have not been able to plan, monitor, and implement any systems satisfactorily in the recent past. They need to develop this skill.
Remarks
These can be assessed through interviews with the HR staff as well as the line managers. Examination of the systems implemented in the past also gives insights for assessment.
Points
180 HRD Score Card 2500
Learning Attitude of Line Managers (Maximum 100 points) Dimension of Learning
Methodology of Assessment
1. Performance Planning and Review Discussions
1. Interviews (sample to be asked of line managers): What have you learnt from your appraisal discussion in the last one year? How did the last PMS help improve your performance? What have you learnt from your seniors on the basis of your PMS? What have you learnt from your juniors on the basis of your PMS? 2. Observation: Ascertain if the performance analysis is used by any departments to identify bottlenecks or problems and issues, and whether attempts are made to improve. 3. Secondary Data: Check if any data are available on the basis of PMS, indicative of using the PMS as a learning tool. Surveys conducted, meetings held, etc. 4. Questionnaire: Can be constructed and used for all line managers on the extent to which PMS is used as a learning tool.
2. Departmental Meetings, In-house Communications
1. Observation: Observe a sample of meetings in action. Observe how well they are used as learning sources. Are they used to pass on information? Are they used to learn from each other? 2. Interviews: Interview HODs on the departmental meetings, and what have they learnt from these meetings in the last few months. 3. Questionnaire: This method is administered for all line managers.
3. Reading Books
1. Interviews: With line managers to ascertain their reading habits, and the encouragement by the company for reading, facilities provided, etc. Interview the library staff to ascertain the same. 2. Questionnaire: Common questionnaire to measure this source. 3. Secondary Data Analysis: Polices of the organization to encourage purchase of books, data from finance department to examine the expenditure on books and periodicals, library budget, etc. 4. Observation: Of the library and other reading facilities, and their use by the line managers. Number of visitors to the library, borrowing pattern, kind of books borrowed, etc.
4. Internet
1. Observation: Accessibility of Internet and how it is being used by line managers. Check if all are provided access in their rooms or outside or if it is restricted. Do all people have access? Has the organization promoted the same? For IT professionals, examine the restrictions placed and facilities offered. 2. Interviews: To ascertain how widespread is the Internet and how in-depth is the use. What is the organizational policy on the Internet? Is there time provided for using the same as a policy at least for critical departments like the R&D, IE, finance, HR, library, etc.? 3. Questionnaire: Standard questionnaire covering all line managers.
5. Project Reports including Consultancy Reports, Diagnostic Studies
1. Observation: Are there reports available in the library or in the department for use? 2. Secondary Data: Are learning room reports, studies, etc., encouraged by the company? Are the reports widely shared? Is there a policy? How many reports have been shared? 3. Questionnaire: For line managers, ascertaining how much this is encouraged and used. If the company has no scope to undertake such studies, do not score this.
HRD Competencies 181
6. Outside Visitors and Others
1. Observation: Observe how the auditor’s visit has been used by the company. Observe how other visitors are being handled. Are concerned people informed? Are there get-togethers and parties to learn? Are there meetings specially designed to learn from the visitors? Luncheon meetings, specially arranged seminars, etc.? Indicate this habit of learning from visitors. Observe if this has become a habit. 2. Interviews: With line managers to ascertain how visitors are being handled. How much have they learned from the visitors? 3. Secondary Data: Notice boards, files of circulars, PRO-supplied data on the visitors, training center data on visitors, etc.
7. Each Other through Presentations, Discussions, Meetings etc.
1. Interviews: Ask line managers about the learning culture prevailing in the organization. How much has the line manager learnt from his colleagues in the recent past? 2. Observation: Open space meetings, meeting opportunties provided including committee rooms, seminars, coffee breaks, etc.
8. Newspapers and Magazines of Business
1. Observation: Library reading room, tables of line managers to check access to newspapers and magazines, and reception and entrance. 2. Interviews: Ask questions on subscription to newspapers and magazines, interview on the type of items read and noticed by the line manager, check on the knowledge obtained through newspapers like Economic Times, Financial Express, Business Today, Business World, Business India, Smart Manager, Business Barons, etc. Interview the library staff to ascertain the same. 3. Questionnaire: Standard questionnaire.
9. Functional Journals and Other Literature
1. Observation: Library reading room, tables of line managers to check access to professional journals and magazines, existence of forums (marketing, PR, etc.) and what they circulate, etc. Observe journals in the rooms of senior managers, and the borrowing pattern or reading and discussion culture if any. 2. Interviews: Ask questions on subscription to professional journals and magazines, interview on the type of journals read and noticed by the line manager, check on the knowledge obtained through the journals, and what is done to use the knowledge. Interview the library staff to ascertain the same. 3. Questionnaire: Standard questionnaire. 4. Secondary Data: On the expenditure claimed or allocated for professional journals and development activities by the company. Library data on the amount spent or amount allocated for journals and professional literature.
10. Training Programs: Inhouse Programs and Seminars
1. Secondary Data: Take from training audit; training records. Implementation seminars; training follow-up records if any maintained by HR; training implementation reports of any line managers attending programs. 2. Observation: Observe the seminars or training programs in action. 3. Interviews: Interview the current trainees including GETs, new entrants, those who just completed the training program, etc. Interview line managers to ascertain the nature of in-house programs offered to ascertain the extent to which they are useful, implementation support, etc. 4. Questionnaire: Standard questionnaire. (Contd)
182 HRD Score Card 2500
(Contd) Dimension of Learning
Methodology of Assessment
11. Training Programs: Outside Programs
1. Secondary Data: Take from training audit; training records; implementation seminars; training follow-up records if any maintained by HR; training implementation reports of any line managers attending programs. 2. Observation: Observe the seminars or training programs in action. 3. Interviews: Interview the current trainees including GETs, new entrants, those who just completed the training program, etc. Interview line managers to ascertain the nature of in-house programs offered to ascertain the extent to which they are useful, implementation support, etc. 4. Questionnaire: Standard questionnaire.
12. Seniors and Mentors from Inside the Company or Outside
1. Secondary Data: Is there a mentoring program available? What time commitments have been made? Observe any sessions between the mentors and their subjects if available. Analyze the circulars and other data on the mentoring and coaching, and any other interventions. 2. Interviews: Interview some of the newcomers who have been assigned mentors, interview some of the mentors on how the program is going, what concrete benefits they have observed, etc. 3. Observation: Observe if any mentoring or coaching sessions are going on to see how well they are taken and used. 4. Questionnaire: Standard questionnaire.
13. Mistakes
1. Interviews: Interview line managers to ascertain how mistakes are treated and seek illustrations of what has been learnt from mistakes and how the learning has been disseminated. 2. Secondary Data: Any circulars, case studies, and internal noting or communications on learning from mistakes, mistakes made, and lessons learnt.
14. Other Sources
Look for other sources of learning if any used by the organization which is unique for the company or the company’s own innovation. Look for variety in learning resources used by line managers.
Methods of Assessment The assessment has to be done for line managers using the following scale: 5 = All line mangers use this source very well and effectively and it is widespread. 4 = Most line managers use this source most of the time or quite effectively. 3 = Some of the line managers use this source sometimes and somewhat effectively. 2 = Some line managers may use this source occasionally or once in a while, and reasonably effectively. 1 = Line managers do not use this source that effectively. Very rare. 0 = This is non-existent as a source of learning, and is entirely left for individual initiative.
HRD Competencies 183
The indicators of the competencies are given in the following table:
Sources of Learning Source of Learning
Effectiveness with which this source is used and how widespread the use of this source of learning is among the line managers
5 Performance Management particularly Performance Planning and Review Discussions Departmental Meetings, In-house Communications Reading Books Internet Project Reports including Consultancy Reports, and Diagnostic Studies Outside Visitors and Others Each Other through Presentations, Discussions, Meetings, etc. Newspapers and Magazines of Business Functional Journals and Other Literature Training Programs: In-house Programs and Seminars Training Programs: Outside Programs Seniors and Mentors from Inside the Company or Outside Mistakes Other Sources
4
3
2
1
0
184 HRD Score Card 2500
Performance Management, Particularly Performance Planning and Review Discussions (10 Points) Rating
Indicators of how effectively performance management, particularly performance planning and review discussions are used as sources of learning
10
PMS is used as a source of learning. Seniors spend adequate time. PMS is used to learn about oneself and one’s potential. Problems of juniors and problems of people down the line, bottlenecks, environment, about customers, competitors, field realities, opportunities, etc. It promotes a lot of upward communication and the learning part of PMS is emphasized and driven down the line. Most managers look forward to PMS and try using it as aforementioned. Lessons from PMS are discussed and spread to each other. Seniors get to know a lot about field realities from their juniors through review sessions. KPAs and KRAs are used as benchmarks and communication mechanisms. The use of PMS as a source of learning is widespread and almost everyone without exception uses it as a source of learning. Almost every one uses this as a source of learning. If someone has not benefited to learn from PMS it will be more an exception.
8–9
Most line managers (around 80–90 per cent) use this as a source of learning. A few departments may not take this seriously. Generally, managers look forward to PMS to learn about themselves. PMS is used in a good way to learn about the employee performance, about customers, field realities, problems to be solved, accomplishments of the juniors, competitors, markets, product performance, etc. Juniors learn from seniors and vice versa.
6–7
PMS is used in a limited way as source of learning about the employee performance much more than about customers, field realities, problems to be solved, accomplishments of the juniors, competitors, etc. At least 60–70 per cent managers use this as a source of learning.
4–5
PMS is used in a limited way as a source of learning about the employee performance than about customers, field realities, problems to be solved, accomplishments of the juniors, competitors, etc. A few departments seem to promote this as a source of learning. Not all share this view widely. There is good evidence that a few managers use this effectively as a source of learning. About 40–50 per cent line managers may be using this as a source of learning.
2–3
PMS is used as a source of learning in a very limited way by a few line managers (about 20–30 per cent). Enough has not been done by the organization to promote the same as a source of learning. Learning through PMS happens at a voluntary level by a few interested line managers.
0–1
PMS is not used as a source of learning. It is not envisaged to be a source of learning. It is also not projected as a learning tool. Performance plans are not shared. KPAs and KRAs are not discussed for benchmarking and time management
Final Score Out of 10
HRD Competencies 185
Departmental Meetings and In-house Communications (10 Points) Rating
10
Indicators of the extent to which departmental meetings and in-house
Final Score
communications are used as sources of learning
10 points
Departmental meetings are used as sources of learning by managers. Daily meetings, weekly meetings, and monthly or annual meetings are informative, and the HODs make it a point to pass on useful information to employees.
Employees discuss issues threadbare and learn from each other and about each other’s point of view.
Decisions taken are based on the wisdom generated through such meetings.
All departments without exception use meetings as communication and learning points. Managers seem to also use the meetings to send upward and downward communications.
Internal circulars are informative and people look forward to the same. They read and assimilate the information.
8–9
Almost all departments are learning-oriented in their meetings. The outlook of using departmental meetings and in-house communications as sources of learning exists in almost 80–90 per cent of the departments.
Internal communications, newsletters, magazines, notices, circulars, etc., are mostly seen as learning points.
6–7
Many departments (about 60–70 per cent) are learning-oriented in their meetings. The above outlook of using departmental meetings and inhouse communications as sources of learning exists in them.
Internal communications, newsletters, magazines, notices, circulars, etc., are sometimes seen as learning points.
4–5
Only about 50 per cent of the departments seem to use their meetings effectively as a source of learning. Some (50 per cent) managers consider departmental meetings as a waste of time.
Internal communications, newsletters, magazines, notices, circulars, etc., are not always seen as learning points.
2–3
Very few departments use the meetings as a source of learning. Internal communications, newsletters, magazines, notices, circulars, etc., are not always seen as learning points.
0–1
There is no departmental learning culture prevalent in this organization. Departmental meetings, if any, are used for passing order, monitoring control, etc., and not as sources of learning.
186 HRD Score Card 2500
Reading Books (5 Points) Rating
5
Indicators of reading books (professional, business-related, fiction, and other books that enhance effectiveness of a manager as a manager or as a person). Books include religious, spiritual, world knowledge, inspirational books, and all types of books other than those considered as undesirable as sources of learning
The managers in this organization have a reading culture. A lot of them buy books. The library is used extensively. There is a book budget or professional development budget which is used for buying and learning from books. This organization almost functions like an academic organization. Most people buy and read books on professional or general knowledge or any other books. There is culture of sharing good books read by some of the managers. There are book review presentations and summaries presented through in-house magazines.
4
The above is not widespread but true with almost 70–80 per cent of managers. This applies to most part of the organization and most indicators are present.
3
About 50 per cent of the managers and especially a few from some departments are very knowledgeable and promote reading of books. They share their knowledge and circulate. There is only a little encouragement for reading habits.
2
There may be about 20 per cent who may be reading books. The culture is not present. It is rarely that a good book is passed on or circulated. Very few managers use the library or there is no library facility.
1
A few of the managers read books on their own initiative and may be sharing or talking. There is no library facility.
0
There is no book reading culture. There is no budget for reading and sharing of knowledge from books. Reading habits are poor and alien to almost all moaners in this organization
Final Score 5 points
Internet (10 points) Rating
10
Indicators of use of Internet as a source of learning
Almost everyone has access to Internet. Almost everyone uses Internet. Internet is used extensively for getting business-related information and functional updating of the competencies of managers. Internet is used to network, benchmark, and keep oneself updated with the latest knowledge in technology, markets, business, competitors, etc.
Final Score 10 points
HRD Competencies 187
8–9
Most people have access to Internet, but not 100 per cent. Those who have access use it most effectively.
6–7
Only some people (60 per cent) have access to Internet. They use it somewhat effectively and mostly for business purposes. Those who have access to Internet share their knowledge and information with others. There is a general positive attitude towards Internet and managers like to have access. Those who do not have access also use the common facilities of Internet.
4–5
Only a select few have access to Internet—about 40–50 per cent. They use it for business decisions as well as for learning about current happenings. They share their knowledge and information.
2–3
Very few have access. They may use it for business purposes, but is not shared with others. It is used occasionally as a learning tool.
Internet is not available or is available in a very restricted way. A few people may be using it on their own as an individual initiative.
0–1
Project Reports (5 points) Including consultancy reports, studies by summer trainees, business magazine reports, rankings, employee engagement surveys, market surveys, benchmarking studies, and such diagnostic studies. Rating 5
Indicators of reports used as sources of learning
4
3
Project reports, reports by consultants, strategy and vision studies, research reports, etc., are commissioned by the company and are used as learning resources. Such reports and document generation is a common feature. The organization participates in benchmarking surveys, and employeeengagement surveys, and tries to learn from such studies. Whenever they occur, they are taken seriously and are accessed by all. Managers read them, use them, and discuss and learn. Such reports and studies are generated occasionally and most people read and use them as learning experiences. Most people learn from such documents Sometimes such studies are used. Only some people have the privilege of reading and accessing them. Very few people have access to such studies and reports. They are rarely read and used.
1
0
Such studies are not commissioned and even if they are commissioned they are not accessible to employees. They are not sources of learning.
2
Only the top management or select few perhaps use such reports and they are not shared with the line managers.
Final Score out of 5 points
188 HRD Score Card 2500
Outside Visitors and Others (5 points) Rating
Indicators of the use of outside visitors and others as sources of learning
5
Final Score 5 points
There are visitors to this organization. The relevant managers are kept in touch with them and are encouraged to learn. The visitors from other organizations, professional associations, other countries, academic institutions, consultants, etc., seem to be a good source of learning in this organization for almost all managers. The managers and employees learn from visitors and use them as sources of information and benchmarking. Best practices and systems are learnt and picked up from them. A large number of managers seem to learn. Good learning seems to take place from the visitors.
4
The visitors are a good source of learning for most managers. The visitors from other organizations, professional associations, other countries, academic institutions, consultants, etc., seem to be a good source of learning for most people.
3
Some of the visitors are used for learning by some of the managers. The practice is not widespread, but selective
2
A few visitors come and a few of the privileged employees seem to use them as a source of learning once in a while.
1
Visitors are treated like business by a few departments who seem to interact with them. Learning is limited to a highly select few individuals and occasionally happens.
0
There are no visitors. They are kept out of bounds and are not used as sources of learning. Employees are not encouraged to meet and spend time with visitors.
Each Other (5 points) Through presentations, discussions, meetings, etc. Rating 5
Indicators of the extent to which people use each other through presentations, discussions, meetings, etc., as sources of learning
Internal customers are used as a source of learning. Colleagues in the same departments are used as sources of learning. Seniors use their juniors as sources of learning. All employees treat each other as a source of learning. Ego issues do not come in way of employees learning from each other.
Final Score 5 points
HRD Competencies 189
4
Cross-functional task forces, inter-departmental teams, etc., are used as learning sources. There are discussions, debates, and formal learning sessions in the organization.
Most managers seem to learn from each other. Internal customers learn from each other. Communications between departments also act as source of learning. Inter-departmental meetings and such other mechanisms are used to learn from each other. There is a lot of cross-functional learning taking place in this organization.
3
Some managers seem to use each other as a source of learning. Learning from each other happens occasionally.
1
0
There is a highly individualized culture. There is practically no learning from each other.
2
A few managers seem to learn from each other. Learning from each other may take place once a while in the case of a few select managers.
Newspapers and Magazines of Business as Sources of Learning (5 points) Rating 5
Indicators of the extent to which newspapers and magazines of business are used as
Final Score
sources of learning
5 points
Managers are encouraged to subscribe to newspapers, journals, and magazines.
Employees constantly read, and update themselves and their knowledge base. News items, innovations, benchmarking practices, etc., picked up from newspapers, magazines, etc., are used for discussions and debates.
Almost all employees keep themselves updated with latest developments on the events of the world using the newspapers and other similar sources.
The company encourages all employees to keep in touch with the latest developments through these sources and they are available in abundance in the organization.
4
Most people have good reading habits. Most managers make use of the facilities and learn from these sources. Most of the discussions here are based on such updated knowledge gathered from the newspapers and business magazines.
3
This source is used by only 50 per cent of the managers. Some departments and some managers take this seriously.
2
Some departments promote such learning culture and not others.
Only a few people seem to make use of this facility. Most people do not use
The organization promotes this to some extent.
this source of learning. (Contd)
190 HRD Score Card 2500
(Contd) Rating
Indicators of the extent to which newspapers and magazines of business are used as
Final Score
sources of learning
5 points
1
A select few individuals on their own initiative use this source of learning effectively. The company does not promote this habit in any way.
0
The culture of reading, discussing current affairs, business developments and related topics found in newspapers, current events, business magazines is non-existent in this organization.
Functional Journals and Other Literature (5 points) Rating 5
Indicators of the use of functional journals and other literature as sources of learning
4
3
Line managers are encouraged to subscribe to functional journals. There is a professional development budget assigned to each department or manager. Organization reimburses expenses for subscription to professional journals. The library has adequate subscriptions to professional journals. All managers from technical as well as non-technical departments make it a point to subscribe to professional journals and benefit from them. There are occasional seminars conducted at least in some departments to share the recent developments in technology, markets, business, and other developments picked from journals. The organization encourages presentations in conferences and seminars. Most employees here read professional journals. The organization supports all those activities like subscription to journals, professional bodies, paper presentations, etc. Most managers seem to use this facility and keep themselves updated. There is also a culture of sharing. Only some employees subscribe to professional journals. At best 50 per cent of these in relevant departments may be professionally wellnetworked and have reading habits to read journals. Occasionally, there are discussions centering around journal articles or professional issues.
2
A few individuals subscribe to journals. There may be occasional paper presentations in seminars and conferences outside.
1
0
A few individuals may be reading journals on their own initiative due to their personal habits or interest. There is no organizational encouragement for subscription to journals. The library does not have much of professional journals. The reading habit is not present among employees. There is no policy or encouragement explicitly for professional journals subscription or to be a member of professional associations.
Final Score 5 points
HRD Competencies 191
Training Programs: In-house Programs and Seminars (10 points) Rating 10
Indicators of the extent to which training programs (in-house programs and seminars) are used as sources of learning
There is high emphasis on in-house training or online learning (e-learning) as sources of learning. The organization has a good budget for promoting formal in-house training and other learning activities. There is a high-learning atmosphere in the training programs and the center. There are good learning facilities in the inhouse training sessions and adequate infrastructure is provided for the same. All managers take in-house training seriously and try to get the best from the same. Managers do not waste their time to attend programs that are not relevant to them. They point out to HR if a program is not relevant. Those who attend training program return with great learning, and action plans for implementation. Learning from training programs is followed up with action and is actively supported by the seniors and HODs for implementation. Line managers returning from training make it a practice to share their knowledge and action plans. Training has resulted in the past in efficiency improvements, productivity improvements, cost savings, etc. The use of training and its impact is acknowledged by all. Training as a source of learning is respected by all managers intensely. Training has high credibility.
8–9
Most (80–90 per cent) managers take in-house training seriously and follow all the steps to get a good ROI on training. Training has resulted in visible improvements most of the time.
6–7
About 60–70 per cent of managers take in-house training seriously and take steps to get a good ROI on training. Training has only occasionally resulted in visible improvements.
4–5
About half of the employees only take training seriously. Others seem to feel that it is a waste of their or the organization’s time. Only those who take it seriously learn. There are some uncomfortable feelings about the utility of in-house training. Occasionally, good results are reported out of training. Some people seem to share in their departments what they have learnt in training programs. The practice of sharing is not widespread.
2–3
0–1
A few people (around 25 per cent or less) take training seriously and get some support from the organization. Training is seen more as a necessary expenditure than as a source of learning and an investment. The follow-up on training is very weak. No effort is made to ensure that what is learnt is implemented. Training is not taken seriously. There is hardly any budget for this.
Final Score 10 points
192 HRD Score Card 2500
Training Programs: Outside Programs (10 points) Rating 10
Indicators of the extent to which training programs (outside programs) are used as sources of learning
There is high emphasis on outside training as a source of learning. The organization has a good budget for promoting formal training and other learning activities. All managers take training seriously and try to get the best from the same. Managers do not waste their time to attend programs that are not relevant to them. They point out to HR if a program is not relevant. Those who attend the training program return with solid learning and action plans for implementation. Learning from training programs is followed up with action and is actively supported by the seniors and HODs for implementation. Line managers returning from training make it a practice to share their knowledge and action plans. Training has resulted in the past in efficiency improvements, productivity improvements, cost savings, etc. The use of training and its impact is acknowledged by all. Training as a source of learning is respected by all managers intensely. Training has high credibility.
8–9
Most (80–90 per cent) managers take outside training seriously and follow all the steps to get a good ROI on training. Training has resulted in visible improvements most of the time.
6–7
About 60–70 per cent of managers take outside training seriously and take steps to get a good ROI on training. Training has only occasionally resulted in visible improvements.
4–5
About half of the employees only take training seriously. Others seem to feel that it is waste of their or the organization’s time. Only those who take it seriously learn. There are some uncomfortable feelings about the utility of outside training. Occasionally, good results are reported out of training. Some people seem to share in their departments what they have learnt in training programs. The practice of sharing is not widespread but is present in some of the departments.
2–3
0–1
A few people (around 25 per cent or less) take training seriously and get some support from the organization. Training is seen more as a necessary expenditure than as a source of learning and an investment. The follow-up on training is very weak. No effort is made to ensure that what is learnt is implemented. There is very little evidence that training is promoted by this organization. Training is not taken seriously. There is hardly any budget for this.
Final Score 10 points
HRD Competencies 193
Seniors and Mentors from Inside the Company or Outside (5 points) Rating 5
Indicators of seniors and mentors from inside the company or outside are used as sources of learning
Final Score 5 points
There is a formal mentoring program. Mentors take it seriously and spend adequate time and resources. Juniors learn from their seniors and mentors. The mentoring or coaching program is working well. Juniors report and talk about the utility of the program and how it has helped them. Many juniors acknowledge what they have learnt from this program.
4
3
There are a few seniors who actively take the role of coaches and mentors. Juniors seem to draw benefits from their seniors through formal or informal coaching or mentoring process.
2
There are occasional cases of seniors taking up their juniors and helping them as mentors or coaches.
1
There are some rare cases of seniors taking time to mentor and develop their juniors.
0
There is no mentoring program. Seniors have no time for juniors. There is hardly any learning or knowledge transmission taking place from senior managers to juniors.
Most juniors seem to learn from seniors and the mentoring program. Seniors in many cases act as role models and coaches for their juniors. Seniors are perceived as high sources of learning by juniors.
Mistakes and Failures as Sources of Learning (10 points) Rating 10
Indicators of the extent to which mistakes and failures are used as sources of learning
8–9
Final Score 10 points
Mistakes and failures are encouraged as sources of learning. There seems to be a high degree of risk-taking. There is even an implicit budget for failures. When failures occur, managers sit together and try to analyze and learn from the failures or mistakes. The lessons from such failures and mistakes are documented and disseminated for future use. Managers seem to learn a lot from mistakes and failures. Mistakes and failures are talked about as learning points. There are stories in the company about how failures and mistakes have been used as sources of learning and benefited the company. Most people use mistakes and failures as learning points. Most departments encourage documentation and dissemination of mistakes and failures. There seems to be a good culture of learning from mistakes and failures. (Contd)
194 HRD Score Card 2500
(Contd) Rating
Indicators of the extent to which mistakes and failures are used as sources of learning
6–7
4–5
Final Score 10 points
Some people use mistakes and failures as learning points. Some departments encourage documentation and dissemination of mistakes and failures. There seems to be a reasonable culture of learning from mistakes and failures. A few people or managers use mistakes and failures as learning points. A few departments encourage documentation and dissemination of mistakes and failures.
2–3
The culture of learning from mistakes and failures is not very widespread.
The mistakes are not used as learning points by most. Only in rare cases it may be used as source of learning with some innovative and trained managers, but it is not widespread or not to a noticeable extent. If any, there is a fear of failure and fear of making mistakes.
0–1
Mistakes are not viewed positively here. People may even be hiding mistakes or blaming each other. There is no culture of learning from mistakes and failures.
Other Sources (5) Rating 5
4
3
Indicators of any other sources used as sources of learning
Final Score
Identify the other sources and mention the same
5 points
Use of this source of learning is very widespread in the organization.
Most people use this as a source.
Almost all managers use this. This source is used very effectively. This has resulted in tangible benefits to the company. This has become a part of the culture of the organization. Organization supports this through budgets, time, and other ways. This has resulted in tangible benefits to the company most often. This is becoming a culture of the company. Only about half the managers seem to use this as a source of learning. It seems to be effective source. The utility of this is not widespread and it may catch up in future.
2
0–1
A few managers seem to use this source.
This is not yet a source of learning in this organization. It has been reported in
It is somewhat effective as a source of learning. Occasionally, it may have resulted in benefits to the organization one or two exceptional cases and cannot be generalized.
HRD Competencies 195
Top Management Styles (Maximum 100 Points) Top management styles have been found to impact the development of competencies and competency culture in the organization. If the top-level managers are coercive, the employees are not likely to develop and utilize their competencies. There will be more of a fear than human resources utilization. Retention and attrition rates have been found to be associated with styles of managers. Hence the significance of this dimension. If there is a developmental style as a philosophy and as a culture, then the organization is likely to be a competing organization. World-class organizations use the developmental style though the managers also use other styles to make developmental style more effective and productive. Developmental style is defined as a style which encourages learning and development of knowledge, attitudes, skills,and values. The areas where top-level managers show their style are in goal-setting, decision-making, communications, etc. The style impact areas include the following: 1. Decision-making: Reasons for decisions are given, and are debated and discussed to promote development among employees. 2. Goal-setting: Goal-setting is done, and learning from each other and employees are encouraged to discuss and gain from each other. 3. Managing Mistakes: When mistakes are made, they are used as learning experiences. 4. Managing Conflicts: When conflicts occur, concerned teams and employees are encouraged to sort them out themselves and grow. 5. Rewards and Recognitions: These encourage learning and development. 6. Conducting Meetings: Meetings are used to help employees learn. 7. Policy Formulation: Employees are communicated with and encouraged to learn policy formulation than keeping the policies secret. 8. Communications: There is open communication and employees are encouraged to learn rather than be secretive. 9. Top Management Works as a Team: It sets role models for others. 10. Top Management is a Reflective and Self-renewing Team: They undertake self-renewal exercises and use the 360 degree feedback and other mechanisms as learning experiences. The top management here are defined as all those who matter and who set policies, trends, discipline, habits, and culture in the organization by virtue of their position, power, roles, and responsibilities. They normally include all full-time board members including the CEO, MD, presidents, etc., and the various SBU heads and heads of departments and functions (HR, Finance, Legal, IT, MIS, Strategy, Marketing, Technical, Manufacturing, M&As, etc.). Informal leaders, if any, who matter in the organization could also be used in this list.
Methods of Assessment First, list all the names and designations of the top management who matter in the organization, and whose styles have a large impact on the rest of the organization. This could be done through interviews with the HR department and the MD or CEO in the initial stages of the audit itself.
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Make sure that this list is not very long. This should usually not exceed 10. In large corporations, different strategies may be needed.
Questionnaire Assessment Use of the 360 degree feedback is the most appropriate method. If at all the 360 degree feedback cannot be done, a 180 degree appraisal by self and direct reports is good enough for measuring the development styles and their impact. Take their self-assessment on the Leadership Styles Questionnaire. Get them assessed for their upward feedback following the 360 degree feedback rules and process. For the purposes of this audit, you may get the styles assessed only by a group of juniors or through direct reports of the candidate. If you use the 360 degree feedback methodology, nothing else is needed as it is an authentic assessment of the styles. The juniors of all the top-level managers could be assembled in a room and given the questionnaires or they could be collected in a day’s time if the audit process is explained to people.
Observation Observe some of the meetings or discussions conducted by the top-level managers in their rooms or in their departments with their juniors, and assess the way they set goals, take decisions, handle mistakes and conflicts, etc. This requires a lot of time and effort. You may be able to observe only a few and it is a long-drawn process. However, select observation is a good supplement to data gathered through questionnaires. Questionnaires normally contain a certain amount of social desirability element and are not 100 per cent reflections of the actual styles. Hence, supplementing them with observation will be good.
Secondary Data If any previous surveys have been conducted on the styles or on the 360 degree feedback or employee satisfaction surveys, Gallup polls or surveys, organizational climate surveys, etc., the data may give some insights about the top-level managers. Such data has to be studied departmentwise or for each manager and a score arrived at for each manager and aggregated in the end for a collective score.
Interviews Interview the juniors of each of the top-level managers. The interviews can be group interviews or individual interviews. Individual interviews are time-consuming and for each candidate even if you decide to interview five to six persons, you will need to interview 60 persons just to study the styles. However, if you interview in groups, you may need only about one interview per candidate. However, since the questions asked are personal style–related, many may not be forthcoming.
Collective Assessment Instead of assessing the style of each of the top-level managers, a good way to cut short the process is to list the names of all candidates and ask feedback on the top management as a group and
HRD Competencies 197
make your assessment of their styles and their impact. The assessment methodology presented in the following section deals with such collective assessment of the top management team.
Assessment Criteria In using the aforementioned methods of interviewing and assessment of styles, the following criteria can be used for each of the 10 dimensions. Since the criteria are same, it is not given separately for each of the style dimensions. These criteria may also be used for preparing the 360 degree feedback tools or questionnaires. In case 360 degree feedback or upward appraisals are used, the dimension-wise scores can be used for assessment. Developmental style scores above 60 per cent are desirable; critical and benevolent style scores together should be less than 40 per cent; and critical style alone should be less than 15 per cent. Also use the impact scores from the questionnaire in converting the 360 degree feedback to the following points. Rating
Criteria or indicators of the level for each style dimension
10
The developmental style as described is used by all the top-level managers without exception. It is rare they deviate from the description given here. It has an empowering and modeling impact on the juniors. It has resulted in a development culture in the organization. Juniors seem to learn and grow on the basis of this style.
8–9
Most top-level managers (about 80–90 per cent) seem to use this style. This is the preferred style. It had a lot of positive impact on the organization and juniors. Rarely coercive or authoritarian styles are used. When used, they also reinforce learning rather than scaring people or making them averse to learning and development. Highly functional use of other styles.
6–7
A large percentage (60–70 per cent) seem to use this style. Many employees have got empowered due to this style. There is generally a learning culture created by virtue of the top management styles. The top management as a team seems to prefer and use largely the developmental style in this dimension.
4–5
Only some of the managers (around 40–50 per cent) of the top seem to use this style. Others could learn. In cases where they have not been using this style, their juniors have not learnt and are perhaps missing an opportunity to grow. This needs to be disseminated more and perused rigorously with all top-level managers.
2–3
This style is used by two or three select top-level managers. It has not yet been accepted as a full practice or even if accepted, it is not being fully implemented. It is affecting the morale of the employees to some extent.
0–1
This style is not used. It has so far not had any positive effects. The top-level managers use styles that are largely authoritarian, coercive, or aggressive. The impact has not been positive. They are losing a lot of learning and development opportunities. There is more fear complex in relation to this team than development orientation. There are once in a while exceptions to the use of the developmental style. The morale of juniors is low and the response to the styles of the top is more on the negative side.
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Final Scoring: Enter Your Scores Here Style Dimension 1. Decision-making: Reasons for decisions are given and debated and discussed to promote development among employees.
Your Score
2. Goal-setting: Goal-setting is done by learning from each other, and employees are encouraged to discuss and gain from each other. 3. Managing Mistakes: When mistakes are made, they are used as learning experiences. 4. Managing Conflicts: When conflicts occur, concerned teams and employees are encouraged to sort these out themselves and grow. 5. Rewards and Recognitions: These encourage learning and development. 6. Conducting Meetings: Meetings are used to help employees learn. 7. Policy Formulation: Employees are communicated with and encouraged to learn policy formulation, rather than keep the policies secret. 8. Communications: There is open communication and employees are encouraged to learn rather than be secretive. 9. Top Management Works as a Team: It sets role models for others. 10. Top Management is a Reflective and Self-renewing Team: They undertake self-renewal exercises and use 360 degree feedback and other mechanisms as learning experiences. Any Other Style Dimension emerging as important for this organization Total Score Corrected Total Score out of 100 Points
Style Dimension 1. Decision-making: Reasons for decisions are given, debated, and discussed to promote development among employees.
Interview Questions
2. Goal-setting: Goalsetting is done to learn from each other and employees are encouraged to discuss and gain from each other.
How do they take decisions? How many of them take decisions after discussions and promote development among their juniors, or in a developmental way as defined here? What is the impact they have of using developmental style of decision-making? What impact do they seem to have of not using the developmental style? State positive impact and also negative impact, on people and the organization, of the style they use. What percentage of them seem to use the developmental style? How many use coercive or authoritarian or any other dysfunctional styles? How do they set goals? How many of them set goals in a developmental way as defined here? What is the impact they have of using the developmental style of goal-setting? What impact do they seem to have of not using the developmental style? State positive impact and also negative impact, on people and the organization, of the style they use. What percentage of them seem to use the developmental style? How many use coercive or authoritarian or any other dysfunctional styles?
Your Score
HRD Competencies 199
3. Managing Mistakes: When mistakes are made they are used as learning experiences.
4. Managing Conflicts: When conflicts occur, concerned teams and employees are encouraged to sort these out themselves and grow.
5. Rewards and Recognitions: To encourage learning and development.
6. Conducting Meetings: Meetings are used to help employees learn.
How do they manage mistakes? How many of them manage mistakes in a developmental way as defined here? What is the impact they have of using the developmental style of dealing with mistakes? What impact do they seem to have of not using the developmental style? State positive impact and also negative impact, on people and the organization, of the style they use. What percentage of them seem to use the developmental style? How many use coercive or authoritarian or any other dysfunctional styles? How do they manage conflicts? How many of them manage conflicts in a developmental way as defined here? What is the impact they have of using the developmental style of dealing with conflicts? What impact do they seem to have of not using the developmental style? State positive impact and also negative impact, on people and the organization, of the style they use. What percentage of them seem to use the developmental style? How many use coercive or authoritarian or any other dysfunctional styles? How do they manage rewards? How do they reward and recognize people and their contributions? How many of them manage rewards in a way that encourages learning and motivation? What is the impact they have of using the developmental style of dealing with rewards? What impact they seem to have of not using the developmental style? State positive impact and also negative impact, on people and the organization, of the style they use. What percentage of them seem to use the developmental style? How many use coercive or authoritarian or any other dysfunctional styles? How do they conduct meetings? How many of them conduct meetings in a developmental way by passing information and helping people to learn? What is the impact they have of using the developmental style of dealing with meetings? What impact do they seem to have of not using the developmental style? State positive impact and also negative impact on people and the organization of the style they use. What percentage of them seem to use the developmental style? How many use coercive or authoritarian or any other dysfunctional styles? (Contd)
200 HRD Score Card 2500
(Contd) Style Area 7. Policy Formulation: Employees are
Interview Questions
communicated with and encouraged
What is the impact they have of using the developmental style of formulating policies?
keep the policies secret.
How many of them formulate policies using employee feedback, involving employees and preparing employees for the future?
to learn policy formulation than
How do they formulate policies?
What impact do they seem to have of not using the developmental style?
State positive impact and also negative impact on people and the organization of the style they use.
What percentage of them seem to use the developmental style? How many use coercive or authoritarian or any other dysfunctional styles?
8. Communications:
There is open communication
company?
and employees are encouraged to
Is the language used encouraging information sharing and learning or is it coercive?
learn rather than be secretive.
How do they communicate with their juniors and others in the
How many of them communicate in a developmental way that enables people to learn from their communications?
What is the impact they have of using developmental style of dealing with mistakes?
What impact do they seem to have of not using the developmental style?
State positive impact and also negative impact on people and the organization of the style they use.
What percentage of them seem to use the developmental style? How many use coercive or authoritarian or any other dysfunctional styles?
9. Top Management
Works as a Team: It sets role models for
How do they work as a team? Are there a lot of conflicts or healthy team work?
others.
How many of them work as team members and set an example to others?
What is the impact of the way they work as a team on others? What impact do they seem to have of not using the developmental style?
State positive impact and also negative impact on people and the organization of the style they use.
What percentage of them seem to use the developmental style? How many use coercive or authoritarian secretive, individualistic, or any other dysfunctional styles as a team?
Your Score
HRD Competencies 201
10. Top Management
is a Reflective and Self-Renewing
reflect, and renew itself?
Team: They undertake self-
Do they share their self-renewal results and experiences with others so as to promote learning culture?
feedback and other mechanisms
Do they seek feedback from their juniors? How many of them seek and use the feedback?
renewal exercises and use 360 degree
Does the top team provide itself an opportunity to review,
What impact did their self-renewal, review, and reflection exercises seem to have on the organization?
as learning
How do they receive feedback? Are they receptive, reflective, and change-oriented? Do they act defensively and take out their
experiences.
anger or unhappiness on their juniors subsequently?
Are they learning from their own mistakes or are they closed to learning? How many of them?
Learning Orientation of Non-supervisory Staff (Unionized) (Maximum 60 Points) The learning of non-supervisory staff is very critical for the effective functioning of the organization. HRD culture cannot be created and world-class products and services cannot be offered unless everyone in the organization is tuned up to deliver quality in an efficient way. This needs continuous updating of knowledge and skills. The workmen or supervisory staff, office staff, etc., create a lot of brand image. They are the frontline staff in BPOs and other agencies of the modern economy. Hence, it is critical that they learn and build their own capacities. This section measures the extent to which they have the learning capability or the extent to which the organization has created and facilitated their learning and development capability.
Assessment Methods It is measured by the following methods: 1. 2. 3. 4.
Interviews with select groups of employees representing this category Questionnaire Observation Methodology Secondary Data Analysis
Please rate the extent to which they take the following activities seriously and are willing to learn from them. Rate the extent to which they exhibit a learning orientation in each of these activities. Use the following scale in assigning points:
202 HRD Score Card 2500
Rating
If the Following Indicators Exist
6 = To a very great extent
This method is used by all workmen as a source of learning. This is used very frequently and/or extensively. It is valued by almost all employees, and union leaders and office bearers. It has resulted in some positive outcomes. Employees are happy using this method. The employees and the organization seem to have derived benefits from using this method.
4–5 = To a large extent
Most employees seem to use this source. The method is used quite frequently. They participate enthusiastically in the use of this source of learning. Many seem to have benefited from using this source.
1–2 = To a little extent
0 = Not at all or to a negligible extent
NA = not applicable
3 = To some extent
Source of HRD 1. Training: Inhouse
This method is used sometimes or by some employees. It has resulted in some benefits to the employees. This source of learning has been used only in some cases or in some parts of the organization A few seem to have benefited from it. This has not yet become a popular method or source of learning. Many employees may not be aware of it. This cannot yet be considered as a potential source of learning. This source of learning is non-existent, or has not been effectively used. It exists on paper, but no one follows it or there may have been some rare cases of this being followed. If this is not applicable, this should not be scored. Scores have to be adjusted on the basis of relevant items.
Methods to Use for Assessment Interviews: With select groups of employees representing this category. Ask questions on the programs they attended, frequency, utility of the programs, the extent to which the organization supported the use of the skills developed in the programs, etc. Ascertain the extent to which the organization treats these programs with significance, the extent to which the employees find it useful, etc. Interview the trainers or faculty who instruct in these programs about employee attitudes and learning. Emphasis is more on the learning attitude of the employees than on the source itself and its structure and implementation. Questionnaire: Develop a simple questionnaire and assess the potential and extent to which this source is used and the extent to which this source is taken seriously by the employees. Observation Methodology: Observe if any in-house programs are being conducted. Observe the classroom, trainer, environment, learning culture, etc. Interview candidates in session if possible. Secondary Data Analysis: Collect information about the number of training programs conducted, nature of training, evaluation by participants, resulting benefits to the organization, man-days of training imparted, budgets allocated, etc., as indicators of seriousness.
Points
HRD Competencies 203
2. Training: Outside
Interviews: With select groups of employees representing this category. Ask questions on the programs they attended, frequency, utility of the programs, the extent to which the organization supported the use of the skills developed in the programs, etc. Ascertain the extent to which the organization treats these programs with significance, the extent to which the employees find it useful, etc. Interview the trainers or faculty who instruct in these programs about employee attitudes and learning. Emphasis is more on the learning attitude of the employees than on the source itself, and its structure and implementation. Questionnaire: Develop a simple questionnaire and assess the potential and extent to which this source is used and the extent to which this source is taken seriously by the employees. Refer to HRD audit tools in Unit 7. Observation Methodology: Observe if any in-house programs are being conducted. Observe the classroom, trainer, environment, learning culture, etc. Interview candidates in session if possible. Secondary Data Analysis: Collect information about the number of training programs conducted, nature of training, evaluation by participants, resulting benefits to the organization, man-days of training imparted, budgets allocated, etc., as indicators of seriousness
3. Multi-skill Activities like Job Rotation
Interviews: With select groups of employees representing this category: Ask questions on the mechanisms used, policies, their experiences of using multi-skilling methods, attitude to job rotation, and policies of the organization. Focus on the attitudes of employees to learn and benefits from these programs. Emphasis is more on the learning attitude of the employees than on the source itself, and its structure and implementation. Questionnaire: Refer to HRD audit questionnaire E7 (p. 263). Secondary Data Analysis: Examine the records to identify how well this has been used, numbers covered, benefits recorded, job rotations effected, etc. Interviews: With select groups of employees who participated in cross functional teams, etc. Ask questions on the mechanisms used, policies, their experiences of using this method, attitude to such teams, policies of the organization. Focus on the attitudes of employees to learn and benefits from these programs. Emphasis is more on the learning attitude of the employees than on the source itself and its structure and implementation. Questionnaire: Refer to HRD audit tools in Unit 7. Secondary Data Analysis: Examine the records to identify how well this has been used, numbers covered, benefits recorded, etc. Examine the products of such team work like reports, innovations, etc. Ascertain the extent to which the information is disseminated to create a climate of learning. Observation: Observe if any CFTs are in operation.
4. Crossfunctional Teams and Work Groups
(Contd)
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(Contd) Source of HRD
Methods to Use for Assessment
5. Health, Safety, and Environmentrelated Activities including Training
Interviews: With select groups of employees representing this category. Ascertain their attitudes to Health, Safety and Environment (HSE) and training. Their desire to learn more, their awareness, etc. Emphasis is more on the learning attitude of the employees than on the source itself and its structure and implementation. Questionnaire: Refer to HRD audit tools in Unit 7. Secondary Data Analysis: Examine the records to identify how well this has been used, numbers covered, benefits recorded, etc. Ascertain the extent to which the information is disseminated to create a climate of learning. Observation: Observe if any HSE sessions are in operation and any projects undertaken.
6. Quality Circles (QCs), Shop Floor Councils (SFCs), and Such Other Small Group Activities (SGAs)
Interviews: With select groups of employees who participated in QCs, SFCs, and other SGAs, etc. Ask questions on the mechanisms used, polices, their experiences of using this method, attitude to such QCs, policies of the organization. Focus on the attitudes of employees to learn and benefits from these programs. Emphasis is more on the learning attitude of the employees than on the source itself and its structure and implementation. Questionnaire: Refer to HRD audit tools in Unit 7. Secondary Data Analysis: Examine the records to identify how well this has been used, numbers covered, benefits recorded, etc. Examine the products of such team work like reports, innovations, etc. Ascertain the extent to which the information is disseminated to create a climate of learning. Observation: Observe if any QCs, SFCs, or SGAs are in operation.
7. Suggestion Schemes
Interviews: With select groups of employees representing this category. Ask questions how much the employees enjoy participation in these schemes, the way their suggestions get treated, their response to managerial response, the extent to which they encourage creativity, challenge, and talent-building, etc. Ascertain how widespread the use of suggestions is. Emphasis is more on the learning attitude of the employees than on the source itself and its structure and implementation. Questionnaire: Refer to HRD audit tools in Unit 7. Observation Methodology: Observe any processing of the suggestions in operation. Secondary Data Analysis: Examine the secondary data on the number and nature of suggestions received, how information is disseminated about accepted or rejected suggestions, how it is facilitating learning among the workmen and others. Look for involvement of employees in large numbers and attitude of employees to the schemes.
Points
HRD Competencies 205
8. Communi-
Interviews: With select groups of employees representing this
cations from
category. Interview employees about how informative the circulars
HRD, Top
and communications are from HRD and top management, methods
Management,
of communication used: oral and written, the credibility of the
etc.
communications, the way the employees view these communications, the learning value of these communications, etc. Ascertain the attitudes of the employees to the communications and the extent to which they use them as learning opportunties. Emphasis is more on the learning attitude of the employees than on the source itself and its structure and implementation. Questionnaire: Refer to HRD audit tools in Unit 7. Observation Methodology: Read a few circulars and other communications currently on the notice boards. Recent circulars, etc., may be analyzed for their language and learning content. Secondary Data Analysis: Examine the precious communications and records. In-house newsletters, video CDs of chairman’s message, etc.
9. Self-initiated
Interviews: With select groups of employees representing this category.
Activities of
To find out if employee teams and unions initiate any learning activities
the Union
to facilitate learning and growth among employees. Ascertain the extent
and Other
to which this is done and the impact it had.
Bodies
Emphasis is more on the learning attitude of the employees than on the source itself and its structure and implementation. Questionnaire: Refer to HRD audit tools in Unit 7. Secondary Data Analysis: Examine records and documents from union’s office if any such initiatives have been taken.
10. Other
Interviews: With select groups of employees to ascertain the efficacy and
Activities
coverage of the activity. Ascertain the learning value and attitude to learn
Unique
from this activity on the part of the employees.
to your
Emphasis is more on the learning attitude of the employees than on the
Organization
source itself and its structure and implementation. Observation Methodology: Observe where some of the activities are currently going on.
Total Points Final Adjusted Score out of 60 Points
Credibility of the HR Department (Maximum 40 Points) The HR department has to have credibility if it has to implement HR and help the organization derive benefits from it. In the absence of credibility, all the investments do not yield full results. Credibility is the extent to which employees rely, respect, and believe in what is said. Credibility includes trust, faith, trustworthiness, and a positive image and attitude towards that aspect.
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Methods of Assessment Questionnaire The ideal method to assess the credibility is the questionnaire. The HRD audit questionnaire has some components of credibility. A special tool can be developed and used to collect views from a random sample of employees. The appropriate questionnaire is given in Unit 7 as a part of the HRD audit questionnaire.
Interviews Interviews with line managers and other employees should indicate the extent of credibility of the HR department. Rating 5 = To a very great extent
If the Following Indicators Exist This is a very accurate description of the department and its staff. This attribute is very true of the department and is widely shared by almost all employees. This is a strong quality of the HRD department
4 = To a large extent
This is largely true and most employees (75 per cent) share this perception.
3 = To some extent
This is somewhat true and only some (50 per cent) employees share this perception. Others may not share this or even may have a opposite view
2 = To a little extent
This view is shared perhaps by a few employees—less than 25 per cent.
1 = Negligible extent
Perhaps a few employees carry this positive attitude to HRD. Most people do not share this view. There is a credibility gap of HRD on this dimension
0 = Not at all true and needs attention
The reverse is true and practically no one shares this view. Most people seem to share the opposite view
Credibility Dimension
Interview Questions
1. HR Staff are Trusted
Is the HR department known to keep up its promises? Do the staff keep their word? Are there times the HR staff or the department did not keep their promises? How frequently does it happen? How do you rate the trust level of employees, vis-à-vis the HR department? Can they be counted on to do right things? How many employees hold this view?
2. HR Staff are seen as Professionally Competent
Do you think the HRD staff are professional in their approach? Are they keeping in touch with professional developments? Do they benchmark adequately with your competitors and other market leaders? How do you rate your HR department professionally, namely, in terms of its own professional preparation and approach? Can they be counted on to do things right? How many employees hold this view?
Points
HRD Competencies 207
3. HR Department
To what extent do you think your HR department is sensitive to the
seen as Humane
needs of employees?
and Helpful
To what extent are they helpful to the employees? How many employees hold this view? How approachable are they? To what extent do you think that the HR department is approachable and open to suggestions?
4. HR Policies are
What is your view of HR policies? Lopsided or good and appropriate?
Viewed with
What is the extent of scope for improving HR policies? What are the
Respect and
areas where improvements could be made?
Positively
Do you see the policies as helpful and serving the purposes of promoting competencies and employee motivation? How many employees hold this view?
5. HR Staff are Seen
How do you rate the genuineness of HR staff? Do you think they are
as Genuine and
political as against being professional? Do you think HR staff do not
Not Indulging in
stand up to the principles and argue for employee motivation and
Politics
utilization even if the top management may not agree to their view? To what extent are the HR staff transparent? How many employees hold this view?
6. HR Policies are Seen as Unbiased
Do you think that the HR policies are unbiased and reflect objectivity and welfare of all and the organization? To what extent are the HR policies framed to accommodate a few people close to the top management?
7. HR
Do you think one should read between the lines when HR policies are
Communications
framed and circulated?
are Trusted for
Do employees take the HR communications and policies on their face
What They Say
value? How many employees trust communications from HR? To what extent do employees here trust the HR communications?
8. HR Systems and
To what extent do the systems introduced and managed by HR
Practices are
department have credibility? Are they viewed positively and with hope
Viewed with
and trust?
Interest and
To what extent are they taken seriously?
Taken Seriously
How many employees hold this view?
Total Score Adjusted Score out of 40 Points
Final Competencies Score Add scores on various dimensions as per the following table:
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HRD Competencies’
Maximum Points
Level of Competency of HRD Staff and the Department
200
Line Managers’ Attitude to Learn
100
Facilitating Top Management Styles: Developmental
100
Extent to which Non-supervisory Staff or Workmen have Positive Attitudes to Learn
60
Extent to which the HRD Department has Credibility and a Positive Image
40
Overall HRD Competencies Score
500
Score
HRD Competencies Score (Maximum 500 points) Add the scores 451–500 = A* (Highest Score and Highest Maturity Level) 401–450 = A (Very High Maturity Level) 351–400 = B* (High Maturity Level) 301–351 = B (Moderately High Maturity Level) 251–300 = C* (Moderate Maturity Level) 201–250 = C (Moderately Low Maturity Level) 151–200 = D* (Low Maturity Level) 100–150 = D (Very Low Maturity Level) >100 = F (Not at all Present) U = Ungraded
Reference Brockbank, Wayne and David, Ulrich. The New HR Agenda: 2002 Human Resource Competency Study (HRCS): Executive Summary. Michigan: University of Michigan Business School.
Unit 5
HRD Culture and Values HRD culture and values have been found to be linked to organizational performance in earlier studies. HRD values and culture are measured in the HRD score card through the questionnaire method. It can be supplemented through interviews and observation. In the score card, 15 dimensions constitute HRD values and culture. HRD values are OCTAPACE values. The other dimensions of culture deal with its leadership, communications, decision-making, supervision, rewards, information sharing, corporate social responsibility, HSE consciousness, etc. The following table gives the 25 dimensions measured. Each dimension is assessed on 20 points. The questionnaire recommended for use is given at the end. The questionnaire can be administered to a cross section of employees from all levels and departments. A 10 per cent sample is recommended. In large corporations, the sampling may be appropriately reduced and in small corporations, accordingly increased. Culture Dimension
Factor Score
1. Openness: Employees are encouraged to freely express their views and opinions, and exhibit their talent through the same. 2. Collaboration and Team Work: Employees at all levels work as a team, help each other, and collaborate with each other. 3. Trust and Trustworthiness: People trust each other and keep up their promises. They practice what they preach. 4. Authenticity: People speak what they mean and not say things to please each other. 5. Proactivity and Initiative: Employees take initiative and do things without having to be directed all the time 6. Autonomy: Employees have freedom to do things on their own. There is freedom and autonomy in their work. 7. Confrontation: Employees face and confront issues rather than hide issues. 8. Experimentation: Employees are encouraged to experiment and try out new ideas.
20
OCTAPACE Values
20 20 20 20 20 20 20
210 HRD Score Card 2500
Organizational Culture 9. Leadership Climate: Where the leaders manage the mistakes of juniors, manage their conflicts, provide resources, and support juniors and respond to their failures. 10. Motivation: There are mechanisms to motivate employees; the employees are encouraged to talk about their responsibilities with enthusiasm and regard. There is a high commitment to work and inspiration to work. 11. Communication: Where the communication mechanisms are good and meet the needs of employees, and there are adequate upward and downward communications, formal and informal communications, and verbal and written communications to meet employee needs and make them feel a part of the organization. 12. Decision-making: Where the decision-making is participative, logical and analytical, objective and timely, and ensures the interests of the organization. 13. Goals: Where goal-setting is objective, follows norms and rules, and is based on dialogues and SMART.1 14. Control: Where there is adequate direction and supervision of work, systems are used to ensure checks, and there are internal controls. 15. Shared Values: Where there are well-articulated values of the organization, they are shared across the organization, and they are transmitted to new recruits and employees across various levels. Departments share the values. 16. Quality Orientation: Where there is quality consciousness across the organization and quality systems are used 17. Rewards and Recognition: Where there are adequate mechanisms to recognize and reward desired behavior and efficacy or effectiveness. Rewards and recognition systems are administered with objectivity. 18. Information: Where information is shared across various levels and departments of the organization and people maintain confidentiality where necessary and there are systems and mechanisms for sharing. 19. Empowerment: Where there are efforts made to empower employees to act with authority, and where delegation and autonomy are provided adequately. 20. Learning Orientation: Where there is support to learning from the top management, organizational efforts are made to stimulate learning, and employees have positive attitude to learning. 21. Openness to Change: Where the top management and senior managers are open and receptive to change, they are aware of the need to change, are open to change, and have formal mechanisms and facilitators to manage change. 22. Corporate Social Responsibility: Employees are sensitive to their environment and surroundings, and exhibit a high degree of social responsibility and citizenship that extends beyond the organization to the local community and the country where it located. 23. Health: Organizational climate emphasizes health and promotes a healthy living. Employees here are health-conscious. 24. Safety: Employees here are tuned to ensure the safety and security of themselves and each other. The culture is tuned to ensure safety, and physical and mental security of employees. 25. Work Satisfaction and Motivation: Employees are satisfied and are motivated to work.
1
SMART performance goals are specific, measurable, attainable, relevant, and timely.
20 20
20
20 20 20 20
20 20
20
20 20
20
20
20 20
20
HRD Culture and Values 211
The next section gives details of the recommended questions to be asked for each dimension in interviews, followed by indicators of assessment for the same.
Rationale for Assessment System The assignment of points should be based on the extent to which the behaviors associated with the culture or value dimension are professed (articulated and promoted), as well as the extent to which it is practiced. Here professing means articulating the behaviors as a value or as a desired part of the culture or as accepted behavior and actively talking about them and promoting them verbally. However, professing does not mean practicing. Professing a culture is the first step to practice, though it does not guarantee practice. Practice is given a high value than mere professing. However, professing a behavior or a desired behavior also should be given weightage. If all the behaviors associated with a particular dimension are professed even if the organization has not yet reached a maturity level of fully practicing them, about 8 points can be given, and the remaining 12 depending on the strength and spread of practice. Strong and widely practiced behaviors mean that the value is institutionalized. The assessment scheme generally followed is given here: Points 19–20
16–18
11–15
6–10
3–5 0–2
Assessment Criteria Professed intensely by all top and senior managers Practiced consistently by almost all senior and top-level managers Monitored by the organization through various mechanisms Seems to be deeply ingrained or internalized by all The behaviors are institutionalized Professed by all Practiced by most (about 80 per cent) Monitored to a large extent and reasonably well institutionalized or almost institutionalized Sometimes professed or professed by many of the top and senior management Practiced by around 60 per cent Average institutionalization High institutionalization takes it closer to 15 points Some practice this or exhibit these behaviors sometimes (40 per cent) Sometimes professed or some profess the same. Average level of implementation; lacks deep conviction in professing and practice Very few (20 per cent or less) practice it; professed and or practiced mildly Not professed and not practiced; a few stray cases of practice; not much is done and it is a weak area
OCTAPACE Values Openness Employees are encouraged to freely express their views, opinions, and exhibit their talent through the same.
212 HRD Score Card 2500
Recommended questions to be asked: To HR Manager: 1. Do people feel that expressing views and ideas is one way of contributing to the organization’s growth? 2. What methods/systems are used by the organization to help employees come out with new ideas/ suggestions? 3. In case people are not free to express their views and opinions, what are the reasons you attribute to the same? To Line Managers/Functional Heads: 1. To what extent do you/others in the organization feel free to express their views or opinions? Do you/ others feel encouraged to do so? 2. Are your views and suggestions taken seriously? Do you find the organization taking some action based on the same? 3. Do you have common forums/media where employees’ feedback is openly sought out on critical issues (inter-department meetings, suggestion schemes, etc.)? Indicators 1. The employees in the organization feel free to express ideas, opinions, and feelings (4 points) 2. The organization takes the views of all employees seriously (4 points) 3. Common forums, open houses, etc., are organized in the organization regularly where employee feedback is openly sought for on critical issues (4 points) 4. Juniors are allowed to negate or contradict their seniors’ views (4 points) 5. Organization takes some actions based on views and suggestions given by employees (4 points) Points
Assessment Criteria
19–20
If each of the indicators is stated as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if employees are always encouraged to freely express their ideas and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about employees expressing their ideas/ talent and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, if the aforementioned behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them encourage ideas from employees and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers allowing employees to express themselves once in a while.
Remarks
Assessment
HRD Culture and Values 213
Collaboration and Team Work Employees at all levels work as a team, help each other and collaborate with each other. Recommended questions to be asked: To HR Manager: 1. 2. 3. 4. 5.
Is teamwork strong in this organization? Is there a ‘we’ feeling in the organization? Do people try to help each other within your department as well as across the organization? What is the level of inter-departmental cooperation in the organization? In case people do not seem very helpful, or there is lack of synergy between departments—what do you attribute that to?
To Line Managers/Functional Heads: 1. 2. 3. 4.
How is ‘team work’ in your department? Do people try to help each other within your department as well as across the organization? What is the level of inter-departmental cooperation in the organization? In case people do not seem very helpful, or there is lack of synergy between departments—what do you attribute that to?
Indicators 1. Employees work as a team in the organization and the top management promotes team spirit among employees (4 points) 2. There is a feeling of ‘we’ among employees (4 points) 3. Departments in the organization cooperate with each other, and work cohesively toward achieving organizational goals (4 points) 4. Employees are helpful to each other, and proactively offer help to others when in need (4 points) 5. There is strong desire among employees to work together toward organizational goals (4 points) Points
Assessment Criteria
19–20
If each of the indicators is stated as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the team work is strongly institutionalized, and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about team work culture, and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the aforementioned indicators, assign the scores in this range. That is, if these behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the team work is shown by about 60 per cent managers at senior levels, and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit these indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice team work, and it is also professed or promoted mildly across the organization.
0–2
Team work and collaborations among employees are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Assessment
214 HRD Score Card 2500
Trust and Trustworthiness People trust each other, and keep up their promises. They practice what they preach. Recommended questions to be asked: To HR Manager: 1. Do employees trust each other in the organization—within their department and between different departments? 2. Do people meet their commitments here? 3. Do people carry out what they say? 4. Are there strong supervisory mechanisms in the organization? 5. When you require something from another department, do you have to do continuous follow-up with them? 6. In case there is low trust in the organization—what are the reasons for the same? To Line Managers/Functional Heads: 1. Do employees trust each other in the organization—within your department and between different departments? 2. Do people meet their commitments here? 3. Do people carry out what they say? Indicators 1. 2. 3. 4. 5.
Employees in the organization believe each other (4 points) Employees live up to the commitments (verbal or otherwise) they give to others (4 points) There is no need for strong monitoring of the activities of employees (4 points) Employees are perceived as reliable (4 points) There is trust among different departments (4 points)
Points
Assessment Criteria
19–20
If each of the indicators is stated as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 4 points for each dimension. Assign this score only if trust among employees is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about this culture, and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all these indicators, assign the scores in this range. That is, the aforementioned behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if these indicators are shown by about 60 per cent managers at senior levels and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit these indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers trusting them once in a while.
Remarks
Assessment
HRD Culture and Values 215
Authenticity People speak what they mean and not say things to please each other. Recommended questions to be asked: To HR Manager: 1. 2. 3. 4.
Do people mean what they say? Can people be taken at face value? Are people authentic in their approach? Does top management believe in its employees?
To Line Managers/Functional Heads: 1. Do people mean what they say? 2. Can people be taken at face value? 3. Are people authentic in their approach? Indicators 1. 2. 3. 4. 5.
The truth in what people say is accepted and not doubted by the others (4 points) The extent to which people mean what they say and do what they say (4 points) People in the organization can be taken at their face value (4 points) People are authentic in their approach (4 points) Senior management and leaders set an example of genuine behaviour for others to follow (4 points)
Points
Assessment Criteria
19–20
If each of the indicators is stated as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 4 points for each dimension. Assign this score only if the culture is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers do not walk the talk and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, the aforementioned behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior level and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit these indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Assessment
216 HRD Score Card 2500
Proactivity and Initiative Employees take initiative and do things without having to be directed all the time. Recommended questions to be asked: To HR Manager: 1. Are employees encouraged to take initiative? 2. Is initiative treated as an important trait in employees? 3. Do top management and senior members of the organization set an example? To Line Managers/Functional Heads: 1. Do employees in your department take initiative? 2. Does the HRD encourage taking initiative in the organization? In what way? Indicators 1. The employees are encouraged to take initiatives (5 points) 2. Initiative is treated as an important trait in employees and efforts are made by organization to develop/improve on it (5 points) 3. Employees feel encouraged to make things happen and they try to put in their full efforts (5 points) 4. Top management and senior members of the organization set an example by taking initiatives (5 points) Points
Assessment Criteria
19–20
If each of the indicators is professed as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if taking initiatives as a culture is strongly institutionalized and all managers acknowledge the efforts made by employees.
16–18
If most senior managers are vocal about employees taking initiatives and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, if the aforementioned behaviors or attitude of taking initiative and encouraging them is professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the taking of initiatives and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers taking initiatives once in a while.
Remarks
Assessment
HRD Culture and Values 217
Autonomy Employees have freedom to do things on their own. There is freedom and autonomy in their work. Recommended questions to be asked: To HR Manager: 1. To what extent do people have the scope of taking decisions in their position? 2. Does top management encourage employees to take decisions on their own? Are they given freedom to come out with their action plans/solutions? 3. How far do the employees depend on their seniors to take decisions? To Line Managers/Functional Heads: 1. Do you feel you have enough freedom to operate in your role? 2. In your absence, do your subordinates have the freedom to take decisions on their own? 3. Do you have the option of defining your role to a certain extent with a view to help you develop/ contribute better to the organization? Indicators 1. There is scope for every employee to have discretion in her/his job, for example, in decision-making, communication (4 points) 2. Enough freedom is given to employees to operate their role (4 points) 3. Employees are given the liberty to choose activities, work methods, etc. (4 points) 4. Employees are given ‘autonomy’ in their own spheres of work (4 points) 5. There are systems in place to encourage and support ‘autonomy’ (4 points) Points
Assessment Criteria
19–20
If each of the indicators is professed as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 4 points for each dimension. Assign this score only if the culture of autonomy is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about providing autonomy and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, then assign the scores in this range. That is, if the aforementioned behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if these indicators are shown by about 60 per cent managers at senior level and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the freedom to do things on their own and most of the others profess this even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice giving autonomy and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers providing autonomy once in a while.
Remarks
Assessment
218 HRD Score Card 2500
Confrontation Employees face and confront issues rather than hide issues. Recommended questions to be asked: To HR Manager: 1. 2. 3. 4.
Does the organization’s culture encourage open discussions on issues? How are conflicts handled in the organization? Is there an active problem-solving approach? Are the employees encouraged to voice their problems and issues?
To Line Managers/Functional Heads: 1. Do you have healthy discussions with other departments in case of inter-departmental conflicts? 2. Do you seem to avoid issues till they blow out of proportion, or do you take them head-on as a department/organization? Indicators 1. Open discussions on controversial issues are allowed to come to consensus (4 points) 2. In case of inter-departmental conflicts, issues are solved through healthy discussions with other departments (4 points) 3. Active problem-solving approach (4 points) 4. Employees face issues/problems with courage without any fear of reprimand (4 points) 5. Employees feel comfortable to tackle issues directly instead of leaving them to be faced later on (4 points) Points
Assessment Criteria
19–20
If each of the indicators is professed as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 4 points for each indicator. Assign this score only if the culture of confrontation is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about this culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the above indicators, assign the scores in this range. That is, the aforementioned behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit these indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Assessment
HRD Culture and Values 219
Experimentation Employees are encouraged to experiment and try out new ideas. Recommended questions to be asked: To HR Manager: 1. Is the organization known to encourage risk-taking? Does top management encourage employees to experiment with new ideas? 2. What mechanisms and support are provided by the organization to encourage experimentation? 3. Is there scope of creativity in your job/department/organization? To Line Managers/Functional Heads: 1. Do you/other employees experiment with new ways of doing things? 2. How do you handle the possibility of or actual monotony in your job? 3. Does your department try innovative ways of doing things? Indicators 1. 2. 3. 4. 5.
Employees are not afraid of trying innovative things at work (4 points) Employees readily put in efforts to bring in improvements at their work place (4 points) There is high scope for creativity/innovation in all jobs/departments (4 points) The employees are encouraged to take risks (4 points) Inter-departmental competitions and competition among employees are encouraged to instill an experimentation attitude among employees (4 points)
Points
Assessment Criteria
19–20
If each of the indicators is professed as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the culture is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about the above culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, the aforementioned behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior level and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit these indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Assessment
220 HRD Score Card 2500
Organizational Culture Leadership Climate Where the leaders manage the mistakes of juniors, manage their conflicts, provide resources, support juniors, and respond to their failures. Recommended questions to be asked To HR Manager: 1. What kinds of leadership styles do top managers and seniors in this organization exhibit? 2. How are conflicts resolved? 3. How do leaders respond to mistakes and failures of subordinates? To Line Managers/Functional Heads: 1. 2. 3. 4.
What kind of a leader is your boss? Describe how your boss reacts when you make a mistake. Mention any five important characteristics of your boss’s personality (with regard to leadership roles). How does he monitor your performance? Documents
1. Any report of training programme conducted to enhance leadership skills. 2. Any survey or research conducted by the organization with relation to the leadership styles in the organization. 3. Any other reports or documents with this regard like 360 degree feedback, Gallup surveys, ESS, etc. Indicators 1. Top and senior leaders manage the mistakes of their subordinates supportively and help them to learn from them. (5 points) 2. Conflicts are managed with understanding, and conflicting parties are encouraged to learn and resolve conflicts themselves than to depend on their seniors. Integrative role is performed by senior and top-level managers in resolving conflicts and an integrative culture, rather than a divisive one, is promoted. (5 points) 3. Performance is monitored and managed supportively by providing encouragement and required resources and other support to juniors. (5 points) 4. Seniors respond to failures of their juniors supportively and in a developmental way. (5 points) Points
Assessment Criteria
19–20
If each of the indicators is professed as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the culture is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about this culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, if the aforementioned behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit these indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
Assessment
HRD Culture and Values 221
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Motivation There are mechanisms to motivate employees; the employees are encouraged to talk about their responsibilities with enthusiasm and regard. There is a high commitment to work and there is inspiration to do work. Recommended questions to be asked: To HR Manager: 1. To what extent do senior managers inspire juniors? 2. What mechanisms are in place to increase motivation? 3. Are employees encouraged to speak about their roles and responsibilities and seek clarifications or advice from their seniors? To Line Managers/Functional Heads: 1. Are employees in your department motivated? 2. How does the HRD help to increase motivation of employees? Reports and Secondary Data 1. Any reports on study conducted to understand motivational needs of employees. 2. Any other reports or documents in this regard. Indicators 1. 2. 3. 4.
There are various mechanisms to motivate employees (for example, reward and recognition) (5 points) Talking about one’s work responsibilities is encouraged with enthusiasm and positive regard (5 points) There is a high degree of commitment to work on the part of all employees (5 points) Seniors provide inspiration at work to their juniors (5 points)
Points
Assessment Criteria
19–20
If each of the indicators is professed (for example, we should recognize and encourage new ideas, etc.) and practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the culture is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about the culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the aforementioned indicators, assign the scores in this range. That is, if the above behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Assessment
222 HRD Score Card 2500
Communication The communication mechanisms are good and meet the needs of employees. There is adequate upward and downward communications, formal and informal communications, and verbal and written communications to meet employee needs and make them feel as part of the organization. Recommended questions to be asked: To HR Manager: 1. 2. 3. 4. 5.
How is the communication in your organization? What are the formal mechanisms to communicate? What are the informal styles of communication? What are the communication needs of your employees? How are the various communication needs of employees met?
To Line Managers/Functional Heads: 1. 2. 3. 4.
Are you satisfied with the communication systems here? What are the different mechanisms used to communicate? In what different ways does your boss communicate with you? What are the communication channels between you and your colleagues? Secondary Data
1. Any report of training programme conducted to enhance communication skills. 2. Any survey or research conducted by the organization with relation to the communication patterns in the organization. 3. Any other reports or documents in this regard. Indicators 1. Both verbal and written communications are used adequately and effectively to communicate to all employees about various matters to keep them in the loop to do their job and have a sense of belonging and commitment (5 points) 2. The communications meet various communication needs (need to know) of employees (5 points) 3. Both formal and informal communication channels are used effectively (5 points) 4. The communication is effective both ways (top down and bottom up) (5 points) Points
Assessment Criteria
19–20
All the indicators are professed intensely by all top and senior managers. Practiced consistently by almost all senior and top-level managers. Monitored by the organization through various mechanisms. Seem to be deeply ingrained or internalized by all. The behaviors are institutionalized. Communications are excellent—top-down, bottom-up, meet needs, both formal and informal, and are effective.
16–18
Professed by all. Practiced by most (about 80 per cent). Monitored to a large extent and reasonably well institutionalized or almost institutionalized.
11–15
Sometimes professed or professed by many of the top and senior management. Practiced by around 60 per cent. Average to good institutionalization.
6–10
Some practice this or exhibit these behaviors sometimes (40 per cent). Sometimes professed or some profess the same. Average level of implementation. Lacks deep conviction in professing and practice.
3–5
Very few (20 per cent or less) practice it. Professed and or practiced mildly.
0–2
Not professed and not practiced. A few stray cases of practice. Not much is done and is a weak area.
Remarks
Assessment
HRD Culture and Values 223
Decision-making Where the decision-making is participative, logical and analytical, objective and timely, and ensures the interests of the organization. Recommended questions to be asked Decisions include small and big decisions. Here, they normally refer to both but largely to day-to-day investment decisions, procurement, recruitment, markets, products, advertisement, personnel, service efficiency, scheduling, problem-solving, resource allocation, etc. To HR Manager: 1. What is the decision-making process in your organization? 2. What process does the this organization follow to make critical decisions? 3. How are people involved? What preparation is made prior to critical decisions? To Line Managers/Functional Heads: 1. 2. 3. 4.
How do you take decisions? On what issues do you take decisions? How important are the issues on which you are allowed to make decisions? Have you ever been reprimanded on any decision you have taken?
1. 2. 3. 4.
There is a consultative and participative decision-making culture (5 points) Decision-making is on the basis of data collected and is normally logical and analytical (5 points) Decisions are objective and timely (5 points) All decisions are made to suit the interests of the organization (5 points)
Indicators
Points
Assessment Criteria
19–20
If each of the indicators is professed as well as practiced effectively by almost all the top management and senior managers, and it is internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the culture is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about the culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, if the aforementioned behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if these indicators is shown by about 60 per cent managers at senior levels and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Assessment
224 HRD Score Card 2500
Goals The goal set is objective, follows norms and rules, and is based on dialogues. Goals are SMART. Recommended questions to be asked: To HR Manager: 1. How are goals formulated in your organization? 2. Do you provide any training for setting goals? 3. Are employees competent to formulate SMART goals? To Line Managers/Functional Heads: 1. Do employees in your department formulate well-defined goals? 2. Do you think the employees need any further guidance from HRD on setting goals? 3. What procedure do you follow for formulating goals? Observation Departmental meetings or planning meetings. Indicators 1. Setting of goals is done systematically, and follows systems and processes, or rules and norms (5 points) 2. There are dialogues and discussions for and during the setting of goals (5 points) 3. Goals provide challenges (5 points) 4. SMART goals are set (5 points) Points
Assessment Criteria
19–20
If each of the indicators is professed as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the culture is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about the culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, if the behaviors or attitudes are professed by all, and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels, and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior, and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Assessment
HRD Culture and Values 225
Control There is adequate direction and supervision of work, systems are used to ensure checks, and there are internal controls. Recommended questions to be asked: To HR Manager: 1. What is the method of supervising work? 2. What systems are in place to act as checkpoints? 3. How is control established in the organization? To Line Managers/Functional Heads: 1. How do you supervise the work of your subordinates? 2. How do you direct them? 3. Does the HRD play any role in this matter? Indicators 1. There is adequate supervision and monitoring of work of employees (5 points) 2. Employees get the direction and guidance needed from their supervisors (5 points) 3. The organization uses systems to check work accomplishments, meeting of targets, etc. (5 points) 4. A lot of internal controls are available and exercised (5 points) Points
Assessment Criteria
19–20
If each of the indicators are professed as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the culture is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about the culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, if the behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Assessment
226 HRD Score Card 2500
Shared Values There are well-articulated values of the organization, which are shared across the organization, and they are transmitted to new recruits and employees across various levels. Departments share these values. Recommended questions to be asked: To HR Manager: 1. Are there some stated values? What are those values? 2. How are these communicated, monitored, and practiced? 3. How related are those values to the organizational goals or to larger level community or countryrelated goals? 4. What are the strengths, weaknesses, and suggestions for improvement in the process of articulation and practice of values? To Line Managers/Functional Heads: 1. What are some of the values held by your department and organization? 2. How do you practice these values? 3. How do you transmit these values to new recruits? Indicators 1. This organization is very clear about its values. They are articulated, documented, and made available to employees (5 points) 2. There is high awareness of values across levels and departments (5 point) 3. There are mechanisms to monitor the practice of the organizational values including the punishments for not practicing the core values (5 points) 4. The values are transmitted to new recruits (5 points) Points
Assessment Criteria
19–20
If the values are professed and practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the values are strongly institutionalized and all managers acknowledge this as internalized.
16–18
If most senior managers are vocal about the aforementioned culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, if all the behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels, and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the values and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Give additional points if the values contribute to the larger goals of humanity, the country, or society.
Assessment
HRD Culture and Values 227
Quality Orientation There is quality consciousness across the organization, and quality systems are used. Recommended questions to be asked: To HR Manager: 1. 2. 3. 4.
What are the quality concerns? What are the needs of the organization with reference to quality? What HR practices contribute to quality consciousness? What are the ways to improve the existing HR systems to further enhance quality consciousness?
To Line Managers/Functional Heads: 1. 2. 3. 4.
Do you think your products/services are of high quality? According to you, how important is the ‘quality’ value to your organization? Is each and every employee of your organization quality conscious? What role is the HR department playing toward this issue of quality? Secondary Data and Records
1. Any external or internal certification about maintaining quality standards. 2. Any report on a study conducted to understand the quality levels in the organization. 3. Any other documents or printed material with regards to ‘quality’. Indicators 1. 2. 3. 4. 5.
There is high degree of quality consciousness in this organization (4 points) The organization has quality certifications like ISO 9000 and other awards (4 points) HR strategies aim at total quality and quality-related systems in use (4 points) Tolerance level of poor quality of internal customers is very low (4 points) Feedback from external customers about quality of products/services provided (4 points)
Points
Assessment Criteria
19–20
Quality and quality values are professed and practiced effectively by all the employees, and it is an internalized culture of the organization. Assign this score only if the quality values are strongly institutionalized and all managers acknowledge this as internalized.
16–18
If most employees and particularly those in supervisory positions are vocal about the aforementioned quality, and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, if the behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent employees or supervisory staff, and managers and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit these values and most of the others profess them even if they are unable to practice.
3–5
Very few of the employees seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of employees in some departments practicing them once in a while.
Remarks
Assessment
228 HRD Score Card 2500
Rewards and Recognition There are adequate mechanisms to recognize and reward desired behavior, and efficacy or effectiveness and rewards and recognition systems are administered with objectivity. Recommended questions to be asked: To HR Manager: 1. What are the reward and recognition mechanisms in your organization? 2. How well are these mechanisms used? 3. How can they be improved? To Line Managers/Functional Heads: 1. How do you reward good performance of your employees? 2. What HRD mechanisms do you use? 3. What, according to you, are the strengths and weaknesses of these reward–recognition mechanisms, and how do you think they can be improved? Records and Reports 1. Any study conducted on reward–recognition practices in the company. 2. Any written-down material about the same. Indicators 1. There are many mechanisms and systems in use to reward and recognize desirable behavior and output (5 points) 2. The mechanisms of rewards and recognition are followed and implemented well (5 points) 3. There are acknowledgments and appreciation through informal mechanisms (5 points) 4. Recognition and rewards are based solely on merit and worth. Rewards—with a sense of objectivity (5 points) Points
Assessment Criteria
19–20
If each of the indicators is stated as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the culture is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about the culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the indicators, assign the scores in this range. That is, if the behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels, and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while.
Remarks
Assessment
HRD Culture and Values 229
Information Information is shared across various levels and departments of the organization, and people maintain confidentiality where necessary, and there are systems and mechanisms for sharing. Recommended questions to be asked: To HR Manager: 1. How is information sharing done in your organization? What are the systems used for the same? 2. How effectively are the systems used and how can they be improved? 3. How are informational needs of employees understood and met? To Line Managers/Functional Heads: 1. How do you share information with your subordinates? 2. What enables you to decide on the matters which need to be passed down, and which are to be withheld? 3. Are there any HRD systems in place for information sharing? 4. What are the strengths, weaknesses, and scope for improvement in the systems? Secondary Data Written-down guidelines or policies with regard to information sharing. Indicators 1. 2. 3. 4.
Information needed is shared widely across the organization (5 points) The organization ensures that the information needs of employees are met across levels (5 points) There are well-set mechanisms and systems of information sharing (5 points) Employees and their seniors exercise discretion in sharing information, and ensure that confidentiality is maintained and respected where necessary (5 points)
Points
Assessment Criteria
19–20
Information sharing is professed and practiced by all. The mechanisms are followed well, and are institutionalized.
16–18
80 per cent follow the information-sharing norms, values, and practices. All are conscious of the importance of information sharing. A few people do not get the information needed occasionally. However, the practices are reasonably well institutionalized except in some points.
11–15
Most (60 per cent) people share information and most receive information they need. In about 40 per cent of cases, there is need to improve. Institutionalization is on its way, and may be expected in course of time.
6–10
Only about 40 per cent of the employees seem to share or receive the information they need. Most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to practice this behavior and it is also professed or promoted mildly across the organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of top-level managers practicing them once in a while. Information needs are hardly met. More often there are surprises or people are apathetic to information.
Remarks
Assessment
230 HRD Score Card 2500
Empowerment There are efforts made to empower employees to act with authority, and where delegation and autonomy are provided adequately. Recommended questions to be asked: To HR Manager: 1. What is the intangible support the organization provides to promote a culture of empowerment? 2. Do you perceive your culture to be bureaucratic? Do you perceive any particular department to be very bureaucratic—if yes, why? To Line Managers/Functional Heads: 1. Are you required to constantly take permission from your boss before doing anything? 2. Do you have adequate freedom to take decisions that will help you perform better or increase your output? 3. What is the level of delegation in your department? 4. To what extent are you encouraged to confront and experiment? 5. What is the visible organizational support given for you to be able to take some independent decisions (budgetary sanctions, authorization power, etc.)? Indicators 1. 2. 3. 4. 5.
There is a high level or degree of empowerment at each level in this organization (4 points) There are continuous efforts made to enhance empowerment of employees (4 points) Line managers, particularly seniors, have high, positive attitudes toward empowerment (4 points) Employees down the line are given adequate freedom to take decisions (4 points) There is a high level of delegation and seniors develop juniors to handle higher-level tasks (4 points)
Points
Assessment Criteria
19–20
Delegation and empowerment are professed and practiced by all. The mechanisms are followed well, and are institutionalized.
16–18
80 per cent follow the delegation and empowerment-culture norms, values, and practices. All are conscious of the importance of delegation and empowerment. A few (less than 20 per cent) people may not be delegating and empowering their juniors adequately. However, the practices are reasonably well institutionalized except in some points.
11–15
Most (60 per cent) people delegate and empower their juniors. In about 40 per cent of cases, there is need to improve. Institutionalization is on its way and may be expected in course of time.
6–10
Only about 40 per cent of the employees seem to delegate and empower their juniors. Most of the others profess delegation even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to delegate, and empower their juniors. Delegation and empowerment are not practiced or professed widely in this organization.
0–2
These behaviors are neither professed nor practiced. There may be stray cases of toplevel managers delegating them once in a while. Delegation hardly takes place.
Remarks
Assessment
HRD Culture and Values 231
Learning Orientation There is support to learning from the top management, organizational efforts are made to stimulate learning, and employees have a positive attitude to learning Recommended questions to be asked: To HR Manager: 1. Do the policies and processes encourage employees to learn—through formal training, experimentation, collaboration, or networking? 2. Is there sufficient organizational support and resources dedicated to learning? 3. When a person puts in effort to learn or teach others—are the same recognized? 4. Are there any specific interventions for developing a learning organization? What are these? How has the organization benefited from them? What are causes for failure, if any? To Line Managers/Functional Heads: 1. 2. 3. 4.
To what extent do you find your job exciting? Why? What are various learning methods used? To what extent does your performance management system contribute to your development? How effective is your training and development initiatives? Indicators
1. Top management is supportive of/to learning by employees (5 points) 2. The organization makes special efforts and uses special mechanisms to stimulate learning, for example, any system (5 points) 3. Employees have positive attitudes toward learning (5 points) 4. There is good documentation and knowledge management system existing in this organization which results in competence building (5 points) Points
Assessment Criteria
19–20
If each of the indicators is stated as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the learning culture is strongly institutionalized, and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about the learning culture and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to practice or show all the aforementioned indicators, assign the scores in this range. That is, if the behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels, and most others profess them even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to be learning-oriented and use learning avenues. Learning is not stressed adequately.
0–2
There is no orientation toward learning in this organization. There may be stray cases of top-level managers showing learning orientation once in a while.
Remarks
Assessment
232 HRD Score Card 2500
Openness to Change The top management and senior managers are open and receptive to change. They are aware of the need to change, are open to change, and have formal mechanisms and facilitators to manage change. Recommended questions to be asked: To HR Manager: 1. 2. 3. 4.
How far are top management and employees open to change? Do you organize change management training workshops, etc., for all the employees regularly? Is the top management supportive to the change process and is welcome to new ideas from employees? Are there any mechanisms/systems available for employees to exchange ideas among themselves?
To Line Managers/Functional Heads: 1. How do your subordinates react to new systems or processes? 2. Is the HRD doing substantial amount of work in the area of change management? 3. How much have you been benefited by change management efforts? How should it improve its efforts? Any suggestions? Secondary Data Any published material on change management in the organization. Indicators 1. Top and senior management has a positive attitude toward change (4 points) 2. The employees are conceptually aware about the change process (4 points) 3. Employees with relevant experience are appointed as facilitators/change agents to assist fellow employees in dealing with change (4 points) 4. Employees in the organization are flexible and ready to accept novel ideas/systems/processes (4 points) 5. Top management makes efforts and provides adequate resources to create openness to change (4 points) Points
Assessment Criteria
19–20
If each of the indicators is stated as well as practiced effectively by almost all the top management and senior managers, and it is an internalized culture of the organization, then assign 19–20 points or 5 points for each dimension. Assign this score only if the change management is strongly institutionalized and all managers acknowledge this as culture.
16–18
If most senior managers are vocal about change management and profess the same publicly as well as privately, and most of them (about 80 per cent) seem to show all the aforementioned indicators, assign the scores in this range. That is, if the behaviors or attitudes are professed by all and practiced by most.
11–15
Scores in this range may be assigned if the indicators are shown by about 60 per cent managers at senior levels, and most others profess for openness to change even if they are not able to fully practice.
6–10
Assign in this range if only about 40 per cent of them are able to exhibit the indicators and most of the others profess them even if they are unable to practice.
3–5
Very few of the top-level and senior managers seem to open to change, and it is also professed or promoted mildly across the organization.
0–2
These change management mechanisms are neither professed nor practiced. There may be stray cases of top-level managers showing openness to change once in a while.
Remarks
Assessment
HRD Culture and Values 233
Corporate Social Responsibility Employees are sensitive to their environment and surroundings, and exhibit a high degree of social responsibility and citizenship that extends beyond the organization to the local community and the country where it is located. Recommended questions to be asked: To HR Manager: 1. Is the top management concerned about keeping the environment safe, clean (pollution-free), healthy, and futuristic for the employees and surrounding community? 2. What initiatives have been taken by the organization to upgrade the standard of living of the surrounding communities? 3. What has the organization done in terms of its contribution to the country, and state and local communities? 4. Has the organization supported any activities for the poor and needy or any special groups, without any business interests in mind? To Line Managers/Functional Heads: Are your employees willing to take on social work to help the underprivileged or serve any other sections of the community, and contribute to initiatives taken by the organization? Secondary Data Any award or certificate won by the organization for CSR. Indicators 1. The organization is an active promoter of social development activities (4 points) 2. The organization subscribes highly to the social development activities of the country, various agencies, and governmental and non-governmental bodies (4 points) 3. The organization has taken initiatives to start such local organizations for the upliftment of the lessprivileged (4 points) 4. The organization has taken initiatives to keep its surroundings clean and to upgrade the skills of population in adjoining areas (4 points) 5. Employees participate in CSR activities undertaken by the organization proactively without any force (4 points) Points
Assessment Criteria
19–20
Professed intensely by all top and senior managers. Practiced consistently by almost all senior and top-level managers. Monitored by the organization through various mechanisms. Seems to be deeply ingrained or internalized by all. The behaviors are institutionalized. The organization is well known for its social development activities and support for the same. A significant amount of its resources are allocated for this purpose.
16–18
Professed by all. Practiced by most (about 80 per cent). Monitored to a large extent and reasonably well institutionalized or almost institutionalized.
11–15
Sometimes professed or professed by many of the top and senior management. Practiced by around 60 per cent. Average institutionalization. High institutionalization takes it closer to 15 points.
6–10
Some practice this or exhibit these behaviors sometime. (40 per cent) Sometimes professed or some profess the same. Average level of implementation. Lack deep conviction in professing and practice.
3–5
Very few (20 per cent or less) practice it. Professed and or practiced mildly
0–2
Not professed and not practiced. A few stray cases of practice. Not much is done and is a weak area.
Remarks
Assessment
234 HRD Score Card 2500
Health The organization and its culture emphasize health and promote healthy living. Employees are health-conscious. Recommended questions to be asked: To HR Managers: 1. 2. 3. 4.
What are the facilities available for employees to take care of their health? Does the organization have any avenues to promote healthy living among employees? Does your department conduct any surveys to check the health status of employees? Are there any specific funds provided to the employees to cure any medical disease/disorder?
To Line Managers/Functional Heads: 1. Do you emphasize on your employees being healthy? 2. Are the employees in this organization able to keep the work–life balance? Indicators 1. 2. 3. 4.
Organization arranges for various health check-up camps on monthly/quarterly basis (4 points) Seminars/workshops are organized to create awareness about health and healthy living (4 points) Facilities like gyms, sports clubs, and Yoga classes are conducted for employees (4 points) The organization has followed ergonomics while setting up the infrastructure and office furniture (4 points) 5. Hygienic and healthy food is provided in the canteen/cafeteria (4 points) Points
Assessment Criteria
19–20
Professed intensely by all top and senior managers. Practiced consistently by almost all senior and top-level managers. Monitored by the organization through various mechanisms. Seems to be deeply ingrained or internalized by all. The behaviors are institutionalized.
16–18
Professed by all. Practiced by most (about 80 per cent). Monitored to a large extent and reasonably well institutionalized or almost institutionalized.
11–15
Sometimes professed or professed by many of the top and senior management. Practiced by around 60 per cent. Average institutionalization. High institutionalization takes it closer to 15 points.
6–10
Some practice or exhibit these behaviors sometimes (40 per cent). Sometimes professed or some profess the same. Average level of implementation. Lack deep conviction in professing and practice.
3–5
Very few (20 per cent or less) practice it. Professed and/or practiced mildly.
0–2
Not professed and not practiced. A few stray cases of practice. Not much is done, and is a weak area.
Remarks
Assessment
HRD Culture and Values 235
Safety Employees are tuned to ensure the safety and security of themselves and each other. The organization’s culture is tuned to ensure safety, and physical and mental security of employees. Recommended questions to be asked: To HR Managers/Line Managers/Top Management: 1. 2. 3. 4. 5.
Do you have a safety policy? Is it communicated to all? Is it implemented seriously? Is it taken seriously by all, and are all safety norms and procedures valued? Have there been any accidents or other forms of accidents happening in the past? How well are the safety norms followed? Observations
Observe the extent to which safety norms are being followed, and how strictly they are enforced by the company. Secondary Data Get details of safety and accidents data, and awards won by the company. Indicators 1. Organization follows industrial safety norms (5 points) 2. Organization has a disaster-management team to fight any unexpected situation (5 points) 3. Employees are trained to fight situations like fire (5 points) 4. There have been few instances of accidents in the recent past (5 points) Points
Assessment Criteria
19–20
Well-documented policies exist. Well-implemented policies and processes. Professed and monitored intensely by all top and senior managers. Practiced consistently by all employees. Monitored by the organization through various mechanisms. Seems to be deeply ingrained or internalized by all. The behaviors are institutionalized. The organization has won awards for its safety. Zero incidents on safety grounds.
16–18
Professed by all. Practiced by most (about 80 per cent). Monitored to a large extent and reasonably well institutionalized or almost institutionalized. One or two incidents of safety violations, or action not taken on violations.
11–15
Sometimes professed or professed by many of the top and senior management. Practiced by around 60 per cent. Average institutionalization. Stray incidents of safety issues. Organization has overlooked it, or could have taken it more vigorously. High institutionalization takes it closer to 15 points.
6–10
Some practice this or exhibit these behaviors sometimes (40 per cent). Sometimes professed or some profess the same. Average level of implementation. Lack deep conviction in professing and practice.
3–5
Very few (20 per cent or less) practice it. Professed and/or practiced mildly.
0–2
Not professed and not practiced. A few stray cases of practice. Not much is done and is a weak area.
Remarks
Assessment
236 HRD Score Card 2500
Work Satisfaction and Motivation Employees are satisfied and are motivated to work. Employee engagement is of a high level. Employees have a high sense of pride. Recommended questions to be asked: To HR Managers: 1. How satisfied are the employees in the organization? 2. Does your department conduct any annual surveys to measure the satisfaction or engagement or commitment levels of employees? 3. What actions are taken on the findings? 4. What kinds of measures have been taken by the organization to boost motivation levels of employees? 5. Have you participated in such surveys, and what are the findings? How did you respond to such surveys by business magazines? 6. What attitude does your top management have for such surveys? To Line Managers/Functional Heads: 1. Do your employees feel motivated while doing their work? 2. What are the indicators of employee commitment, engagement with work, and sense of pride out of working for this organization? Secondary Data 1. The employee satisfaction surveys and customer satisfaction surveys. 2. Attendance records. Leave-taking behavior of employees. 3. Workplace facilities to create a family atmosphere. Indicators 1. High commitment or engagement scores in surveys by in-house or external agencies. (4 points) 2. Employees are hardworking, come early to office, stay late, and seem to enjoy working here. (4 points) 3. High retention or low attrition rates. If the attrition is high, it is mainly due to the environmental pull rather than any push factors. Internal pull to stay are higher. (4 points) 4. Employees gain new skills and competencies. (4 points) 5. Most of the employees have stayed for long in the organization. The absenteeism rate is quite low among employees. (4 points) Points 19–20
Assessment Criteria Top management and senior managers are highly sensitive to employee engagement, and commitment processes. The organization does a lot of studies, surveys, and interventions to diagnose the work motivation, employee satisfaction, and commitment as well as to maintain them at a high level. All top-level managers profess intensely the need to keep employees motivated and engaged. Work satisfaction, commitment, and engagement are ensured consistently by almost all senior and top-level managers through various mechanisms. Monitored by the organization through various mechanisms. Concern for ensuring and maintaining work motivation and commitment seems to be deeply ingrained or internalized by all. There is a lot of introspection and self-renewal thinking ingrained in this organization, and it is institutionalized.
Assessment
HRD Culture and Values 237
16–18
Commitment and employee motivational issues are professed by all. And ensured (practiced) by most (about 80 per cent). The processes to ensure work motivation and employee engagement are monitored to a large extent, and are reasonably well institutionalized or almost institutionalized.
11–15
Sometimes professed or professed by many of the top and senior management. Practiced by around 60 per cent. Average institutionalization. High institutionalization takes it closer to 15 points.
6–10
Some practice this or exhibit these behaviors sometimes (40 per cent). Sometimes professed or some profess the same. Average level of implementation. Lacks deep conviction in professing and practice.
3–5
Very few (20 per cent or less) show concern for employee satisfaction-related issues or practice behaviors to promote it. Professed and or practiced mildly.
0–2
Not professed and not practiced. A few stray cases of practice. Not much is done, and is a weak area.
Remarks
Total HRD Culture Score Add the scores on OCTAPACE values and organizational culture separately and enter here. Dimension
Maximum Points
OCTAPACE Values
160
Organizational Culture
340
Total HRD Culture Score
500
Your Score
(Add scores on all the 25 dimensions)
Letter Grade
10
160
340
A*
10
19–20
37–40
55–60
91–100
145–160
307–340
A
9
17–18
33–36
49–54
81–90
129–144
273–306
B*
8
15–16
29–32
43–48
71–80
113–128
239–272
B
7
13–14
25–31
37–42
61–70
97–112
205–238
C*
6
11–12
21–24
31–36
51–60
81–96
171–204
C
5
9–10
17–20
25–30
41–50
65–80
137–170
D*
4
7–8
13–16
19–24
31–40
49–64
103–136
D
3
5–6
9–12
13–18
21–30
33–48
69–102
F
2
3–4
5–8
7–12
11–20
17–32
35–68
F*
1
1–2
1–4
1–6
1–10
1–16
1–34
U
Maximum Points 20
40
60
Ungraded
100
238 HRD Score Card 2500
HRD Culture and Values Score = 500 Add the scores on the 25 dimensions. 451–500 = A* (Highest score and highest maturity level) 401–450 = A (Very high maturity level) 351–400 = B* (High maturity level) 301–351 = B (Moderately high maturity level) 251–300 = C* (Moderate maturity level) 201–250 = C (Moderately low maturity level) 151–200 = D* (Low maturity level) 101–150 = D (Very low maturity level) 51–100 = F (Not at all present) >51 = F* U = Ungraded
Unit 6
HRD Impact and Alignment HR’s impact can be measured in terms of three categories of variables: 1. Immediate impact measured through financial variables indicated by some of the financial results or measures attributable to HR 2. Immediate impact measured through talent management indicators as it is human talent that converts all the other resources into products, services, and contributes to the financial measures 3. Long-term impacts measured through contributions to intellectual capital formation Of these three, intellectual capital formations measures have come into prominence in the recent past. Analysis of most organizations reveals that their market value is several times the total value of their tangible assets. The intellectual capital of any organization is determined by subtracting the value of all fixed and tangible assets of the company from the market value at that point of time. For Microsoft, it is said that the intellectual capital is valued at 97.5 per cent of the total market value. Similarly, for most top-level organizations in India and other Asian countries, their market value is far higher than the value of tangible assets, thus indicating their intellectual capital. HR has a major role to play in contributing to intellectual capital and hence the need to measure the same. Adequate emphasis is given in this section to measure the impact of HRD on intellectual capital.
Impact of HRD 1. Talent Attraction and Acquisition 2. Inducting Talent: Assimilation and Integration 3. Utilizing Talent: • Performance Management • Mentoring and Coaching • Feedback 4. Spotting and Developing Internal Talent:
240 HRD Score Card 2500
5.
6.
7.
8.
9.
10.
• Competency Assessment and Development • Training and Learning Systems • Career and Succession Planning • 360 Degree Feedback and Other Interventions Retaining and Rationalizing Talent: • Organizational Research and Surveys • Employee Engagement Surveys • Compensation Surveys Organizational Structure and Systems: • Right Sizing • Separation Management • Succession Planning • Review and Redesigning Structures Intellectual Capital Formation and Augmentation: • Structural Capital • Human Capital • Social Capital • Emotional Capital • Relationship Capital • Knowledge Capital Structural Capital: Customer Capital • Customer Contracts and Relationships • Loyalty and Satisfaction • Market Share, Image, and Reputation • Service Levels • Brands, Distribution Networks, and Channels • Popularity of Revenue-generating Activities Structural Capital: Organizational • Relates to Internal Operations and Efficiency • Strategies for Competitive Advantage • Facilitating Structure • Sound Strategy • Systems • Methodologies • Operational Processes • All Recorded Knowledge • Patents and IPRs • Know-how • Database • Technology Interventions for Structural Capital:
HRD Impact and Alignment 241
11.
12.
13.
14.
15.
• HR People to Be Familiar with Customers and Markets • Use Balanced Score Card • Think of Business Strategies • Quantify Service Levels and Link Performance Appraisals with Service Levels • Review Organizational Structures and Strategies • Encourages IPR and Respect for Knowledge • Synergistic Partnerships Human Capital: • Individual Capability and Commitment • Personal Knowledge and Experience • The Way People Work Together • Their Relationships Inside and Outside • The Culture of the Organization Social Capital: • Trust • Enthusiasm • Team Work and Ability to Work Together • Seeking and Giving Help • Exchange of Ideas • Project Teams, CFTs, Communications to Promote This • Reputation and Image in Connection with the Community that Creates Brand Emotional Capital: • Passion, Obsession, Motivation, Innovation, Enthusiasm, etc. • Motivational Profile of the Organization • Achievement, Power, Superordinate Goals Relationship Capital: • Relationships with Customer • Relationships with Suppliers • Within the Firm Relationships • Employee Relations • Team work, etc. (Best employer studies of BT indicates this) Knowledge Capital: • Knowledge coming from New Experiences • Everyday Experiences, Problem-solving, Experimentation, New Projects, Markets, Mistakes • Expressed in terms of New Services, Revised Processes, Best Practices • Tacit Knowledge like Mobilizing Collective Intelligence • Continuing Innovation in Products and Services • Competent and Knowledgeable People.
The results of HRD impact should be shown in some form or the other. All HRD activities should result in some benefits to the organization, individuals, or teams. There can be both direct and indirect measures of impact. The measures are also indicators of impact.
242 HRD Score Card 2500
Assessment Category
Points to be Assigned
Criteria
5
Extraordinarily High Impact
Almost all the indicators can be seen. The impact is widely felt and everyone perceives the impact. It is clearly attributable to HR interventions and efforts.
4
High Impact
Most of the indicators are true. The impact has been significant and is well experienced and acknowledged by most.
3
Moderate Impact
The impact has been of average or to a moderate degree. On some of the indicators, it has made a significant impact.
2
Low Impact
The impact has been felt mildly and by a few. It is not to a noticeable extent.
1
Very Low to Negligibly Low Impact
Very low impact.
0
No Impact
There is no evidence on any of the indicators.
–1
Negative Impact (reverse is true)
There is a little negative impact as a result of HR interventions. It may have worsened the situation than before.
–2
Significantly Negative Impact
There is a significant negative result. The reverse of the indicators is true. The situation is clearly more bad than before.
Conversion Table The assessors may decide to use any of the following scales. The first five dimensions dealing with HR impact on talent and the last one on financial performance are assigned 50 points each. However, the assessors may decide to assess them on a 5 point scale each or a 10 point scale or a 20 or 50 point scale. The assessors are given this choice to suit their preferences and convenience. For their convenience, the following conversion table is suggested. Each of the 10 dimensions of HR impact on intellectual capital is given a weightage of 20 points each. The conversion table is intended to help. Please note that negative marks are also assigned for this section. Though it is not always usual to find negative impact, it is not possible and to give adequate representation to the negative impact, this category has been included. If there is a negative impact in some of the areas, the points automatically get reduced in the final addition of the points, the maximum for which is 500. Here, theoretically the scores could range from 200 to 500 points. However, any score below 100 points is considered a no impact or poor impact. F* is indicated to scores in the negative direction. We recommend the use of a 5 point scale for ease of assessment and latter conversion to the point scores. While converting the assessment into a 50 point scale from a 5 point scale, the task force or the audit team may discuss the finer points and decide the adjustment points in the interval. For example, if an organization is assigned 5 points on a 5 point scale, to convert into 46 points or 50 points depends on the team’s assessment of the level of perfection within that category. This could be done by discussion. Alternatively, at the time of assessment itself, it could use a 50 point scale.
HRD Impact and Alignment 243
Conversion Table 5 Point Scale
50 Point Scale
5 4 3 2 1 0 –1 –2
46–50 36–45 26–35 16–25 6–15 0–5 –1 to –10 –11 to –20
20 Point Scale 20 16–19 11–15 6–10 2–5 0–1 –1 to –4 –5 to –8
10 Point Scale 10 8–9 6–7 4–5 2–3 0–1 –1 to –2 –3 to –4
Dimensions Index for HRD Impact Dimension Talent Management
1. Talent Attraction and Acquisition
50
3. Talent Management: Human Resource Utilization and Employee Engagement—(PMS, Placements, Incentives, etc., Performance Management, Mentoring and Coaching, and Feedback)
50
4. Talent Management: HR Development or Competency-building and Renewal
50
5. Retention and Separations Management
50 250
6. Intellectual Capital Formation and Structural Capital: Customer Capital
20
7. Intellectual Capital: Impact on Structural Capital Formation Attributable to HR Interventions
20
8. Intellectual Capital Formation: Contributions to Human Capital Formation
20
9. Intellectual Capital Formation: Contributions to Social Capital
20
10. Intellectual Capital: Contributions to Emotional Capital
20
11. Intellectual Capital: HR Contributions to Relationship Capital
20
12. Intellectual Capital: Contributions to Knowledge Capital Formation
20
13. HRD Systems, Strategy, and Structure
20
14. HRD Competencies
20
15. Values and Culture
20
Total Points Financial Measures
50
2. Talent Management: Induction and Integration
Total Points Intellectual Capital
Maximum Points
200 16. Financial Performance Indicators Attributable to HR
50
244 HRD Score Card 2500
Dimensions Dimension
1. Talent Attraction and Acquisition
Indicators
1. Number of applicants and job-seekers is extremely high, and may have gone up remarkably or even extraordinarily. 2. Our reach is very high to attract candidates. 3. More competent people are being recruited 4. The average time taken between requisitioning for talent and availability of competent staff has decreased remarkably (measurable for the company). 5. The ROI on recruitment is high: Amount spent on recruitment of competent people (ready to deliver and contribute to the company) being recruited. 6. There are process improvements like competency-based interviewing, assessment centers, interviewer training, innovative reach-out programs, reaching out to more institutions and candidates, other innovations like use of current employees, etc. 7. Pre-acquisition of soft asset is done with due diligence. 8. Performance of newly hired applicants is good. 9. A high percentage is being hired on the basis of a validated selection test. 10. Number of qualified applicants per position has gone up.
Methodology
1. Compare the figures of average time taken between receiving of requisition from the department to making them available. 2. Examine the per employee procurement costs. 3. Interview line managers to find out the time taken by new employee to start contributing, and compare with the past. 4. Examine if process improvements have been made in terms of competency mapping, interviewer education on competencies, use of competencies for recruitment, efforts made to popularize the organization, and innovations used for attracting talent. 5. Check statistical data on number of applicants per position, etc. 6. Check performance appraisals of new hires.
Assessment
(Scores may range from –2 to 5 or from –20 to 50 depending on the scale you choose)
Dimension
2. Talent Management: Induction and Integration
Indicators
1. New recruits are available and ready to contribute in a short period of time after their joining to start performing. 2. New recruits are fully aware of all facets of the organization including its business, markets, customers, products, working styles, culture, vision, values, goals, competitors, challenges, technology used, expectations of the organization from the individual, facilities offered, constraints, personnel policies, etc. 3. New recruits are aware of the KPAs or are made aware within the first week or a few days after they join. 4. There are no surprises for the new recruits about the organization. 5. The number of days within which a new hire is available for use or productive work has reduced. 6. New recruits are satisfied with the induction process. 7. Number of hours spent on training new recruits, and participation of seniors in training.
HRD Impact and Alignment 245
Methodology
1. Interviews. 2. Data from the HODs about new hires. 3. Interviews with new hires.
Assessment
Dimension
3. Talent Management: Human Resource Utilization and Employee Engagement (PMS, Placements, Incentives, etc., Performance Management, Mentoring and Coaching, and Feedback)
Indicators
1. Increased employee commitment or engagement as indicated by surveys, and this is attributable to HR policies and interventions. 2. Line managers’ perception that there is more effective utilization of employees. 3. Increase in per employee revenues. 4. Per employee profits have gone up. 5. Employees are able to use other organizational resources more effectively. 6. There is increased satisfaction and morale. 7. Increased efficiency due to talent utilization. 8. Decreased bureaucracy. 9. PMS is taken seriously, and used effectively for performance planning. 10. Percentage of poor performers has gone down. 11. Employee time and talent are well utilized.
Methodology
1. Survey data 2. Interview data 3. Analysis of PMS data
Assessment
Dimension Indicators
4. Talent Management: HR Development or Competency-building and Renewal 1. Availability of internal talent as and when needed. 2. ROI on training measured notionally by increased efficiency, effectiveness, time savings and cost savings, enhanced problem-solving capability, and innovations and quality improvements. 3. Change in employee mindset. 4. Employee competency growth. 5. Employee satisfaction with advancement and career opportunities. 6. Extent to which employees have access to knowledge and information they need. 7. Extent to which HR is helping to develop leadership competencies. 8. Percentage of internal promotions to new recruits. 9. Percentage of jobs filled from within. 10. Extent to which average employee understands how his or her job contributes to the organizations’ performance.
Methodology
1. Check the investments made on training and returns as measured or felt by line managers. 2. Check documents, and training, audit and evaluation. 3. Interview line managers to seek their views. 4. Collect secondary data where available.
Assessment
246 HRD Score Card 2500
Dimension
5. Retention and Separations Management
Indicators
1. Regrettable attrition rates (attrition of good performers) as compared to the past or to the industry in the same sector, city, time, etc. 2. Percentage hike in emoluments offered by new employers to those leaving. 3. Pride and satisfaction with the company, and goodwill with which separation takes place on the part of those shifting jobs. 4. Percentage of those left wishing to return on re-employment. 5. Percentage of separations of superior performers averted (as to the possible separations). 6. Extent to which those separating made arrangements to take care of the gap created by their separation.
Methodology
1. Retention surveys and attrition analysis data. 2. Exit interviews. 3. Specially commissioned surveys.
Assessment
Dimension
6. Intellectual Capital Formation and Structural Capital: Customer Capital
Indicators
1. Increased customer base attributable to competency improvements or other HR interventions. 2. Increased speed of service attributable to competency building and other HR. 3. Decreased customer complaints and increased praise attributable to HR interventions. 4. Improvements in customer contracts and relationships attributable to HR interventions or new competencies. 5. Increases in customer loyalty and satisfaction attributable to HRD initiatives or impact. 6. Increases in market share, image, and reputation attributable to HR initiatives. 7. Enhancements in service levels attributable to HR interventions. 8. Improvements and enhancements or introductions of brands, distribution networks and channels attributable to HR interventions. 9. Popularity of revenue-generating activities.
Methodology
1. A large part of this is expected to take place out of sales and marketing departments. Interview with the sales and marketing employees, and linking up the HR incentives undertaken for them will give some data. This needs to be probed by experienced interviewers. 2. Customer interviews and customer conclaves or any dialogues. 3. Analysis of customer praise and complaints.
Assessment
Dimension Indicators
7. Intellectual Capital: Impact on Structural Capital Formation Attributable to HR Interventions 1. Improvements in internal operations and efficiency. 2. Formation of strategies for competitive advantage. 3. Formation of new and facilitating structures, sound strategy, systems, and methodologies. 4. Improvements in operational processes. 5. Improvements in documentation, database, and records of knowledge. 6. Contributions to patents and Intellectual Property Rights (IPRs). 7. Enhancement of know-how. 8. Development, and/or use of new technology.
HRD Impact and Alignment 247
Methodology
1. Interviews and discussions with research and development, production or manufacturing and technical teams are likely to provide impact data on these issues. 2. Strategic planning team also gives insights. 3. Records and data analysis. The improvements should be directly or indirectly traceable to HR interventions.
Assessment
Dimension
8. Intellectual Capital Formation: Contributions to Human Capital Formation
Indicators
1. Enhancements in individual capabilities and commitments 2. Enhancements of personal knowledge and experience 3. Improvements in the way the people work together and bring synergy at the work place 4. The energizing relationships of people inside and outside 5. Creation of a healthy and energizing culture
Methodology
1. Interviews 2. Observation from general interactions with employees
Assessment
Dimension
9. Intellectual Capital Formation: Contributions to Social Capital
Indicators
1. 2. 3. 4. 5. 6.
Methodology
1. Interviews with HR staff and local communities, as well as communication with customers 2. Newspaper reports, and journal and business magazine articles on the firm and its social settings
Extent to which ‘trust’ has been built into the social system Extent to which ‘enthusiasm’ has been built into the system or culture Extent to which ‘team work’ and ability to work together have been enhanced Extent to which ‘seeking and giving help’ has been inculcated into the culture Extent of exchange of ideas Contributions to reputation and image in connection with the community that creates brand through various CSR, Health, Safety and Environment (HSE), and other interventions
Assessment
Dimension
10. Intellectual Capital: Contributions to Emotional Capital
Indicators
1. Extent to which the employees exhibit passion, obsession, motivation, innovation, enthusiasm, etc., attributable to HR interventions 2. Achievement motivation or drive for excellence in whatever they do 3. Extent to which the employees passionately speak about the vision, dreams and superordinate goals of the organization, and the wideness of such shared passion is spread across the organization irrespective of levels, location, and departments
Methodology
1. 2. 3. 4.
Assessment
Interviews Observation of the CEO speeches, and line managers and cross-section of employees Awards, newspaper articles, magazine reports, in-house letters, etc. Interviews with employee families, and informal interactions
248 HRD Score Card 2500
Dimension
11. Intellectual Capital: HR Contributions to Relationship Capital
Indicators
1. 2. 3. 4.
Methodology
1. HR in its work with materials department, sales and marketing staff, unions and associations, and through social gathering, etc., creates a relationship capital. In some of them, they could play a direct role, and in others, an indirect role. 2. Interviews with the respective departments help assessing the impact on the relationship capital. 3. Surveys by Hewitt, business magazines, ORH surveys, etc., indicate the same.
Relationships with customers. Relationships with suppliers. Relationships within the firm. Employee relations including team work, etc. (Best employer studies of BT indicates this).
Assessment
Dimension
12. Intellectual Capital: Contributions to Knowledge Capital Formation
Indicators
1. Knowledge coming from new experiences: everyday experiences, problem-solving, experimentation, new projects, markets, and mistakes (assimilating and experiencing new knowledge). 2. Knowledge capital expressed in terms of new services, revised processes, and best practices. 3. Tacit knowledge like mobilizing collective intelligence. 4. Continuing innovation in products and services. 5. Recognizing and respecting competent and knowledgeable people.
Methodology
1. Creation of learning organization, self-renewal exercises, in-house seminars, conferences, and other innovative HR practices are needed for this. HR should see itself as knowledge managers and learning-culture creators. 2. This can be assessed through examination of follow-up surveys, reports on OD interventions, self-renewal exercises, the way the organization documents and deals with mistakes, successes and failures, awards, celebrations, etc.
Assessment
Dimension
13. HR Systems, Strategy and Structural Capital (Impact of Organizational Structures and Restructuring, Mergers and Acquisitions, and Renewal and Integration Interventions)
Indicators
1. Extent to which employees are clear about their jobs and have well-defined performance indicators 2. Extent to which information is shared, and employees are aware of the vision and strategic intent of the company 3. Improvements in cost savings, efficiency improvements, speed of decisions, service quality levels, etc., resulting out of restructuring exercises 4. Smoothness with which M&As have been managed, and the extent to which M&As have energized and breathed new life into the organization 5. Smoothness with which the structure is functioning 6. Extent of conflicts and effectiveness of conflict resolution mechanisms 7. Extent to which they have reviewed organizational structures and strategies 8. Extent to which HR can think of business strategies 9. Extent to which HR has quantified service levels and linked performance appraisals with service levels 10. Extent to which HR has encouraged IPR and respect for knowledge 11. Extent to which HR has promoted synergistic partnerships
HRD Impact and Alignment 249
Methodology
1. Some of these are intermittent process variables. These could be measured through perceptions of line managers as well as self-reported interventions of HR professionals. If this process itself is weak, there cannot be any intellectual capital formation with the help of HR. 2. Interviews with HODs and line managers on the structure and M&As 3. Studies by consultants and documents, if any. 4. HR has to play a definite role to score points.
Assessment
Dimension
14. HRD Competencies
Indicators
1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Methodology
Extent of familiarity of HR people with customers and markets. Extent to which HR professionals are perceived as administrative experts Extent to which firm’s HR professionals are perceived as agents of change Extent to which firm’s HR professionals are perceived as business partners Number of employees per HR professional Percentage of HR budget spent on outsourced HR activities Extent to which decision-making style can be considered as participative Extent to which HR systems are seen as credible Extent to which the executive leadership team is visionary Extent of familiarity and use of a balanced score card
1. Interviews 2. Observations 3. Organizational survey reports and diagnostic studies
Assessment
Dimension Indicators
15. Values and Culture Capital 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15.
Adherences of employees to values like cost consciousness, quality, etc. Institutionalized climate surveys with follow-up actions Degree to which a shared mindset exists Effectiveness of information sharing among departments Extent of cross-functional team work Extent of organizational learning Extent to which information is communicated to employees Extent to which firm shares relevant business information widely and freely with employees Percentage of employees making suggestions Extent to which senior management sees each employee as a source of value creation than cost to be minimized Extent to which firm attempts to provide job security even if the performance is declining Extent to which firm has developed and communicated financial performance Extent to which firm has developed and communicated measures of customer reactions and loyalty Extent to which firm has developed and communicated measures for key business processes Extent to which firm has developed and communicated measures for measuring learning and growth (Contd)
250 HRD Score Card 2500
(Contd) Methodology
1. Interviews 2. Observations 3. Survey reports
Assessment
Dimension Indicators
16. Financial Performance Indicators Attributable to HR 1. Cost reductions attributable to (departmental or individual) competencies 2. Degree of financial literacy among employees 3. Increases in sales per employee attributable to HR interventions 4. Market value to book value attributable to HR (image and brand-building due to competent managers and leadership development) 5. Extent to which top management shows commitment to leadership and knowledge sharing
Methodology
1. Hard data 2. Interviews with CEO and HODs
Assessment
1. Impact on talent management: Add the scores of the first five dimensions after converting them to the 50 point scale. Maximum score is 250 and minimum score is minus 100. 2. Impact on intellectual capital: Add the scores on the next 10 dimensions on intellectual capital after converting each of the assessments to a 20 point scale. The maximum possible score is 200 points and minimum possible score is minus 80 points. 3. Impact on financial performance: Convert the scores to a 50 point scale if any other scale has been used. Maximum score is 50 points and minimum is minus 20 points. Add the scores 1, 2, and 3. The total scores may range from –200 to + 500.
HRD Impact and Alignment = 500 451–500 = A* (Highest score and highest impact and alignment) 401–450 = A (Very high impact and alignment) 351–400 = B* (High impact and alignment) 301–351 = B (Moderately high impact and alignment) 251–300 = C* (Moderate impact and alignment) 201–250 = C (Moderately low impact and alignment) 151–200 = D* (Low impact and alignment) 100–150 = D (Very low impact and alignment) 0–100 = F (No impact and alignment ) –200–0 = F* (Negative impact and poor alignment. Matter of high concern) U = Ungraded
HRD Impact and Alignment 251
Letter Grade
10
20
50
60
100
A*
10
19–20
46–50
55–60
91–100
181–200
226–250
A
9
17–18
41–45
49–54
81–90
161–180
201–225
B*
8
15–16
36–40
43–48
71–80
141–160
176–200
B
7
13–14
31–35
37–42
61–70
121–140
151–175
C*
6
11–12
26–30
31–36
51–60
101–120
126–150
C
5
9–10
21–25
25–30
41–50
81–100
101–125
D*
4
7–8
16–20
19–24
31–40
61–80
76–100
D
3
5–6
11–15
13–18
21–30
41–60
51–75
F
2
3–4
6–10
7–12
11–20
21–40
26–50
F*
1
1–2
1–5
1–6
1–10
1–20
1–25
U
Maximum Points
Ungraded
200
250
Unit 7
HRD Audit Instruments At present, the following types of questionnaires are available to assess HRD, its implementation, and effectiveness: 1. HRD audit questionnaires to assess the effectiveness of HRD systems, processes, and the function as perceived by all supervisory-level employees. 2. Map your HRD practice profile to assess the extent and the effectiveness with which various HRD activities are being performed by the HRD staff or department. 3. Professional preparation of HRD staff profile to assess the extent to which professional preparation and competencies are required to perform various HRD roles and tasks that exists in the organization. 4. HRD climate questionnaires to assess the extent to which an HRD climate (openness, trust, collaboration, authenticity, autonomy, pro-action, confrontation, and experimentation) exists in the organization. (This is also a part of questionnaire 1 and hence not reproduced separately.) 5. HRD competencies checklist to assess the extent to which each individual HRD staff member has HRD competencies. The following additional tools are also available from different sources: 6. TVRLS HRD-KA test to assess the knowledge and attitudes base of HRD managers.1 7. TVRLS HRD-LOC test to measure the extent to which the HRD managers believe in their own ability to influence HRD implementation and have a desired HRD influence.2 8. Training effectiveness questionnaire to assess the extent to which the training function is being effectively managed.3 9. Performance planning and development questionnaire to assess and monitor the implementation of development-oriented appraisals.4 10. Effective counselor attitudes questionnaire to assess the extent to which any employee has the attitudes required to be a counselor or helper.5 1 2 3 4 5
The test is available from TVRLS. It is not reproduced here for professional reasons. See Rao, T. V. 1999. HRD Audit. New Delhi: Response Books (A Division of Sage Publications). See Rao. T.V. 1990. HRD Missionary. New Delhi: Oxford and IBH or write to
[email protected]. Ibid. See the Performance Planning and Management Manuals by TVRLS, Ahmedabad or write to
[email protected]
HRD Audit Instruments 253
11. Leadership and supervisory styles questionnaire to assess the extent to which the senior managers and HRD staff have the people-management philosophy and styles, which are in congruence with the HRD and a learning organization.6 12. For other tools on organizational climate, refer to Measuring and Managing Organizational Climate written by D.S. Sarupriya, P. Sethumadhavan and T.V. Rao published by the Academy of HRD, Ahmedabad.
HRD Audit Questionnaire This is the most comprehensive questionnaire available for an HRD audit. This is to be administered on line managers and HRD staff. This questionnaire is meant for supervisory and English-speaking categories. The questionnaire may be administered to all employees or on a sample, depending on the exhaustiveness intended by the organization. This questionnaire has the following sections: No.
Dimensions
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26.
A: Career System A1. Manpower Planning and Recruitment A2. Potential Appraisal and Promotions A3. Career Planning and Development B: Work Planning B1. Role Analysis B2. Contextual Analysis B3. Performance Appraisal Systems C: Development System C1. Learning Systems/Training Questionnaire C2. Performance Guidance and Development C3. Other Mechanisms C4. Worker Development D: Self-renewal Systems D1. Role Efficacy D2. Organizational Development D3. Action-oriented Research E: HRD E1. HRD Climate/Top Management Commitment E2. Values in the Organization E3. Quality Orientation E4. Rewards and Recognition E5. Information E6. Communication E7. Empowerment F: HRD Function
27.
G. Competency Mapping, 360 Degree Feedback, and Assessment and
28.
Development Centers H: Strengths, Weaknesses, and Suggestions Total
6
See HRD Missionary or write to:
[email protected]
No. of Items 12 10 7 10 10 18 28 15 10 6 10 11 10 18 10 12 8 14 12 10 14 21 3 279
254 HRD Score Card 2500
Types of Analyses The following types of analyses can be done using the data:
Item-wise Analysis The most important use of the questionnaire is the item-wise analysis of the data. The percentage score on each item is calculated from the item-wise averages. Tabulate for each item the average score obtained for different respondent categories (either department-wise, unit-wise,or designation-wise, etc.). The overall average across the total sample indicates the current practice level, or effectiveness level of the company on that item. The average score could be converted into a percentage score using the following formula. Percentage score = (item average – 1) × 25 Benchmarking data are available from TVRLS for each item. The benchmarking data gives the highest score, the lowest score, and the standard deviations for each item for various organizations on whom the questionnaire has been administered so far. Normally, scores above 75 per cent indicate that the organization is excellent on that item. Scores below 60 per cent indicate scope for improvement, and scores below 50 per cent indicate weakness areas.
Dimension-wise Analysis There are in all 21 dimensions in this questionnaire. Dimension-wise average scores can be obtained by totaling the item-wise averages on the dimension and dividing by the number of items in that dimension. The percentage score can be obtained using the formula. Percentage score = (dimension average – 1) * 25 The overall HRD score can be obtained by adding up the dimension-wise, percentage-wise scores, and then dividing by 21. This overall score is indicative of the general level of HRD effectiveness of the company.
Assets and Liabilities Analysis The assets and liabilities in terms of HRD may be analyzed under different categories. The same aforementioned 21 categories could be used for such an analysis. Identify those dimensions where the percentage score is less than 50. These may be put on the liability side. The items under this dimension which score less than 50 are considered as liabilities in relation to that item, and those dimensions where the scores exceed 50 are considered as assets. One can prepare list of assets and liabilities using this scheme. However, for further differentiation, you can use different cut-off
HRD Audit Instruments 255
points, for example, those items scoring above 60 can be considered as assets, and those below 40 considered as liabilities.
Analysis of Open-ended Questions The open-ended questions could be content-analyzed and tabulated department-wise or grade-wise depending on the choice of the investigator. A simple frequency distribution can be used. (This is a copyrighted tool available with TVRLS at http://
[email protected] or
[email protected].)
TVRLS HRD Audit Questionnaire (Abbreviated version)7 A number of statements dealing with human resources development in your company are given below. Please assess the extent to which each statement describes your organization using the following five point rating scale. 1. 2. 3. 4. 5.
5 = Very much true (90–100 per cent) 4 = Mostly true (75 per cent) 3 = Somewhat true (50 per cent) 2 = Not true, most of the time (25 per cent) 1 = Not at all true and perhaps the opposite may be true (0–10 per cent)
A. Career System A1. Manpower Planning and Recruitment 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 7
Manpower requirements of each department/work unit are identified well in advance. Manpower planning and business plans are closely linked. Retirements and vacancies form a part of manpower planning. Manpower plans are prepared for 3–5 years. Departments send manpower requirements in advance to the personnel or HR department. Capabilities of employees are utilized well here. Selection process is objective and ensures that competent people are recruited. Valid and standardized tests are used for recruitment. Line managers are involved in manpower planning. Line managers are trained on interviewing and other selection techniques. Candidates are given adequate information about the company during recruitment. Candidates are given opportunity to visit the company before they are finally selected.
This is a copyrighted tool developed by T.V. Rao and Udai Pareek and its full version is available along with benchmarking data with TVRLS at http://
[email protected] or
[email protected]. The version presented here is sufficient for audit purposes.
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A2. Potential Appraisal and Promotions 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Key competencies for each job are identified. Potential of employees is assessed for higher-level responsibilities in terms of key competencies. Promotions are based on needs rather than to accommodate individuals. Promotion decisions are taken objectively. The company has satisfactory promotion policies. Promotion policies are known, and widely shared with employees. I get adequate feedback about my qualities and potential for performing higher-level jobs. Promotion decisions consider good performance. Company helps employees to identify and develop their potential for higher-level jobs. Job rotation is being done to help people understand and develop their potential in new areas.
A3. Career Planning and Development 1. 2. 3. 4. 5. 6. 7.
Career paths are laid down for employees. I clearly know the possible career path for me in the company. Employees are made aware of the career opportunities/limitations in the company. Senior employees share expansion/diversification plans to provide career-related information. Succession planning is done in advance. Seniors provide career-related information and advice. Effective schemes are there for identifying potential leaders and motivating others.
B. Work Planning B1. Role Analysis 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Key performance areas as identified for each employee, once in every year. Key performance areas provide role clarity and direction to employees. Supervisors help employees to plan work effectively. Goal-setting exercises help employees stretch their capabilities to the maximum. I have a fairly clear idea of tasks I am expected to perform. I am clear about my appraising officer’s expectations. I am clear about my reviewing officer’s expectations. I receive periodic feedback from my boss on my performance. I give feedback to my juniors on their performance. Employees have a say in planning their work.
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B2. Contextual Analysis 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
There is a mechanism of preparing comprehensive annual performance plans. Annual performance plans are realistic and challenging. Annual performance plans are shared with each department/section. Departments plan their work annually on the basis of organizational plans. Annual performance plans are based on thorough and systematic analysis of internal and external environment. Annual reviews here help employees learn from the previous year and plan better for the subsequent year. Annual planning is taken seriously by the employees. Individual work plans are based on contextual factors. Company strategies are shared with employees for better planning. Employees are helped to plan work effectively.
B3. Performance Appraisal and Management System (PMS) 1. Each employee grasps what is expected of him with the help of the executive appraisal system (PMS). 2. The PMS helps appraisee and appraiser to have joint knowledge of each appraisee’s job. 3. PMS helps managers to plan well. 4. With the help of PMS, superiors know the support they need to give. 5. Self-review and reflection is facilitated by the PMS. 6. The PMS helps the appraisee and appraiser to have a common understanding of the factors affecting the performance of the appraisee. 7. Discussions between the appraiser and the appraisee on the expectations, achievements, failures, constrains, and improvements required in the PMS. 8. PMS provides scope for reflection and assessment of each appraisee on the personality factors and other competencies. 9. PMS encourages open discussion between appraisee and appraiser through reviews. 10. Developmental needs come to the fore in our PMS. 11. PMS provides scope to correct biases through a review process. 12. PMS attempts to strengthen relationships through trust and mutuality. 13. PMS provides scope for giving insights into strengths and weaknesses. 14. PMS helps discover an individual’s potential. 15. PMS aids the communication of business plans to staff. 16. Objectives of the PMS are clear. 17. Periodic orientation programs are conducted to explain the objectives and process of PMS. 18. The data generated from PMS provides objective indications of actual performance.
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C. Development System C1. Learning Systems or Training Questionnaire 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28.
Induction programs are given importance. Induction is well-planned. Induction is of sufficient duration. Induction provides comprehensive information. Norms and rules are explained clearly in the induction. Seniors take interest in induction programs. New recruits find induction very useful. Induction training is evaluated periodically. Technical knowledge and skills are given thorough training. Training function emphasized the development of managerial competencies. There is adequate effort made through training to develop human skills among managers. Employees are sponsored for training on the basis of carefully identified development needs. Training is taken seriously by all employees sponsored for the same. Employees participate in determining training needs. Employees know which skills are to be acquired. Briefing and debriefing sessions are conducted for employees sponsored for training. In-company programs are handled by excellent faculty. Quality of in-house programs is excellent. Adequate time is provided for employees returning from training to reflect and plan improvements. Line managers provide the right climate to implement new ideas and methods. External training programs are chosen carefully. There is a well-designed and shared training policy here. Adequate follow-up is conducted on major training programs. Impact evaluation of training is conducted to improve the utilization of training. HRD department prepares training strategy in the light of business strategy. Internal faculty is well trained. Training leads to experimentation and action. Employees are helped to learn new ideas and to try out new concepts.
C2. Performance Guidance and Development 1. Line managers help subordinates with performance guidance and spend time needed. 2. Appraisees are helped to plan performance by reporting to officers in the beginning of the year. 3. Educative appraiser–appraisee discussions take place here. 4. Self-appraisal system exists and is practiced. 5. Thorough self-appraisal by executives is undertaken in terms of performance analysis. 6. Serious performance review discussions take place here and managers spend time on these.
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7. 8. 9. 10. 11. 12. 13. 14. 15.
The performance review discussions are of high quality here. Efforts are made by appraisers to be objective in their appraisals. HRD department follows up seriously the training needs mentioned in PMS. Appraisal helps in job rotation, enrichment of decisions, etc. Appraisals help recognize and encourage high performance. Appraisals are used by reviewing officers to reduce or eliminate biases in their juniors. HRD discusses appraisal with line managers. Adequate feedback provided by HRD to line managers on their rating behavior and biases. Appraisal facilitates appraiser–appraisee growth and learning.
C3. Other Mechanisms 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Senior managers act as good role models. Mentoring is followed here. Self-learning is encouraged here. Internal seminars/discussions are organized. Task forces and small groups are used to develop employees’, understanding, and competencies. Employees are encouraged to perform a variety tasks and show different competencies. Job rotation encourages employees to acquire new competencies. Well laid out job-rotation policy exists here. Mistakes are looked upon as learning experiences. Seniors spend adequate time guiding and developing their juniors.
C4. Worker Development 1. Competency development of workmen is emphasized. 2. Training programs are conducted for workers. 3. The training for workmen and other staff is helpful, and effective in motivating and developing them. 4. Personal growth is emphasized in workmen training. 5. Workers are kept informed on various aspects of the company. 6. Workers are encouraged to go for higher qualifications related to their job.
D. Self-renewal Systems D1. Role Efficacy How much opportunity do you get in your role for the following points? Give your assessment on a five point scale where 5 indicates that you get full opportunity, 4 indicates good opportunity, 3 indicates some opportunity, 2 indicates low opportunity, and 1 indicates no opportunity at all.
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1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
To do significant things. For taking initiative and doing something new. New ways of doing things. Freedom to use discretion. Solving problems. Integrating my work with that of others. Getting help from others and helping others. Contributing to the larger goals of the organization for society. Using own expertise and competencies. Learning new things to grow.
D2. Organizational Development (OD) Assess the extent to which the following OD activities are conducted and used effectively in your organization using a five point scale where 5 is for very effectively used, 4 is for a good degree of effectiveness, 3 is for some degree, 2 is for a low degree, and 1 is for very low to negligibly small degree of effectiveness. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11.
Managerial effectiveness programs like GRID Quality circles Suggestion scheme/kaizen Diagnosis of employee satisfaction and perceptions Diagnosis of culture and climate Team-building exercises/interventions Customer-satisfaction surveys/workshops (internal and external) Personal growth, effectiveness, creativity, management of stress, etc., and workshops Role negotiation and contribution exercises Role-based interventions Task forces, cross-functional teams, and autonomous workgroups
D3. Action-oriented Research 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Periodic surveys on functioning of the organization Employees are given feedback on the surveys and results are shared Periodic surveys on implementation of various HR systems and practices Periodic surveys on personnel matters (age profiles, skills, training, etc.) Studies on personnel matters are effectively used Employees respond seriously to the surveys HRD department does surveys on request and responds to requests Executive summaries of surveys reach top management Outsider studies are shared with employees and serve as learning opportunities Research surveys have led to changes
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E. HRD E1. HRD climate 1. Top management goes out of its way to make sure that employees enjoy their work. 2. Top management believes HR to be an extremely important resource and that they have to be treated humanely. 3. Development of subordinates is seen as an important part of their job by seniors and the top management. 4. Personnel policies facilitate development. 5. Top management is committed to employee development and is willing to invest their time. 6. Senior executives take active interest in juniors and help them learn. 7. The organization helps people who lack competencies to help acquire competencies. 8. Managers believe that employee behavior is changeable at any stage. 9. People here are helpful to each other. 10. There is an informal atmosphere and employees discuss their personal problems with their superiors. 11. Psychological climate here is conducive to development. 12. Seniors guide juniors for the future responsibilities and roles. 13. Top management identifies and utilizes employee potential. 14. People are encouraged to learn from their mistakes. 15. Employees take behavioral feedback given to them seriously. 16. Employees take pains to find out strengths and weaknesses from their superiors and colleagues. 17. Training is taken seriously and learning is implemented. 18. Opportunities are provided for employees to try out training-learning.
E2. Values in the Organization Some values are mentioned here. Rate the extent to which these values are practiced in your organization using a five point scale where 5 means highly practiced, 4 means high, 3 means somewhat practiced, 2 is less well practiced, and 1 means not at all practiced. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Openness Confrontation Trust Authenticity Taking initiative Freedom to achieve results Use of freedom Collaboration and team work Creativity Quality
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E3. Quality Orientation 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.
Employees here have a high degree of customer orientation. Employees here are quality conscious. There is emphasis on continuous improvements. Quality improvements are monitored and fed back. Focus on customer requirements. Process improvements are carried out and emphasized. Reducing bureaucracy is emphasized here. Continuous improvements are emphasized here. TQ improvements are emphasized here. Total quality as the key to success is emphasized here. Sense of pride in quality is emphasized here. Emphasis on quality as a policy is communicated to all employees.
E4. Rewards and Recognition 1. 2. 3. 4. 5. 6. 7. 8.
Deserving persons are rewarded. Objectivity in rewards is ensured. Personal loyalty does not influence rewards. Adequate number and variety of rewards are given. Type and amount of reward given to employees is adequate. Good work is recognized in good time. Non-financial rewards are used. Rewards have a motivating effect.
E5. Information Please rate the extent to which you receive information relating to your job, organization, and other matters. 5 means very adequate and timely (90–100 per cent), 4 means adequate and timely (75 per cent), 3 means somewhat adequate and timely (50 per cent), 2 means not adequate or timely (25 per cent), and 1 means not at all adequate or timely (0–10 per cent at best). 1. 2. 3. 4. 5. 6. 7.
Communications on internal changes that affect my work. Communications on work-related technology. Communications on company policies, procedures, and changes. Communications on personnel policies and procedures. Communications on annual company performance. Communications on environmental changes. Communications on competitors’ performance.
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8. 9. 10. 11. 12. 13. 14.
Communications on long-term future plans. Communications on short-term plans and goals. Communications on market opportunities. Communications on relevant technological changes and technology of the company. Communications on market perceptions and performance of various products. Communications on transfers, postings, etc. Communications on events, happenings, and celebrations.
E6. Communication Use the rating scale, where 5 points means very much true, 4 means mostly true, 3 means somewhat true, 2 means a little true, and 1 means not at all true. 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12.
Task-related information is provided adequately to all employees to plan work well. Horizontal communication across various departments and units. Good circulars, notices, etc., are adequate to keep employees informed. Top-down communication helps employees know the thinking on the top. Distorted communication is low and communications are not normally distorted. Informal channels like rumors are not powerful and employees get all information in advance with no scope for rumors. Forums are available for information sharing and communication. Employees at all level have opportunties to meet top management. Communication infrastructure is good and constantly improved (e-mails, Internet, cell phones, and other technology). There is a good corporate communication cell to project the image of the organization. Good liaison with government and other key agencies. Senior executives and top management are aware of problems and difficulties of juniors and other employees.
E7. Empowerment 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Every employee is treated with dignity and significance. Employees have autonomy to plan, organize, and carry out their work. Employee participation in decision-making is ensured. Delegation of responsibility and authority from seniors to their juniors is practiced. Delegated powers are used well. Decentralized decision-making is a characteristic of this place. There is decentralization of financial decisions to departments. Effective shop-floor committees-employees exist here. Supervisors ensure that shop-floor committees are effective. Culture of delegation is present in the entire organization.
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F. HRD Function 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14.
HRD function is given significance by top management. HRD function is given significance by personnel department. HRD function is given significance by senior line managers. HRD function is given significance by middle managers. HRD function is given significance by supervisors. HRD function is given significance by workers and unions. HRD department is adequately staffed. HRD has competent, well-trained executives. HRD has made an impact. Personnel policies support HRD activities. HRD activities help line managers to work effectively. HRD activities help to build an organizational culture. HRD activities have created a positive climate. HRD helps to improve performance.
G. Competency Mapping (CM), 360 Degree Feedback (360 DF), and Assessment and Development Centers (ADCs) Competency Mapping 1. 2. 3. 4.
Competency mapping is implemented well here. Competency mapping is effectively used in this organization. Competency mapping uses well-designed, and relevant tools and methods. Employees have been adequately communicated to, and prepared for participation in competency mapping. 5. Employees are clear about the concepts, practice, and uses of competency mapping. 6. Competency mapping in this organization helps in recruitment, induction, PMS, leadership, and/or employee development, and various other HR interventions.
360 Degree Feedback 1. 2. 3. 4. 5.
360 degree feedback is well designed in our organization. 360 degree feedback is administered, and implemented well here. 360 degree feedback is effectively used in this organization. 360 degree feedback uses well-designed and relevant tools and methods. Employees have been adequately communicated to, and prepared for participation in 360 degree feedback. 6. Employees take 360 degree feedback seriously, and provide well thought out feedback to those seeking it.
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7. Employees are clear about the concepts, practice, uses, and limitations of 360 degree feedback. 8. 360 degree feedback in this organization helped leadership and or employee development.
Assessment and Development Centers (ADCs) 1. 2. 3. 4. 5. 6. 7.
ADCs are well designed in our organization. ADCs are administered and implemented well here. ADCs are effectively used in this organization. ADCs use well-designed, and relevant tools and methods Employees have been adequately communicated to and prepared for participation in ADCs. Employees are clear about the concepts, practice, uses, and limitations of ADCs. ADCs in this organization help in potential identification, performance improvements, identification of developmental needs, leadership, and/or employee development.
H. Strengths, Weaknesses, and Suggestions 1. What do you consider as the strengths of this organization in terms of employee development or HRD, including competence building, motivation development, and culture building? 2. What are the areas where the organization needs to improve to ensure the continuous development of employees and building a strong culture? 3. Give suggestions to improve HRD in this organization.
Map Your HRD Practice-Profile The following is a checklist of activities the HRD department can undertake to achieve HRD goals. You can map your practice-profile by assessing the effectiveness with which these roles are being performed. This can be completed by all staff in the HRD department and line managers, and the data may be used to prepare action plans.
Instructions Given here is a list of activities that HR departments are expected to perform. Please assess how well your own HR department staff is performing these various activities. Use the following scale: 1. 5 = Extremely well performed. Almost a role model for others. 2. 4 = Well performed. Meets needs well beyond expectations. 3. 3 = Performed satisfactorily. Average level.
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4. 2 = Performed less satisfactorily. There is good degree more that can be done. 5. 1 = Poorly performed or being performed to a negligible level as compared to needs.. 6. N. A. = Not needed for our organization
Checklist of Activities HRD Philosophy and Liaison with Top Management 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Developing and articulating HR philosophy for the organization. Getting top management commitment to HRD. Communicating HR philosophy to all staff. Periodically reminding employees about HR philosophy. Clarifying organizational values with help of top management. Communicating values to all employees. Monitoring the practice of these values. Having periodic discussions with top management on HRD practices and implementation. Bringing to the notice of top management, the HRD practices of other organizations. Prompting top management to attend seminars, workshops, and programs relating to HRD or other HRD-related topics.
Creating Development Motivation in Line Managers 11. Arranging talks or seminars by outsiders (consultants, professors, and other company executives) on HRD, and the role of line managers. 12. Using in-house newsletters to create a learning environment. 13. Conducting in-house discussions and other problem-solving sessions. 14. Meeting line managers frequently to understand their concerns and problems. 15. Inviting suggestions from line managers periodically to improve HRD. 16. Experimenting with new HRD methods periodically. 17. Reading books on HRD to learn about practices in other organizations. 18. Leading by personal example, practicing what is preached to line managers. 19. Visiting other organizations to learn about practices. 20. Sponsoring line managers to visit other organizations. 21. Using task forces and committees of line managers for improving processes and systems in the organization. 22. Conducting team-building workshops. 23. Facilitating line managers to learn from each other through study circles, learning networks, inter-departmental meetings, etc. 24. Understanding self-renewal exercises for the HRD department itself. 25. Establishing communication mechanisms within the HRD department that facilitate learning from each other.
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Strengthening HRD Climate through HRD Systems 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. 52. 53. 54.
Designing development-oriented appraisal systems. Periodically reviewing the implementation of appraisal systems. Conducting orientation workshops to line managers on development-oriented appraisals. Undertaking renewal exercises on performance appraisals through internal task force or external consultants. Analyzing appraisal data for identifying training needs. Analyzing appraisal data to identify biases in ratings. Communicating to line managers the trends in appraisal ratings. Discussing with line managers and heads of departments the training needs emerging from the analyses of appraisal data. Getting various departments/units/sections to identify their departmental/unit/sectional training needs. Analyzing annually the facilitating and inhibiting factors identified by appraisees and identifying organizational-level and/or departmental-level factors affecting employee performance. Communicating performance analysis results to respective heads (top management and heads of departments/sections/units) to initiate corrective action. Taking initiative and providing assistance to line managers in identifying KPAs/KRAs/tasks/ targets/objectives, etc., as a part of performance planning. Training line managers in the art of conducting performance review discussions/performance counseling. Identifying appraisee–appraiser pairs that need assistance in conducting performance review discussions, and providing help. Training supervisory staff in counseling skills. Establishing counseling services for workers. Preparing a training policy and reviewing it periodically. Conducting in-house programs. Improving the effectiveness of in-house programs through constant review with participants and faculty. Identifying potential faculty among line managers. Developing internal faculty from line managers and others. Keeping track of the innovative and outstanding work done by line managers and using it for spreading their learning. Talking to participants who have returned from external training program to assess the quality of programs, their learning, as well as the follow-up support they need for implementation. Post-training follow-up by analyzing presentations by the participants and discussing action plans. Circulating reading material for employees. Formulating job-rotation policies and undertaking job-rotation exercises. Conducting role analysis exercises and improving role clarity. Preparing career paths and career development plans. Undertaking potential appraisal and potential development exercises.
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55. Improving the communications within the company through newsletters and other media. 56. Undertaking OD and self-renewal exercises organization-wise or in different departments/ units/sections.
Directing HRD Effort to Goals and Strategies of the Organization 57. 58. 59. 60. 61. 62. 63. 64.
Understanding and clarifying business goals of the organization. Understanding and clarifying strategies planned by the organization to achieve the goals. Clarifying the social objectives of the organizations. Contributing to the strategies to be adopted by the organization to achieve goals. Shaping HRD philosophy to suit the goals and strategies. Providing inputs relating to people whenever strategic shifts are made. Developing HRD plans to suite diversification and other important decisions. Identifying sick, loss-making, or poor performance units/departments/sections, and conducting diagnostic exercises. 65. Working with the top management of these units/departments to improve their performance through human-process interventions. 66. Assisting top management in organizational revivals or renewals.
Monitoring HRD Implementation 67. Designing questionnaires for monitoring the effectiveness or effective implementation of various systems. 68. Use of task forces for implementation and monitoring. 69. Conducting orientation workshops for different HRD systems. 70. Conducting review workshops/meetings for different HRD subsystems. 71. Using unconventional methods of monitoring HRD systems.
Inspiring Unions and Associations 72. Clarifying the role of unions/associations in ensuring employee development and quality of work life. 73. Training union/association leaders on their HRD roles through workshops/seminars (internal or external). 74. Working with union/association leaders and inspiring them to initiate HRD/Quality of Work Life (QWL) activities for employees. 75. Diagnosing organizational health and work conditions through surveys of workers and their perceptions. 76. Conducting personal growth and such other training programs for unionized categories of employees.
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77. Conducting worker education programs for better family and work life. 78. Involving union/association leaders in various HRD activities/decisions.
Human Process Research 79. Conducting surveys of learning environment and HRD climate in the organization. 80. Studying human processes and problems through surveys. 81. Analyzing exit-interview, absenteeism, leaves, and such other data for understanding human processes and problems. 82. Studying leadership styles and other human processes. 83. Providing feedback to employees on survey results. 84. Conducting stress audit and stress research. 85. Conducting communications research.
Influencing Personnel Policies 86. Providing inputs for formulating rewards and recognition policies. 87. Helping in formulating promotional policies that create a positive climate (healthy competition, etc.) 88. Helping in formulating personnel policies (transfers, leaves, perks, increments, work conditions, etc.) that enhance employee motivation and contribute to good quality of work life. 89. Bringing to the notice of top management or personnel department, how the organizational policies are affecting employee motivation and development. 90. Working collaboratively and hand-in-hand with the personnel department.
Networking and Benchmarking 91. Networking with HRD staff of other organizations, benchmarking, and learning from them. 92. Participating in the activities of professional bodies like the National HRD Network, Indian Society for Training and Development (ISTD), National Institute of Personnel Management (NIPM), Indian Society for Applied Behavioural Science (ISABS), Indian Society for Individual and Social Development (ISISD), and the likes of them, to keep in touch with new developments. 93. Preparing development plans for HRD staff and implementing them. 94. Periodically undertaking self-renewal exercises for the HRD staff and the department through benchmarking and other means.
Strategic Human Resources Development 95. Understanding business strategy and business environment in which the organization is operating.
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96. Developing HRD strategies and policies that meet immediate business requirements, and ensuring the alignment of current strategies with business needs. 97. Studying the markets, and anticipating changes, and their implications for human resources. 98. Keeping the board and the CEO alert for the changes in the market place and their HR implications. 99. Developing long-term HR strategies. 100. Influencing the thinking of the top management by providing strategy inputs for top management.
Professional Preparation of HRD Staff HR departments should be manned by trained professionals. Anyone cannot handle HRD. HRD has emerged as a profession in the last two decades. Hence, trained professionals should be recruited or otherwise recruited professionals should be trained. The following questionnaire is used to assess the professional preparation required by the HRD managers. This is to be filled in by all the HR professional staff in the organization being audited. 1. 2. 3. 4. 5.
Name Organization Sex Date of Birth Educational Qualifications (from graduation onwards)
Qualifications: Degree/Diploma/ Certificate
Institution
Year
Duration: Years/Months
Subjects/ Specialization
6. Experience relating to HRD (only those jobs where the HR function has been primarily looked after) Job Title
Organization Name
Size (No. of people)
Job Description Highlights of activities carried out
Duration of Handling
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7. List all the training programs attended so far (in-house or external). Serial No.
Title of the program
Institution
Duration
Themes Covered
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
8. Membership of professional bodies relating to HR. Please indicate the nature of your membership (member, life member, institutional member, others, etc.) ----HRD Network
----NIPM
----ISTD
----ISABS
----AIMA
----LMA
----Others ----Others ---Others
9. Assessment of professional preparation for HRD roles: Please indicate the nature of the professional preparation you have had so far to perform various HRD tasks and functions. Please use the following coding system for indicating in column two (the nature of professional preparation): 1. A: I have the basic degree in HRD (post graduation) which had a full and exclusive course (about 30 contact hours) on this function/task. 2. B: I have the basic degree through distance education where I did a full course on this. 3. C: I attended short- or long-duration management development program on this theme totaling to a minimum five days of inputs on this aspect. 4. D: I have handled this function for more than one year in the same company. 5. E: I have handled this function in more than one company. 6. F: I have read at least two books and five articles on this theme. 7. G: I have visited at least two other companies and critically examined this function.
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8. H: I am currently handling this function without any of the aforementioned. 9. I: Any other aspect (specify). Please tick those that are true by referring to this coding system. Column three is meant for self-assessment of the current level of proficiency to perform each of the HRD tasks/functions. For each task or function, make an assessment of your proficiency in handling each of them using the following scale: 1. 2. 3. 4. 5.
5 = Very high proficiency 4 = Highly proficient 3 = Somewhat proficient 2 = I need to learn a good deal 1 = I need to learn a lot—very low proficiency
No.
1.
Direct HRD Task/Function (HRD Systems)
3.
Performance Appraisal System (Designing, Implementing, and Monitoring) Potential Assessment System including Assessment Centers (Planning, Organizing, and Managing) Career Planning and Development—Career Counseling
4.
Coaching and Interpersonal Feedback
5.
Training Systems
6.
Organizational Diagnosis and Culture-building
7.
OD interventions (Individual-, Role-, Team- and Organizationalbased) Human Resource Information Systems
2.
8. 9. 10. 11.
Survey Research and Research Methodology (including employee satisfaction surveys, etc.) Quality Circles and/or Small Group Work
12.
Worker Development Programs Reward Systems
13.
360 Degree Feedback and Appraisals
14.
Recruitment and Manpower Planning
15.
Organizational Restructuring
16.
Job Evaluation/Job Redesign
17.
Corporate Planning/Strategic Planning
18.
Visual Mission Value Development
19.
Salary Restructuring
20.
Personnel Policies (Developing policies, Manuals, etc.)
21.
Worker Welfare Activities
Nature of Professional Preparation (Use Letters A, B, C, etc.)
Proficiency in HRD (on 5-point Scale)
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22.
Suggestion Schemes
23.
Other Management Systems (Cost Reduction, Financial Management, etc.)
24.
Business Process Re-engineering
25.
Institution-building and Self-renewal Processes
26. 27. 28. 29.
Personal Growth Facilitation IT Applications to HR Issues Others (please mention) Others Others
30.
Scoring It is a well-established convention that has been promoted by the Academy of Human Resources Development that a person may be considered a trained professional if he/she has done eight course equivalents of studies from a reputed institution, or has attended programs, or has gained equivalent experience by working in industry. Going through a 25-lecture course with 100 hours of investment makes a person professionally qualified in that course. Equivalent of it is a one week of a executive development program or two years of handling that function. For example, if a staff has a masters in HRM from an institution that prepares HR candidates, he is considered professional if he has done the following eight courses: (1) Organizational Behavior (dealing with structures, human processes, etc.); (2) Theories and Frameworks of HRD (Integrated HRD Systems, Strategic HRM); (3) Performance Management; (4) Organization Development; (5) Potential Appraisal and Assessment Centers; (6) Career Planning and Development; (7) Competency Mapping and Competency-based HR systems; (8) Training and Development with focus on learning theories. 360 Degree Feedback and other HRD interventions including quality, ISO, employee engagement surveys, HRD audit, etc., are considered additional. The aforementioned profiles may be analyzed to arrive at the extent to which the candidate gets eight course equivalents. Evidence of expertise in each course may be assigned 10 points. The scoring may be done by a group which examines the points the person gets out of a total of 80 points.
HRD Climate Survey An optimal level of ‘Development Climate’ is essential for facilitating HRD. Such a climate is characterized as consisting of the following tendencies on the part of the organization. 1. A tendency at all levels, especially the top management, to treat people as the most important resource. 2. A perception that developing the competencies in the employee is the job of every manager/ supervisor. 3. Faith in the capability of people to change and acquire new competencies at any stage of life.
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4. 5. 6. 7. 8. 9. 10. 11. 12.
A tendency to be open in communications. A tendency to encourage risk-taking. A tendency to help employees recognize their strengths and weaknesses. A general climate of trust. A tendency on the part of employees to be generally helpful to each other and collaborate. Team spirit. A tendency to discourage favoritism and biases. Supportive personnel policies. Development-oriented appraisals, training, rewards, job rotation, career planning, and potential appraisal.
Organizations differ in the extent to which they have these tendencies. Some organizations may have only a few of these tendencies, and a few others may have most of these. The 38-item HRD climate survey developed by T.V. Rao and E. Abraham at the XLRI Center for HRD is an instrument that is widely being used to survey the HRD climate. These 38 items assess OCTAPAC (Openness, Confrontation, Trust, Autonomy, Proaction, Authenticity and Collaboration) culture, and implementation of HRD mechanisms.
Administration The questionnaire uses a five-point scale. It could be administered to all employees (specially supervisory and managerial staff), and a HRD climate profile can be drawn up. The scores may range from 0 to 152 when the scores on all the 38 items are added to get a composite score. Scores above 114 indicate a good HRD climate. Scores closer to 152 indicate an excellent climate (which is rare). Scores below 76 indicate that there is considerable scope for improvement. The scores of all the respondents may be analyzed item-wise, and areas needing improvement should be identified and discussed in small groups. Annual surveys of HRD climate could be conducted and profiles maintained. A number of statements are given here describing the HRD climate of an organization. Please give your assessment of the HRD climate in your organization by rating your organization on each statement using the five-point scale. A rating of 4 indicates that the statement is almost all true with your organization; a rating of 3 indicates that the statement is mostly true; a rating of 2 indicates that the statement is sometimes true; a rating of 1 indicates that the statement is rarely true; and a rating of 0 indicates that the statement is not at all true about your organization. 1. The top management of this organization goes out of its way to make sure that employees enjoy their work. 2. The top management believes that human resources are an extremely important resource and that they have to be treated more humanely. 3. Development of the subordinates is seen as an important part of their job by the managers/ officers here. 4. The personnel policies in this organization facilitate employee development. 5. The top management is willing to invest a considerable part of their time and other resources to ensure the development of employees.
HRD Audit Instruments 275
6. Senior officers/executives in this organization take an active interest in their juniors and help them learn their job. 7. People lacking competence in doing their jobs are helped to acquire competence rather than being left unattended. 8. Managers in this organization believe that employee behavior can be changed and that people can be developed at any stage of their life. 9. People in this organization are helpful to each other. 10. Employees in this organization are very informal and do not hesitate to discuss their personal problems with their supervisors. 11. The psychological climate in this organization is very conducive to any employee interested in developing himself, by acquiring new knowledge and skills. 12. Seniors guide their juniors and prepare them for future responsibilities/roles that they are likely to take up. 13. The top management of this organization makes efforts to identify and utilize the potential of the employees. 14. Promotion decisions are based on the suitability of the promotee, rather than on favoritism. 15. There are mechanisms in this organization to reward any good work done, or any contribution made by employees. 16. When an employee does good work, his supervising officers take special care to appreciate it. 17. Performance appraisal reports in our organization are based on objective assessment and adequate information, and not on favoritism. 18. People in this organization do not have any fixed mental impressions about each other. 19. Employees are encouraged to experiment with new methods and try out creative ideas. 20. When any employee makes a mistake, his supervisors treat it with understanding and help him to learn from such mistakes rather than punishing him or discouraging him. 21. Weaknesses of employees are communicated to them in a non-threatening way. 22. When behavior feedback is given to employees they take it seriously, and use it for development. 23. Employees in this organization take pains to find out their strengths and weaknesses from their supervising officers or colleagues. 24. When employees are sponsored for training, they take it seriously and try to learn from the programs they attend. 25. Employees returning from training programs are given opportunities to try out what they have learnt. 26. Employees are sponsored for training programs on the basis of genuine training needs. 27. People trust each other in this organization. 28. Employees are not afraid to express or discuss their feelings with their superiors. 29. Employees are not afraid to express or discuss their feelings with their subordinates. 30. Employees are encouraged to take initiative and do things on their own without having to wait for instructions from supervisors. 31. Delegation of authority to encourage juniors to develop handling higher responsibilities is quite common in this organization.
276 HRD Score Card 2500
32. When seniors delegate authority to juniors, the juniors use it as an opportunity for development. 33. Team spirit is of high order in this organization. 34. When problems arise, people discuss these problems openly and try to solve them rather than keep accusing each other behind their back. 35. Career opportunities are pointed out to juniors by senior officers in the organization. 36. The organization’s future plans are made known to the managerial staff to help them develop their juniors and prepare them for future. 37. This organization ensures employee welfare to such an extent that the employees can save a lot of their mental energy for work purposes. 38. Job rotation in this organization facilitates employee development.
HRD Competencies Checklist This checklist may be used to assess the extent to which the HRD professional has the competencies needed to perform his role effectively. This can be used for self-assessment by the HRD professional or for peer assessment, or for identifying training and other developmental needs, or for potential appraisal of candidates being considered for appointment in HRD department. The following scheme may be used for assessment: 1. 2. 3. 4. 5.
4 = Has this competence in abundance. 3 = Has this competence adequately. 2 = Has this competence, but can develop some more. 1 = Needs to develop this competence substantially. 0 = Does not have this competence, needs to start developing it.
HRD Professional Knowledge 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Knowledge of HRD philosophy, policies, practices, and systems. Knowledge of performance appraisal systems and practices. Knowledge of potential appraisals in theory and in practice. Knowledge of career planning and development systems and practice. Knowledge of organizational diagnosis interventions. Knowledge of learning theories. Knowledge of training methods and systems. Knowledge of organizations, how they are structured, and how they function. Knowledge of group dynamics and group functioning. Knowledge of interlinkages between organizational goals, plans, policies, strategies, structure, technology, systems, people management systems, styles, etc. 11. Knowledge of power dynamics and networks in the organization. 12. Knowledge of organizational plans, manpower, and competency requirements.
HRD Audit Instruments 277
13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30.
Knowledge of social science research methods. Knowledge of job analysis, job enrichment, job redesign, and job evaluation. Manpower planning methods. Knowledge of role analysis techniques. Knowledge of employee relations practices. Knowledge of the role of rewards. Knowledge of behavior modification and attitude change methods. Knowledge of quality circles. Knowledge of recent developments in management systems. Knowledge of personality theories and measurement. Understanding of personal and managerial effectiveness. Knowledge of interpersonal relations and factors affecting them. Knowledge of what constitutes organizational health, and methods of surveying. Knowledge of instruments and methods to measure human behavior. Personal growth and its methods. Knowledge of turnaround strategies. Knowledge of creativity and problem-solving techniques. Knowledge of conflict management strategies and techniques.
HRD Professional Skills 1. Influencing (communication, persuasive, assertive, inspirational, and such other skills needed to influence) top management. 2. Influencing skills for influencing line managers. 3. Articulating HRD philosophy and values. 4. Designing skills for designing HRD systems. 5. Communication skills—written (ability to communicate views, opinions, observations, suggestions, etc., clearly to make an impact). 6. Communication skills—oral. 7. Skills to monitor the implementation of HRD systems (designing questionnaires, data gathering, feedback, and persuasion). 8. Interpersonal sensitivity. 9. Ability to give and receive feedback. 10. Counseling skills (listening, rapport building, probing, and exploring). 11. Conflict management skills. 12. Ability to inspire others by arousing their values and superordinate goals. 13. Interpersonal communication skills. 14. Leadership and initiative. 15. Creativity (ability to come up with new ideas and alternatives). 16. Problem-solving skills (ability to diagnose problems and come up with various alternatives). 17. System-designing skills (to design human resource information systems, appraisal systems, manpower inventory, etc.).
278 HRD Score Card 2500
18. Task analysis/job analysis skills. 19. Organizational diagnosis skills.
Personal Attitudes and Values 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.
Empathy and understanding. Positive and helpful attitude to others. Faith in people and their competencies. Introspective attitude (a tendency to reflect about one’s own self, strengths, and weaknesses). Openness (open to others’ suggestions and likes to be open in expressing his own views). Interpersonal trust. Proactivity. Respect for others. Self-confidence and faith in one’s own competencies. Sense of responsibility. Sense of fairness (constant desire for objectivity and not being impressionistic). Self-discipline (a desire to set example). Honesty (a desire to be sincere and honest). Willingness to experiment. Learning orientation—a tendency to treat every experience as a learning opportunity. Perseverance (not giving up easily in the event of difficulties). Work motivation (a desire to be involved and work hard for the organization). Superordination (an attitude that he is working for larger goals). Empowering attitude (a tendency to respect others and willingness to empower them, not being very concerned about his personal power base). Stress tolerance (ability to cope with stress, frustration, hostility, and suspicion).
Unit 8
HRD Scores at a Glance In this section, we provide all the score sheets for: 1. HRD Systems and Strategies 2. HRD Competencies 3. HRD Culture and Values 4. HRD Impact The score sheets presented here could be used by various auditors or assessors in a team, and finalized at the end. A table of conversions of the scores into letter grades is also given at the end for convenience of the assessors. One can establish the score card for a given organization using this audit.
HRD Systems and Strategies Scoring Sheet for HRD Systems (Quick Audit) HRD Systems and Strategies
Points
HRD Systems 1. Competency Mapping • Clarity of objectives
10
• Extent to which it is well structured
20
• Extent to which it is understood
10
• How well it is implemented
20
• Extent to which it meets organizational needs
10 Total Scores
70
Your Score
280 HRD Score Card 2500
2. Manpower Planning • Clarity of objectives • Extent to which it is well structured • Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs
10 20 10 20 10 Total Scores
70
Total Scores
10 20 10 20 10 70
Total Scores
10 20 10 20 10 70
3. Recruitment • Clarity of objectives • Extent to which it is well structured • Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs 4. Induction and Integration • Clarity of objectives • Extent to which it is well structured • Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs 5. Performance Management • Clarity of objectives • Extent to which it is well structured
10 20
• Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs Total Scores
10 20 10 70
Total Scores
10 20 10 20 10 70
Total Scores
10 20 10 20 10 70
Total Scores
10 20 10 20 10 70
6. Coaching and Mentoring • Clarity of objectives • Extent to which it is well structured • Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs 7. Potential Appraisal and Assessment Centers • Clarity of objectives • Extent to which it is well structured • Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs 8. Rewards and Recognition • Clarity of objectives • Extent to which it is well structured • Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs
HRD Scores at a Glance 281
9. Career Planning and Development • Clarity of objectives • Extent to which it is well structured • Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs Total Scores
10 20 10 20 10 70
Total Scores
10 20 10 20 10 70
Total Scores
10 20 10 20 10 70
Total Scores
10 20 10 20 10 70
10. Job Rotation • Clarity of objectives • Extent to which it is well structured • Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs 11. Training and Learning • • • • •
Clarity of objectives Extent to which it is well structured Extent to which it is understood How well it is implemented Extent to which it meets organizational needs
12. Organization Development • Clarity of objectives • Extent to which it is well structured • Extent to which it is understood • How well it is implemented • Extent to which it meets organizational needs
Overall Systems Score
840
HRD Strategies 1. Communication—Family and Community 2. Employee Engagement 3. Quality Orientation 4. Customer Orientation 5. Efficiency Orientation 6. Entrepreneurial Spirit 7. Culture-building Exercises 8. Talent Management Strategies Overall Strategies Scores
20 20 20 20 20 20 20 20 160
HRD Score Card for Systems and Strategies Dimension 1. Competency Mapping 2. Manpower Planning 3. Recruitment
HRD Score Maximum
HRD Score
HRD Grade
70 70 70 (Contd)
282 HRD Score Card 2500
(Contd) Dimension 4. Induction and Integration 5. Performance Management 6. Coaching and Mentoring 7. Potential Appraisal and Assessment Centers 8. Rewards and Recognition 9. Career Planning and Development 10. Job Rotation 11. Training and Learning 12. Organization Development Any other Any other HRD Systems: Total (Interpolated for 12 Systems) HRD Strategies HRD Systems & Strategies
HRD Score Maximum 70 70 70 70 70 70 70 70 70 70 70 840 160 1000
HRD Score
HRD Grade
HRD Systems and Strategies Maturity Score = 1000 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
901–1000 = A* (Highest score and highest maturity level) 801–900 = A (Very high maturity level) 701–800 = B* (High maturity level) 601–700 = B (Moderately high maturity level) 501–600 = C* (Moderate maturity level) 401–500 = C (Moderately low maturity level) 301–400 = D* (Low maturity level) 201–300 = D (Very low maturity level) > 200 = F (Not at all present) U = Ungraded
Master Table for Calculating Letter Grades or Maturity Levels from HRD Score Card Letter Grade
Maximum Points 1000
A* A B* B C* C D* D F F* U
901–1000 801–900 701–800 601–700 501–600 401–500 301–400 201–300 101–200 0–100
500 451–500 401–450 351–400 301–350 251–300 201–250 151–200 101–150 51–100 0–50
840 757–840 673–756 589–672 505–588 421–504 337–420 253–336 169–252 85–168 1–84 Ungraded
160 145–160 129–144 113–128 97–112 81–96 65–80 49–64 33–48 17–32 1–16
70 64–70 57–63 50–56 43–49 36–42 29–35 22–28 15–21 8–14 1–7
HRD Scores at a Glance 283
Scoring Sheet for HRD Systems (In-depth) Dimension
Max. Points
Score
1. Competency Mapping Dimension The system, process, and practice In-house competencies are available, and people are trained in competency mapping Competency mapping process is comprehensive Competency mapping is used well for HR interventions Competencies mapped are reviewed and updated periodically
10 10
Total
20 20 10 70 points
Total
10 20 10 15 15 70 points
Total
10 15 20 15 10 70 points
2. Manpower Planning Dimension Situation analysis Manpower demand analysis Manpower supply Manpower plan Related strategies 3. Recruitment and Selection Dimension Understanding the jobs to be filled Tapping the sources of recruitment Using various strategies for selection Setting selection process Final selection process 4. Induction and Integration Dimension Existence of the system or a process Comprehensive coverage of different categories Comprehensive coverage of content Appropriate and effective methodologies Implemented seriously Results in tangible outcomes, and fast integration Total 5. Performance Management System Audit Performance planning system and performance appraisal process Performance analysis and review Performance development and counseling Performance ratings Implementation and facilitation of the process Total 6. Coaching and Mentoring Audit (from Mini Audit) Clarity of objectives Extent to which it is well structured Extent to which it is understood How well it is implemented Extent to which it meets organizational needs Total
10 10 10 20 10 10 70 Points 15 15 15 10 15 70 points 10 20 10 20 10 70 points (Contd)
284 HRD Score Card 2500
(Contd) 7. Potential Appraisal and Assessment Centers Dimension System based on clarity of roles and functions associated with the same Scientific assessment process: Use of assessment centers Use of other scientific processes for assessment Clarity for implementation of the system Feedback on potential appraisal for individual development Total 8. Rewards and Recognition (from Mini Audit) Clarity of objectives Extent to which it is well structured Extent to which it is understood How well it is implemented Extent to which it meets organizational needs Total 9. Career Planning and Development Dimension Well laid out organizational structure and paths on the basis of contextual analysis: Contextual analysis Well laid out organizational structure and paths and organizational structure: Role analysis Identification of capabilities and potential supported by other systems Development of the individual carried out in a systematically phased manner using several mechanisms Specific strategies for different groups of employees Perceived as an integral part of the culture Total 10. Job Rotation Audit Dimension Initial planning of the process Implementation of the process and integration with other HR systems Impact on culture in terms of learning, development, and motivation
10 15 15 15 15 70 points 10 20 10 20 10 70 points 10 15 10 10 15 10 70 points 10 20 5
Total The points may be multiplied by 2 to raise them to 70 points for comparison purposes 11. Training Audit Dimension Scientific identification of training needs Pre-training preparation: Involvement of candidates (trainees and their superiors), choice of the institution/program, ensuring appropriateness of the inputs Training process Post-training requirements and activities Learning policy and training budget Competencies of those handling training function, and seriousness of line managers Business linkages of training Total
35 points 70 Points
10 points 10 points
10 points 10 points 10 points 15 points 5 points 70 points
HRD Scores at a Glance 285
12. OD interventions Audit Dimension Carried out in a planned and systematic manner
20
Using action research where necessary
10
Ensuring success of the OD intervention
15
Perceived visible benefits as a consequence of OD interventions
10
Competencies of people involved
15 Total
70 points
13. 360 Degree Feedback System 1. The system and its coverage
10
2. It is well structured and methodology is well tested before stabilizing it
10
3. Those who guide and facilitate 360 degree feedback are competent and credible facilitators
5
4. Process of feedback and management of consequences of feedback
20
5. Implementation and use of data and integration into other systems
10
6. Impact of 360 degree feedback
15 Total
Total Systems Score = (Added value of the totals for all the systems audited/ Number of systems audited) × 12
70 Points 840 points
HRD Competencies Scoring Sheet for HRD Competencies Audit 2.1 Level of Competency of HRD Staff and Department
Maximum Points
1. Business knowledge
20
2. Strategic thinking
20
3. Functional excellence
20
4. Vision of function and entrepreneurship
20
5. Leadership and change management
20
6. Technology savvy
20
7. Personnel management and administrative skills
20
8. Execution skills
20
9. Learning attitude and self-management
20
10. Personal credibility
Your Score
20 Corrected Total Score out of 200
2.2 Line Managers’ Attitude to Learn
Maximum Points
1. Performance management particularly performance planning and review discussions
10
2. Departmental meetings, in-house communications
10
Your Score
(Contd)
286 HRD Score Card 2500
(Contd) 2.2 Line Managers’ Attitude to Learn
Maximum Points
3. Reading books
5
4. Internet
10
5. Project reports including consultancy reports, diagnostic studies
5
6. Outside visitors and others
5
7. Each other through presentations, discussions, meetings, etc.
5
8. Newspapers and magazines of business
5
9. Functional journals and other literature
5
10. Training programs: in-house programs, and seminars
10
11. Training programs: outside programs
10
12. Seniors and mentors from inside the company or outside
5
13. Mistakes
10
14. Other sources
Your Score
5
Total
100 Corrected Total Score out of 100
2.3 Facilitating Top Management Styles: Developmental
Maximum Points
1. Decision-making: Reasons for decisions are given, debated, and discussed to promote development among employees.
10
2. Goal-setting: Goal-setting is done by learning from each other, and employees are encouraged to discuss and gain from each other.
10
3. Managing Mistakes: When mistakes are made, they are used as learning experiences.
10
4. Managing Conflicts: When conflicts occur, concerned teams and employees are encouraged to sort them out themselves and grow.
10
5. Rewards and Recognitions: They are used to encourage learning and development.
10
6. Conducting Meetings: Meetings are used to help employees learn.
10
7. Policy Formulation: Employees are communicated with and encouraged to learn policy formulation rather than keeping them secret.
10
8. Communications: Communications are open, and all employees are encouraged to learn rather than be secretive.
10
9. Top Management Works as a team: They work as a team and set role models for others.
10
10. Top Management is a Reflective and Self-renewing Team: They undertake self-renewal exercises, and use 360 degree feedback and other mechanisms as learning experiences.
10
11. Any Other Style Dimension Emerging as Important for This Organization
10
Total Score Note: The final score is to be proportionately calculated for 100 from 110 points.
110
Your Score
HRD Scores at a Glance 287
2.4 Extent to which Non-supervisory Staff or Workmen have Positive Attitudes to Learn
Maximum Score
1. Training (in-house)
6
2. Training (outside)
6
3. Multi-skills activities like job rotation
6
4. Cross-functional teams and work groups
6
5. Health, safety, and environment-related activities including training
6
6. Quality circles, shop floor councils, and such other small group activities
6
7. Suggestions schemes
6
8. Communications from HRD, top management, etc.
6
9. Self-initiated activities of the union and other bodies
6
10. Other activities unique to your organization
6
Total Points
60
Your Score
Final Adjusted Score out of 60 Points
2.5 Extent to which the HRD Department has Credibility and Positive Image
Maximum Score
1. HR staff are trusted
5
2. HR staff are seen as professionally competent
5
3. HR department seen as humane and helpful
5
4. HR policies are viewed with respect and positively
5
5. HR staff are seen as genuine and not indulging in politics
5
6. HR policies are seen as unbiased
5
7. HR communications are trusted for what they say
5
8. HR systems and practices are viewed with interest and taken seriously Total Score
Your Score
5 40
Adjusted Score out of 40
Final Competencies Score Competencies Dimension
Maximum Points
2.1 Level of competency of HRD staff and the department
200
2.2 Line managers’ attitude to learn
100
2.3 Facilitating top management styles: developmental
100
2.4 Extent to which non-supervisory staff or workmen have positive attitudes to learn
60
2.5 Extent to which the HRD department has credibility and positive image
40
Overall HRD Competencies Score
500
Dimension Score
Grade
288 HRD Score Card 2500
Letter Grade
Maximum Points 10
20
40
60
100
200
340
A*
10
19–20
37–40
55–60
91–100
181–200
307–340
A
9
17–18
33–36
49–54
81–90
161–180
273–306
B*
8
15–16
29–32
43–48
71–80
141–160
239–272
B
7
13–14
25–31
37–42
61–70
121–140
205–238
C*
6
11–12
21–24
31–36
51–60
101–120
171–204
C
5
9–10
17–20
25–30
41–50
81–100
137–170
D*
4
7–8
13–16
19–24
31–40
61–80
103–136
D
3
5–6
9–12
13–18
21–30
41–60
69–102
F
2
3–4
5–8
7–12
11–20
21–40
35–68
F*
1
1–2
1–4
1–6
1–10
1–20
1–34
U
Ungraded
HRD Competencies Score = 500 Add 2.1–2.5 Scores 451–500 = A* (Highest score and highest maturity level) 401–450 = A (Very high maturity level) 351–400 = B* (High maturity level) 301–351 = B (Moderately high maturity level) 251–300 = C* (Moderate maturity level) 201–250 = C (Moderately low maturity level) 151–200 = D* (Low maturity level) 100–150 = D (Very low maturity level) < 100 = F (Not at all present) U
= Ungraded
HRD Culture and Values OCTAPACE Values
Maximum Points
1. Openness: Employees are encouraged to freely express their views, opinions, and exhibit their talent through the same.
20
2. Collaboration and Team Work: Employees at all levels work as a team, help each other, and collaborate with each other.
20
3. Trust and Trustworthiness: People trust each other and keep up their promises. Practice what they preach.
20
4. Authenticity: People speak what they mean and not say things to please each other.
20
5. Proactivity and Initiative: Employees take initiative and do things without having to be directed all the time.
20
Your Score
HRD Scores at a Glance 289
6. Autonomy: Employees have freedom to do things on their own. There is freedom and autonomy in their work.
20
7. Confrontation: Employees face and confront issues rather than hide issues.
20
8. Experimentation: Employees are encouraged to experiment, and try out new ideas.
20
Total Score
Organizational Culture
Maximum Points
9. Leadership Climate: Where the leaders manage the mistakes of juniors, manage their conflicts, provide resources, support juniors, and respond to their failures.
20
10. Motivation: There are mechanisms to motivate employees, the employees are encouraged to talk about their responsibilities with enthusiasm and regard, there is a high commitment to work, and there is inspiration to work.
20
11. Communication: Where the communication mechanisms are good and meet the needs of employees, and there are adequate upward and downward communications, formal and informal communications, and verbal and written communications to meet employee needs, and make them feel a part of the organization.
20
12. Decision-making: Where the decision-making is participative, logical and analytical, objective, and timely, and ensures the interests of the organization.
20
13. Goals: Where goal-setting is objective, follows norms and rules, based on dialogues and SMART.
20
14. Control: Where there is adequate direction and supervision of work, systems are used to ensure checks, and there are internal controls.
20
15. Shared Values: Where there are well-articulated values of the organization, they are shared across the organization, and they are transmitted to new recruits and employees across various levels and departments share the values.
20
16. Quality Orientation: Where there is quality consciousness across the organization and quality systems are used.
20
17. Rewards and Recognition: Where there are adequate mechanisms to recognize and reward desired behavior, and efficacy or effectiveness, rewards and recognition systems are administered with objectivity.
20
18. Information: Where information is shared across various levels and departments of the organization, people maintain confidentiality where necessary, and there are systems and mechanisms for sharing.
20
19. Empowerment: Where there are efforts made to empower employees to act with authority, and where delegation and autonomy are provided adequately.
20
Your Score
(Contd)
290 HRD Score Card 2500
(Contd) Organizational Culture
Maximum Points
20. Learning Orientation: Where there is support to learning from the top management, organizational efforts are made to stimulate learning, and employees have positive attitude to learning.
20
21. Openness to Change: Where the top management and senior managers are open and receptive to change, they are aware of the need to change, are open to change, and have formal mechanism, and facilitators manage change.
20
22. Corporate Social Responsibility: Employees are sensitive to their environment and surroundings, and exhibit a high degree of social responsibility and citizenship that extends beyond their organization to the local community and the country where it is located.
20
23. Health: The climate emphasizes health and promotes a healthy living. Employees here are health conscious.
20
24. Safety: Employees here are tuned to ensure the safety and security of themselves and each other. The culture is tuned to ensure safety, and physical and mental security of employees.
20
25. Work Satisfaction and Motivation: Employees are satisfied and are motivated to work.
20
Your Score
Total Score
Total HRD Culture Score Dimension
Maximum Points
OCTAPACE Values
160
Organizational Culture
340
Total HRD Culture Score
500
Letter Grade
Your Score
Grade
Maximum Points 10
20
40
60
100
160
340
A*
10
19–20
37–40
55–60
91–100
145–160
307–340
A
9
17–18
33–36
49–54
81–90
129–144
273–306
B*
8
15–16
29–32
43–48
71–80
113–128
239–272
B
7
13–14
25–31
37–42
61–70
97–112
205–238
C*
6
11–12
21–24
31–36
51–60
81–96
171–204
C
5
9–10
17–20
25–30
41–50
65–80
137–170
D*
4
7–8
13–16
19–24
31–40
49–64
103–136
D
3
5–6
9–12
13–18
21–30
33–48
69–102
F
2
3–4
5–8
7–12
11–20
17–32
35–68
F*
1
1–2
1–4
1–6
1–10
1–16
1–34
U
Ungraded
HRD Scores at a Glance 291
HRD Culture and Values Score = 500 Add Scores on the 25 dimensions 451–500 = A* (Highest score and highest maturity level) 401–450 = A (Very high maturity level) 351–400 = B* (High maturity level) 301–351 = B (Moderately high maturity level) 251–300 = C* (Moderate maturity level) 201–250 = C (Moderately low maturity level) 151–200 = D* (Low maturity level) 101–150 = D (Very low maturity level) 51–100 = F (Not at all present) <51 = F* U = Ungraded
HRD Impact and Alignment Conversion Table 5 Point Scale
50 Point Scale
20 Point Scale
10 Point Scale
5
46–50
20
10
4
36–45
16–19
8–9
3
26–35
11–15
6–7
2
16–25
6–10
4–5
1
6–15
2–5
2–3
0
0–5
0–1
0–1
–1
–1 to –10
–1 to –4
–1 to –2
–2
–11 to –20
–5 to –8
–3 to –4
Scoring Sheet for Impact and Alignment Audit 4.1 Talent Management
Maximum Points
1. Talent attraction and acquisition
50
2. Talent management: induction and integration
50
3. Talent management: human resource utilization and employee engagement—PMS, placements, incentives, etc., performance management, mentoring and coaching, feedback
50
4. Talent management: HR development or competency building, and renewal
50
5. Retention and separations management
50
Total Points
Your Score
292 HRD Score Card 2500
4.2 Intellectual Capital
Maximum Points
6. Intellectual capital formation and structural capital: customer capital
20
7. Intellectual capital: impact on structural capital formation attributable to HR interventions
20
8. Intellectual capital formation: contributions to human capital formation
20
9. Intellectual capital formation: contributions to social capital
20
10. Intellectual capital: contributions to emotional capital
20
11. Intellectual capital: HR contributions to relationship capital
20
12. Intellectual capital: contributions to knowledge capital formation
20
13. HRD systems, strategy, and structure
20
14. HRD competencies
20
15. Values and culture
20
Your Score
Total Points
4.3 Financial Measures
Maximum Points
Your Score
50
16. Financial performance indicators attributable to HR Total Points
Total HRD Impact Score Impact and Alignment Dimensions
Maximum Points
Talent Management
250
Intellectual Capital
200
Financial Measures
50
Total HRD Impact Score
500
Your Score
HRD Impact and Alignment = 500 451–500 = A* (Highest score and highest impact and alignment) 401–450 = A (Very high impact and alignment) 351–400 = B* (High impact and alignment) 301–351 = B (Moderately high impact and alignment) 251–300 = C* (Moderate impact and alignment) 201–250 = C (Moderately low impact and alignment) 151–200 = D* (Low impact and alignment) 100–150 = D (Very low impact and alignment) 0–100 = F (No impact and alignment ) –200–0 = F* (Negative impact and poor alignment, and a matter of high concern) U = Ungraded
Grade
HRD Scores at a Glance 293
Letter Grade
Maximum Points 10
20
50
60
100
200
250
A*
10
19–20
46–50
55–60
91–100
181–200
226–250
A
9
17–18
41–45
49–54
81–90
161–180
201–225
B*
8
15–16
36–40
43–48
71–80
141–160
176–200
B
7
13–14
31–35
37–42
61–70
121–140
151–175
C*
6
11–12
26–30
31–36
51–60
101–120
126–150
C
5
9–10
21–25
25–30
41–50
81–100
101–125
D*
4
7–8
16–20
19–24
31–40
61–80
76–100
D
3
5–6
11–15
13–18
21–30
41–60
51–75
F
2
3–4
6–10
7–12
11–20
21–40
26–50
F*
1
1–2
1–5
1–6
1–10
1–20
1–25
U
Ungraded
Grade ----/1000
---/500
HRD Competencies
---/500
HRD Culture and Values
---/500
HR Impact and Alignment
----/2500
Overall HRD Maturity Grading
Names and Designation A* = Highest score and highest maturity level B* =High maturity level C* = Moderate maturity level D* = Low maturity level F = Very poor to not at all mature
1.
2.
A = Very high maturity level B = Moderately high maturity level C = Moderately low maturity level D = Very low maturity level
Signatures with Names and Designations of auditors
2. On the basis of the audit, we hereby certify these scores and the score card for the organization. This is valid for one year.
1.
The HRD of ________________________________ has been audited by the following members from ________ to ________ .
Scores
HRD Systems and Strategies
HRD Score Card™ of
HRD SCORE CARDTM CERTIFICATE
Ahmedabad
T.V. Rao Learning Systems Pvt. Ltd.
294 HRD Score Card 2500
Index 360 degree feedback 162–66, 264, 265 action research 157, 260 administration 274 administrative skills 170, 176 AIMA 271 assessment centers 50, 117–24, 265 of qualities 119 methods of 168–79 system 211 associations 268 auditor 24, 25 benchmarking 269 Bhatiani, Ritu Singh 19, 26 Brockbank, W. 171, 208 business knowledge 169, 171 career development 55, 124–36, 256 paths 126 planning 55, 124–36, 256 system 255 change management 170, 173 coaching and mentoring 47 communication 67, 200, 210, 222, 263 competency mapping 31, 81-85, 264 conflict management 199 corporate social responsibility 210, 233 counseling 113 credibility, and competency 170, 174 cross-functional teams 203 CSR 233 culture building 76, 243, 249 customer capital 246 customer orientation 73
decision-making 198, 210, 223 development 143 development centers 265 development system 258 efficiency 74 emotional capital 243, 247 employee engagement 69, 243, 245 empowerment 210, 230, 263 entrepreneurial spirit 75 entrepreneurship 169, 177 environment 204, 210 execution skills 170, 179 failures, as sources of learning 193–94 fairness 112 feedback 163 Final Competencies Score 207–8 financial performance, and HR 250 financial measures 243 functional excellence 169, 172 goals 210, 224, 268 goal-setting 198 group discussions 24 health 204, 210, 234 HR alignment of 250 competency building of 243, 245 impact of 23, 250, 291 renewal 243, 245 strategy 248 systems 248 technology 170 department, credibility of 205–7 utilization 243, 245
296 HRD Score Card 2500
HRD alignment 291 audit, meaning 20 climate 261, 267, 273 competencies 22, 249, 276–78 and personal attitudes 278 culture and values 22 culture score 237, 290 effort 268 function 17, 264 implementation 268 knowledge 276 philosophy 266 practice 265 research 269 skills 277 strategies 27, 67 structure 22 styles 22 systems 27, 30, 267 impact of 239–42 HRD Network 271 HRD Score Card Certificate 294 human capital 243, 247 in-depth audit 80 Indian Institute of Management 28 induction 40, 105–8, 243–44 information 210, 229, 262 in-house communications, as sources of learning 185 integration 40, 105–8, 243, 244 intellectual capital 243 Internet, as source of learning 186 interviews 24 ISABS 271 ISTD 271 job rotation 58, 136–43, 203 journals, as sources of learning 190 knowledge capital 243, 248 leadership 170, 173 climate 210, 220 development 162–66 learning, sources of 183 learning attitude 170, 177–78 of line managers 180–94
learning orientation 201–5, 210, 231 line managers 180, 266 manpower demand analysis 87 manpower plan 91 action strategies 92, 93 manpower planning 20, 34, 255 audit 85–97 situational analysis 85 manpower supply 88 meetings 185, 199 mentors 193 mini audit 28 mistakes management of 199 as sources of learning 193 motivation 210, 266 multi-skills activities 203 networking 269 newspapers, as sources of learning 189 NIPM 271 non-supervisory staff 201 objectivity 112 observation 24 OCTAPACE values 209, 211 openness 211, 212 collaboration 213 trust and trustworthiness 214 authenticity 215 proactivity and initiative 216 autonomy 217 confrontation 218 experimentation 219 OD interventions 154, 155, 260 benefits 158 success 157 organizational culture 210, 220 and openness to change 210, 232 and control 210, 225 work satisfaction and motivation 210, 236 shared values 210, 226 Organization Development 64 Organization Development Interventions 154–62 Pareek, Udai 19, 26, 28, 79 performance appraisal 116, 257
Index 297
feedback 113 guidance 258 management 44, 108–17, 184 orientation 112 planning, as a source of learning 184 ratings 115 personnel management 170, 176 personnel policies 269 PMS 257 policy formulation 200 post-training activities 149 potential appraisal 50, 117–24, 256 and development 122 feedback 122 pre-training preparation 145–47 proactivity 216 professional preparation, of HRD staff 270–73 project reports, as sources of learning 187 promotions 256 quality circles 204 quality orientation 72, 210, 227, 262 questionnaires 24 HRD, types of analysis 254 Rao, Raju 26, 79 Rao, T.V. 19, 26, 28, 29, 30, 79, 295 reading 186 recognition 199, 210, 262 records 24 recruitment 37, 97–104, 255 sources of 98 relationship capital 240, 241, 243, 248 retention 246 rewards 199, 210 and recognition 52, 228, 262 role analysis 126, 256 clarity 126 efficacy 259 safety 204, 210, 235 score card HRD competencies 285–88 HRD culture and values 288–90 HRD systems and strategies 279–85 selection strategies 100 self-management 170, 177–78
self-initiated activities 205 seniors, as sources of learning 193 separations management 246 shop floor councils 204 small group activities 204 SMART 210, 224 Soldati, Patricia 69, 79, Sonali, Mungale 19, 26 strategic HRD 269 strategic thinking 169, 173 strategies 268 structural capital 240, 243, 246, 248 suggestion schemes 204 systems maturity, final score 77–78 talent acquisition 243, 244 attraction 243, 244 management 76, 77, 243 team work 213 technology savvy 170, 175 top management as team 200–201 style 195–201 training and learning 61–64, 143–54 budget 151 business linkages 153 needs identification 144 process 147 programs and learning 191–92, 202–3 TVRLS HRD Audit Questionnaire 255–65 Ulrich, Dave 18, 26, 79, 171, 208 unions 205, 268, 269 University of Michigan 171 values 243, 249, 261, 278 vision 169, 177 visitors, as sources of learning 188 work groups 203 work planning 256, 257 worker development 259 workshops 24 Yadav, Taru 26, 79
About the Author T.V. Rao is currently Chairman, T.V. Rao Learning Systems, Ahmedabad, and an Adjunct Professor at Indian Institute of Management Ahmedabad. He was a professor at Indian Institute of Management Ahmedabad for over 20 years beginning 1973. He has also worked as the L&T Professor of HRD at Xavier Labour Relations Institute, Jamshedpur, between 1983–85. Rao is the founder and first president of the National HRD Network, and the first honorary director of the Academy of HRD, India. He was also president of the Indian Society for Applied Behavioral Science (ISABS). He worked with David McClelland of Harvard University (the initiator of the competency movement) and had joint research projects with him in the seventies. Rao was also a visiting faculty at the Indian Business School, Hyderabad. Rao has worked as a short-term consultant to the UNESCO, Ministry of Health, Indonesia, National Entrepreneurial Development Association, Malaysia, and the Commonwealth Secretariat, London. Rao has designed and assisted in implementing performance appraisals and other HRD Systems for a number of organizations in India and abroad. His consulting experiences including designing and implementing performance management and other HR systems in a number of organizations like SAIL, NTPC, Indian Oil Corporation, HPCL, Bharat Petroleum, NALCO, SBI, Bank of Baroda, Neyveli Lignite, MRL, BEML, Reserve Bank of India, Larsen & Toubro, Voltas, Sundram Fasteners, EID Parry, TI Group, Crompton Greaves, Transpek Industries, BILT, NOCIL, IL&FS, Mahindra and Mahindra, Escorts, Tata Finance, Titan, Taj Group of Hotels, Tata Cummins, KPMG, ICI, Hindustan Levers, Pfizer, Chanrai Group (Nigeria), Indorama, Indonesia, Godfrey Phillips India, Amway, Nestle, Wockhardt, Wyeth, Fulford, Galfar, Ministry of Health, Indonesia, FAO, Rome, Commercial Bank, Sri Lanka, Hemas Group, Sri Lanka, CHR Oman, etc. Rao along with Udai Pareek is credited with having established the first dedicated department of HRD at L&T in the mid-seventies, much before HRD was known. Rao has been working in the HRD field for the last 40 years.
