the manager - organisation ouest africaine de la santé€¦ · a formal system exists and is used...

1 2 3 4

Job Classification System (Title/qualifica-tions for: professional, clinical, technical, support staff)

No formal system exists to classify jobs and the skills and qualifications required for each classification.

There is some attempt to classify jobs, but it is uneven and incomplete.

A job classification system exists, but it is not used as a basis for other HRD functions (e.g. job descriptions, hiring, salary/benefits).

A job classificationsystem exists and is used in a formal manner for other HRD planning and staffing functions.

Compensation and Benefits System

No formal system exists for determining the salary scale and benefits provided to each job classification.

A formal system exists, but it not used in a routine manner.

A formal system exists, is understood by all employees and used in a consistent manner.

A formal system exists and is used consistently. It is also used to determine salary upgrades and merit awards.

Recruitment, Hiring, Transfer, and Promotion

No formal process exists for recruiting, hiring, transfer, and promotion according to job descriptions.

There are systems for hiring, etc. but they are not followed.

There are formal systems, based on established criteria, but they are not used consistently.

There are formal systems, monitored and used in all hiring, transfer, and promotion decisions.

OrientationProgram

There is no formal orientation program for new employees.

There is a program, but it is not implemented on a regular basis.

Orientation is offered in a routine manner, but does not emphasize the mission, goals, and performance standards expected by the organization.

Orientation is offered to all new employees, emphasizes the mission, goals, and performance standards expected, and also makes people feel welcomed and valued.

HRD Component

Stages of Human Resource Development and Characteristics

Personnel Policy and Practice

A supplement to The ManagerVolume VIII, Number 1, Spring 1999

TTThe MMManager

Human ResourceManagementAssessment

Tool

A supplement to The Manager,“Human Resources: Managing and Developing

Your Most Important Asset”Volume VIII, Number 1, Spring 1999

Human Resource Management Assessment Tool Spring 1999 1

This supplement to The Manager provides a tool forassessing an organization’s Human Resource Management(HRM) system—what it consists of and how well it isfunctioning. The HRM Assessment Tool helps users todevelop strategies to improve the human resource systemand make it as effective as possible. It can also serve as abasis for focusing discussions, brainstorming, and strategicplanning. It is designed to be used in public and private-sector health organizations.

For newly formed organizations, the tool can serve as aguide for developing an optimal HRM system. Forestablished organizations facing changes, such ascontracting out services, decentralizing, downsizing, orexpansion, the tool can serve as a reference for the typesof HRM issues that must be addressed in order to managechange successfully.

For optimal benefit to the organization, it is importantthat the use of this tool be fully supported by the leadershipof the organization. Units within an organization can alsobenefit from using the tool as a guide for improving humanresource components that they can influence directly.

Human Resource Management Assessment Tool

In This Supplement

Developing an Effective Human ResourceSystem ................................................................. 2

Benefits of an Effective Human ResourceSystem ................................................................. 2

The HRM Assessment Instrument ........................... 2

Human Resource Components Assessed by theHRM Tool ............................................................. 3

Using the HRM Assessment Instrument .................. 4

Conducting the Self-Assessment ............................ 4

Complementing the Self-Assessment with aReview of Documents ......................................... 4

The HRM Assessment Instrument ........................... 5

Interpreting Your Results ...................................... 12

Where to Begin ...................................................... 12

Developing an Action Plan ................................... 13

Defining the Importance of the HRMComponents ..................................................... 15

Glossary of HRM Terms ......................................... 16

2 Human Resource Management Assessment Tool Spring 1999

Developing an Effective HumanResource System

Human resource management is defined as theintegrated use of procedures, policies, andmanagement practices to recruit, maintain, anddevelop employees in order for the organization tomeet its desired goals. It includes six broad areas:human resource capacity, human resource planning,

personnel policy and practice, human resource data,performance management, and training.

HRM is most effective in an organization when itsauthority is located at the senior management level. Asystem that functions effectively can assist theorganization in developing a set of policies, practices,and systems that advance the skills and increase themotivation of staff in order to achieve the highestpossible level of performance over time.

Benefits of an Effective Human Resource System• Encourages systematic planning to support organizational mission;• Increases capacity of the organization to achieve its goals;• Provides a clear definition of each employee’s responsibilities and a link to the organization’s mission;• Encourages greater equity between compensation and level of responsibility;• Defines levels of supervision and management support;• Increases level of performance and the efficient utilization of employees’ skills and knowledge;• Results in cost savings through improved efficiency and productivity;• Increases the organization’s ability to manage change.

The HRM AssessmentInstrument

The HRM Assessment Tool is intended to provideusers with a rapid assessment tool to identify thecharacteristics and capacity of an organization’s humanresource system and help users form an action plan forimproving the human resource system in theorganization. The instrument itself consists of a matrixthat includes:

• Twenty-three human resource components thatfall within six broad areas of human resourcemanagement;

• Four stages of development of HRM;• Characteristics that describe each human

resource component at each stage ofdevelopment;

• Blank spaces for users to write a brief statement,or indicator, to show that the organization fits aparticular stage of development.

Human resource components. The 23 humanresource components assessed by this tool fall within sixbroad areas of human resource management andrepresent the core functions of an effective humanresource system. Based on a set of characteristicsdescribing stages of HRM, the tool provides a processthrough which an organization can assess how well it isfunctioning in relation to each of these 23 components,and determine what steps it can take to function moreeffectively.


HRM CapacityHRM BudgetHRM Staff

HRM PlanningOrganizational Mission/GoalsHRM Planning

Personnel Policy and PracticeJob Classification SystemCompensation and Benefits SystemRecruitment, Hiring, Transfer, and PromotionOrientation ProgramPolicy ManualDiscipline, Termination, and Grievance ProceduresRelationships with UnionsLabor Law Compliance

Human Resource Components Assessed by the HRM Tool

HRM DataEmployee DataComputerization of DataPersonnel Files

Performance ManagementJob DescriptionsStaff SupervisionWork Planning and Performance Review

TrainingStaff TrainingManagement and Leadership DevelopmentLinks to External Pre-Service Training

Stages of development. As organizations grow,strengthen, and mature, they evolve through severalstages of development. Organizations pass through thesestages at different rates and tend to remain at a particularstage until they have developed a clear mission, goodmanagement structures and systems, and skilledmanagers and staff who use these structures and systemseffectively. Most organizations are at different stages ofdevelopment for different human resource componentsat any given time, because the components havereceived different levels of attention as the organizationdeveloped. The numbers at the top of the HRMInstrument refer to these four stages of development.

Human resource characteristics. For each humanresource component, the Instrument provides astatement that describes the common characteristics oforganizations at each stage of development. Thesecharacteristics build on the characteristics of theprevious stage(s). At the first stage, the characteristicsdescribe an organization that is either just beginning todevelop a human resource system or has not paid verymuch attention to that component. At the fourth stage,the characteristics describe an organization that isoperating extremely effectively with regard to that

component, and may need to direct its energies tocomponents that are at lower stages of development.

What is an Indicator?An indicator is a measure or observation that

offers evidence of a general status or condition. Itanswers the question, “What can we see that tellsus something is true?” For example, a partici-pant who places the organization in Stage 3for Organizational Mission/Goals might chooseas an indicator that the mission is alwayspresented during the orientation of new staff.

Indicators. Because the users of this tool will comefrom many parts of the organization, they often differ intheir perceptions of whether or not the organizationmeets all the characteristics of a particular stage. To helpresolve these different views, users should write one ortwo indicators that they believe show that theorganization fits the characteristics of the stage they haveselected. The Instrument provides a blank space in thefar right column for these statements, or indicators.


Using the HRM AssessmentInstrument

This instrument is best administered by a committeeof staff internal to the organization, such as the ExecutiveDirector and representatives from senior staff and/or theBoard of Directors. It is often useful for an externalconsultant to facilitate the process. The HRM Instrumentis organized according to the 23 human resourcecomponents in a matrix showing four stages ofdevelopment. The characteristics that describe eachstage provide information that is useful in developing aplan of action for improving the human resource areasthat need strengthening.

Conducting the Self-AssessmentFirst, each person in the group should individually

assess each human resource component in the matrix byreviewing the characteristics of each component at eachstage of development. There is no scoring involved. Foreach human resource component, each person circlesthe characteristic that he or she believes best representsthe current status of the human resource system. If onlypart of the statement applies to the current humanresource system in the organization, you should circle theprevious characteristic. In the blank box in the right handcolumn, in the row marked “Indicators,” write one ortwo specific, concrete observations that provideevidence that the organization fulfills the characteristicyou have chosen.

After this individual exercise, the same process isrepeated in groups. The group members share their

assessments, discuss their indicators, and work togetherto reach consensus on the appropriate stage andindicator(s) for each human resource component.Finally, the small groups join together to pool theirresults and work with the entire group to form consensuson the current stage of development for each humanresource component.

Once the assessment is complete, the group shoulddiscuss the results, agree on the areas that needstrengthening, and formulate an action plan that includesspecific activities, with time lines, to improve these areas.A paper review of the documents listed below will helpto inform the discussion.

Reaching ConsensusConsensus is based on two assumptions. The

first is that no single member of an organizationpossesses the complete truth—that every personat all levels of the organization possesses somepart of the truth and that an accurate picture isbest obtained by pooling these individualperceptions. The second assumption is thatcarefully chosen indicators can provide convincingfactual evidence and allow a group of people tocome to agreement on what may initially seem tobe incompatible viewpoints.

The organization reaches consensus not byvoting but by patiently sorting through all opinionsand coming to a decision that each member canaccept and work with, even if it does notcompletely match his or her preference.

Complementing the Self-Assessment with a Review of DocumentsIn each case, the assessment work should be complemented by direct observation of the organization’s

human resource practices and a review of all relevant HRM and personnel documents. The followingdocuments are recommended for review:• Personnel Files and Reviews • Employee Policy Statements or Manual• Job Descriptions and Work Plans • Organizational Mission Statement• Financial/Payroll Records • Strategic Plans• Labor Law

Hum

an R

esou

rce M

anag

emen

t Ass

essm

ent T

ool

Sprin

g 19

995

The

HR

M A

sses

smen

t Ins

trum

ent

Inst

ruct

ions

For e

ach o

f the

hum

an re

sour

ce co

mpo

nent

s in t

he m

atrix

belo

w, ci

rcle

the s

tate

men

t tha

t bes

t app

lies t

o the

curr

ent s

tatu

s of y

our o

rgan

izat

ion.

If o

nly

part

of th

e sta

tem

ent a

pplie

s, ci

rcle

the p

revi

ous s

tate

men

t. In

the b

lank

box i

n the

righ

t-han

d col

umn,

plea

se re

cord

the i

ndic

ator

s (or

reas

ons)

that

led y

ou to

sele

ct th

is bo

x and

any a

dditi

onal

key i

nfor

mat

ion r

elat

ed to

this

com

pone

nt. P

leas

e ref

er to

the g

loss

ary o

n pag

e 16 f

or de

finiti

ons o

f key

term

s use

d in t

hem

atrix

.

12

34

HR

D B

udge

tT

here

is n

o bu

dget

al

loca

ted

for

HR

D s

taff

or

HR

D a

ctiv

ity w

ithin

the

orga

niza

tion

.

The

re is

lim

ited

mon

ey

avai

labl

e to

fun

d an

HR

D

posi

tion

or to

con

duct

H

RD

act

iviti

es (

e.g.

, tr

aini

ng, s

yste

ms

deve

lopm

ent,

perf

orm

ance

pl

anni

ng, a

nd e

valu

atio

n).

Bud

get i

s al

loca

ted

for

HR

D s

taff

and

rel

ated

ac

tiviti

es. A

lloca

tion

is

irre

gula

r an

d ca

nnot

be

relie

d on

for

any

use

ful

long

-ran

ge p

lann

ing

or th

e de

velo

pmen

t of

HR

D

syst

ems.

Mon

ey f

or H

RD

sta

ff a

nd

rela

ted

acti

viti

es is

a

perm

anen

t bud

get i

tem

, re

view

ed a

nnua

lly

and

adju

sted

if p

ossi

ble.

HR

D S

taff

The

re a

re n

o st

aff

spec

ific

ally

cha

rged

with

re

spon

sibi

lity

for

HR

D

func

tions

.

The

re a

re H

RD

sta

ff in

the

orga

niza

tion

, but

they

hav

e li

mit

ed e

xper

ienc

e re

late

d to

this

fie

ld (

pers

onne

l, re

crui

tmen

t, m

anag

emen

t)

and/

or h

ave

othe

r fu

ncti

ons

in th

e or

gani

zati

on a

s w

ell a

s H

RD

.

The

re a

re tr

aine

d H

RD

st

aff

in th

e or

gani

zati

on,

but o

nly

at a

leve

l to

mai

ntai

n ba

sic

proc

edur

es

and

reco

rd-k

eepi

ng

func

tion

s.

The

re a

re e

xper

ienc

ed

HR

D s

taff

in th

e or

gani

zati

on w

ho m

aint

ain

HR

D f

unct

ions

. The

y pa

rtic

ipat

e in

long

-ran

ge

plan

ning

for

the

orga

niza

tion

.

HR

D C

apac

ity

Indi

cato

rsH

RD

C

ompo

nent

Stag

es o

f Hum

an R

esou

rce

Dev

elop

men

t and

Cha

ract

eris

tics

6H

uman

Res

ourc

e Man

agem

ent A

sses

smen

t Too

l Sp

ring

1999

12

34

Org

aniz

a-

tion

al

Mis

sion

/Goa

ls

No

form

al m

issi

onst

atem

ent o

r or

gani

zati

on

goal

s ex

ist.

Mis

sion

/goa

ls e

xist

but

are

no

t for

mal

ly li

nked

to

HR

D p

lann

ing

(e.g

. st

affi

ng, j

ob

clas

sifi

catio

ns).

Mis

sion

/goa

ls li

nked

in a

fo

rmal

way

to H

RD

pl

anni

ng (

e.g.

, sta

ffin

g pl

an, t

rain

ing)

.

Mis

sion

/goa

ls li

nked

to

annu

al H

RD

pla

nnin

g an

d al

so u

sed

for

fore

cast

ing

long

-ran

ge s

taff

ing

and

recr

uitm

ent n

eeds

.

HR

D

Pla

nnin

gN

o an

nual

HR

D p

lan

exis

ts.

Ann

ual H

RD

pla

n ex

ists

, bu

t is

not b

ased

on

a fo

rmal

ass

essm

ent o

f th

e m

issi

on, o

rgan

izat

iona

l go

als,

sta

ffin

g ne

eds,

tr

aini

ng o

utpu

ts, o

r ex

istin

g em

ploy

ee d

ata.

Ann

ual H

RD

pla

n ex

ists

, ba

sed

on o

rgan

izat

iona

l go

als,

sta

ffin

g ne

eds,

tr

aini

ng, a

nd e

mpl

oyee

da

ta, b

ut it

is n

ot f

urth

er

eval

uate

d fo

r ef

fect

iven

ess.

Ann

ual H

RD

pla

n ba

sed

on o

rgan

izat

iona

l goa

ls

and

trai

ning

out

puts

exi

sts.

It

is im

plem

ente

d,

eval

uate

d, a

nd u

sed

for

long

-ran

ge s

trat

egic

pl

anni

ng.

HR

D P

lann

ing

Indi

cato

rsH

RD

C

ompo

nent

Stag

es o

f Hum

an R

esou

rce

Dev

elop

men

t and

Cha

ract

eris

tics

Hum

an R

esou

rce M

anag

emen

t Ass

essm

ent T

ool

Sprin

g 19

997

12

34

Job

Cla

ssif

icat

ion

Syst

em

(T

itle

/qua

lifi

ca-

tion

s fo

r:

prof

essi

onal

, cl

inic

al,

tech

nica

l, su

ppor

t sta

ff)

No

form

al s

yste

m e

xist

s to

cl

assi

fy jo

bs a

nd th

e sk

ills

and

qual

ific

atio

ns r

equi

red

for

each

cla

ssif

icat

ion.

The

re is

som

e at

tem

pt to

cl

assi

fy jo

bs, b

ut it

is

unev

en a

nd in

com

plet

e.

A jo

b cl

assi

fica

tion

syst

em

exis

ts, b

ut it

is n

ot u

sed

as

a ba

sis

for

othe

r H

RD

fu

nctio

ns (

e.g.

job

desc

ript

ions

, hir

ing,

sa

lary

/ben

efits

).

A jo

b cl

assi

fica

tion

syst

em e

xist

s an

d is

use

d in

a f

orm

al m

anne

r fo

r ot

her

HR

D p

lann

ing

and

staf

fing

fun

ctio

ns.

Com

pens

atio

n an

d B

enef

its

Syst

em

No

form

al s

yste

m e

xist

s fo

r de

term

inin

g th

e sa

lary

sc

ale

and

bene

fits

pro

vide

d to

eac

h jo

b cl

assi

fica

tion.

A f

orm

al s

yste

m e

xist

s, b

ut

it n

ot u

sed

in a

rou

tine

m

anne

r.

A f

orm

al s

yste

m e

xist

s, is

un

ders

tood

by

all

empl

oyee

s an

d us

ed in

a

cons

iste

nt m

anne

r.

A f

orm

al s

yste

m e

xist

s an

d is

use

d co

nsis

tent

ly. I

t is

also

use

d to

det

erm

ine

sala

ry u

pgra

des

and

mer

it

awar

ds.

Rec

ruit

men

t,

Hir

ing,

T

rans

fer,

and

P

rom

otio

n

No

form

al p

roce

ss e

xist

s fo

r re

crui

ting

, hir

ing,

tr

ansf

er, a

nd p

rom

otio

n ac

cord

ing

to jo

b de

scri

ptio

ns.

The

re a

re s

yste

ms

for

hiri

ng, e

tc.,

but t

hey

are

not f

ollo

wed

.

The

re a

re f

orm

al s

yste

ms,

ba

sed

on e

stab

lishe

d cr

iter

ia, b

ut th

ey a

re n

ot

used

con

sist

ently

.

The

re a

re f

orm

al s

yste

ms,

m

onit

ored

and

use

d in

all

hi

ring

, tra

nsfe

r, a

nd

prom

otio

n de

cisi

ons.

Ori

enta

tion

Pro

gram

The

re is

no

form

al

orie

ntat

ion

prog

ram

for

ne

w e

mpl

oyee

s.

The

re is

a p

rogr

am, b

ut it

is

not

impl

emen

ted

on a

re

gula

r ba

sis.

Ori

enta

tion

is o

ffer

ed in

a

rout

ine

man

ner,

but

doe

s no

t em

phas

ize

the

mis

sion

, go

als,

and

per

form

ance

st

anda

rds

expe

cted

by

the

orga

niza

tion

.

Ori

enta

tion

is o

ffer

ed to

all n

ew e

mpl

oyee

s,

emph

asiz

es th

e m

issi

on,

goal

s, a

nd p

erfo

rman

ce

stan

dard

s ex

pect

ed, a

nd

also

mak

es p

eopl

e fe

el

wel

com

ed a

nd v

alue

d.

Per

sonn

el P

olic

y an

d P

ract

ice

Indi

cato

rsH

RD

C

ompo

nent

Stag

es o

f Hum

an R

esou

rce

Dev

elop

men

t and

Cha

ract

eris

tics

8H

uman

Res

ourc

e Man

agem

ent A

sses

smen

t Too

l Sp

ring

1999

12

34

Pol

icy

Man

ual

(e.g

., or

gani

za-

tion

al c

hart

,w

ork

hour

s,ti

me

shee

ts,

polic

y,

disc

ipli

ne,

grie

vanc

es,

bene

fits

, leg

al,

trav

el)

No

polic

y m

anua

l exi

sts.

Polic

y m

anua

l doe

s ex

ist,

but i

t is

out o

f da

te a

nd

does

not

incl

ude

all o

f th

e re

leva

nt in

form

atio

n.

A c

urre

nt p

olic

y m

anua

l do

es e

xist

but

it is

not

av

aila

ble

to a

ll em

ploy

ees

and

is n

ot a

lway

s us

ed a

s a

basi

s fo

r pe

rson

nel

deci

sion

s.

An

upda

ted

poli

cy m

anua

l do

es e

xist

and

is a

vaila

ble

to a

ll em

ploy

ees.

It s

erve

s as

a r

efer

ence

gui

de to

all

qu

estio

ns a

bout

em

ploy

men

t in

the

orga

niza

tion

and

is

revi

ewed

and

upd

ated

re

gula

rly.

Dis

cipl

ine,

T

erm

inat

ion,

an

d

Gri

evan

ce

Pro

cedu

res

No

form

al p

roce

dure

s ex

ist.

Form

al p

roce

dure

s do

ex

ist,

but t

hey

are

not

clea

rly

rela

ted

to

perf

orm

ance

sta

ndar

ds.

Form

al p

roce

dure

s ba

sed

on p

erfo

rman

ce s

tand

ards

ex

ist,

but t

hey

are

not

follo

wed

in a

ny c

onsi

sten

t m

anne

r.

Form

al p

roce

dure

s ba

sed

on p

erfo

rman

ce s

tand

ards

ar

e kn

own

to a

ll

em

ploy

ees

and

used

co

nsis

tent

ly.

Rel

atio

nshi

p w

ith

Uni

ons

(i

f ap

prop

riat

e) T

here

is n

o li

nk b

etw

een

HR

D, m

anag

emen

t, an

d th

e un

ion.

Lin

ks e

xist

bet

wee

n H

RD

, m

anag

emen

t, an

d un

ion,

bu

t rol

es a

re n

ot c

lear

.

Man

agem

ent i

nvol

ves

HR

D in

uni

on is

sues

, but

on

an

irre

gula

r ba

sis.

Man

agem

ent,

HR

D, a

nd

the

unio

n w

ork

toge

ther

to

reso

lve

issu

es a

nd p

reve

nt

prob

lem

s.

Lab

or L

aw

Com

plia

nce

The

re is

no

revi

ew o

f H

RD

po

licie

s to

ens

ure

com

plia

nce

with

loca

l an

d/or

nat

iona

l lab

or la

w.

The

re is

som

e ef

fort

to

revi

ew la

bor

law

, but

it is

no

t don

e on

a r

egul

ar

basi

s.

A r

evie

w o

f th

e la

bor

law

is

don

e re

gula

rly

as a

fo

rmal

par

t of

the

HR

D

func

tion,

but

pol

icy

is n

ot

alw

ays

adju

sted

to e

nsur

e co

mpl

ianc

e.

HR

D p

olic

y an

d pr

actic

e is

ad

just

ed a

s ne

eded

to b

e in

co

mpl

ianc

e w

ith

the

loca

l an

d/or

nat

iona

l lab

or la

w.

Per

sonn

el P

olic

y an

d P

ract

ice

(con

tinu

ed)

Indi

cato

rsH

RD

C

ompo

nent

Stag

es o

f Hum

an R

esou

rce

Dev

elop

men

t and

Cha

ract

eris

tics

Hum

an R

esou

rce M

anag

emen

t Ass

essm

ent T

ool

Sprin

g 19

999

12

34

Em

ploy

ee

Dat

a

(e

.g.,

num

ber

of s

taff

, loc

a-ti

on, s

kill

/ ed

ucat

ion

leve

l, ge

nder

/ ag

e, y

ear

of

hire

, sal

ary

leve

l)

Non

e of

this

dat

a is

co

llect

ed o

n an

y ki

nd o

f sy

stem

atic

bas

is.

Mos

t of

this

dat

a is

co

llect

ed, b

ut n

ot

mai

ntai

ned

or k

ept u

p to

da

te.

All

of

this

dat

a is

ava

ilab

le

and

up to

dat

e, b

ut d

ata

is

not f

orm

ally

use

d in

HR

D

plan

ning

or

fore

cast

ing.

All

of

this

dat

a is

avai

labl

e an

d up

to d

ate.

Sy

stem

s ar

e in

pla

ce. D

ata

is f

orm

ally

use

d in

HR

D

plan

ning

and

for

ecas

ting

.

Com

pute

ri-

zati

on o

f D

ata

(N

ote:

this

co

mpo

nent

is

mor

e re

leva

nt

for

larg

er

orga

niza

tion

s)

The

re a

re n

o co

mpu

ters

or

data

sys

tem

s av

aila

ble

to

the

orga

niza

tion

, ex

tern

ally

or

inte

rnal

ly.

The

re a

re c

ompu

ters

in

plac

e, b

ut n

o re

sour

ces

to

deve

lop

syst

ems

for

data

m

anag

emen

t.

Com

pute

rs a

nd d

ata

man

agem

ent s

yste

ms

are

avai

labl

e, b

ut s

taff

not

tr

aine

d an

d da

ta f

iles

are

in

com

plet

e.

Com

pute

rs a

nd d

ata

man

agem

ent s

yste

ms

are

in p

lace

and

dat

a fi

les

up

to d

ate.

Sta

ff r

ecei

ve

trai

ning

.

Per

sonn

el

File

s (I

ndiv

idua

l E

mpl

oyee

R

ecor

ds)

No

indi

vidu

al e

mpl

oyee

re

cord

s ex

ist.

Lim

ited

empl

oyee

pe

rson

nel f

iles

are

m

aint

aine

d, b

ut n

ot

regu

larl

y up

date

d.

Pers

onne

l file

s fo

r al

l em

ploy

ees

are

mai

ntai

ned

and

kept

up

to d

ate,

but

th

ere

is n

o po

licy

for

empl

oyee

acc

ess

or u

se o

f th

is d

ata.

Upd

ated

per

sonn

el f

iles

for

all e

mpl

oyee

s ex

ist a

nd

also

pol

icie

s fo

r ap

prop

riat

e us

e (e

.g.,

conf

iden

tialit

y, e

mpl

oyee

ac

cess

).

HR

D D

ata

Indi

cato

rsH

RD

C

ompo

nent

Stag

es o

f Hum

an R

esou

rce

Dev

elop

men

t and

Cha

ract

eris

tics

10H

uman

Res

ourc

e Man

agem

ent A

sses

smen

t Too

l Sp

ring

1999

12

34

Job

Des

crip

tion

s

(e.g

., jo

b tit

le,

qual

ific

atio

ns,

resp

onsi

bili

-

ti

es,

supe

rvis

or)

No

job

desc

ript

ions

are

de

velo

ped.

So

me

staf

f ha

ve jo

b de

scri

ptio

ns, b

ut th

ey a

re

not a

lway

s up

to d

ate

and/

or a

re v

ery

gene

ral,

lack

ing

job

resp

onsi

bilit

ies

and

supe

rvis

ion.

All

staf

f ha

ve jo

b de

scri

ptio

ns, b

ut th

ey a

re

not a

ll c

ompl

ete

or u

p to

da

te w

ith s

peci

fic

dutie

s an

d li

nes

of s

uper

visi

on.

Com

plet

e jo

b de

scri

ptio

ns

exis

t for

eve

ry e

mpl

oyee

an

d ar

e ke

pt u

p to

dat

e th

roug

h a

regu

lar

proc

ess

of r

evie

w. S

peci

fic

dutie

s an

d li

nes

of s

uper

visi

on

are

clea

rly

stat

ed.

Staf

f Su

perv

isio

nT

here

is n

o cl

ear

syst

em o

f su

perv

isio

n. L

ines

of

auth

orit

y ar

e un

clea

r. S

taff

ar

e no

t rec

ogni

zed

for

thei

r ac

hiev

emen

ts.

The

re a

re e

stab

lish

ed li

nes

of a

utho

rity

, but

the

supe

rvis

or’s

rol

e an

d fu

ncti

on is

not

und

erst

ood

and

litt

le s

uper

visi

on ta

kes

plac

e. L

imite

d st

aff

reco

gnit

ion.

Sup

ervi

sors

und

erst

and

thei

r ro

les

and

line

s of

au

thor

ity

and

mee

t re

gula

rly

wit

h th

eir

empl

oyee

s to

dev

elop

wor

k pl

ans,

eva

luat

e,

perf

orm

ance

, and

pub

licly

re

cogn

ize

staf

f fo

r th

eir

achi

evem

ents

.

Supe

rvis

ors

incr

ease

sta

ff

perf

orm

ance

by

assi

stin

g st

aff

with

pro

fess

iona

l de

velo

pmen

t pla

ns a

nd

enco

urag

ing

them

to le

arn

new

ski

lls. S

uper

viso

rs

rece

ive

skil

ls tr

aini

ng

peri

odic

ally

.

Wor

k P

lann

ing

and

Per

form

ance

R

evie

w(A

for

mal

wor

k pl

anni

ng a

nd

perf

orm

ance

re

view

sys

tem

[P

P&R

])

The

re is

no

wor

k pl

anni

ng

and

perf

orm

ance

rev

iew

sy

stem

in p

lace

.

A w

ork

plan

ning

and

pe

rfor

man

ce r

evie

w s

yste

m

is in

pla

ce, b

ut it

is

info

rmal

and

doe

s no

t in

clud

e w

ork

plan

s an

d pe

rfor

man

ce o

bjec

tives

de

velo

ped

join

tly w

ith

staf

f.

The

re is

a f

orm

al s

yste

m

and

supe

rvis

ors

are

requ

ired

to d

evel

op w

ork

plan

s an

d pe

rfor

man

ce

obje

ctiv

es w

ith e

ach

empl

oyee

and

rev

iew

pe

rfor

man

ce in

the

past

, bu

t thi

s is

not

don

e on

a

cons

iste

nt b

asis

.

Supe

rvis

ors

and

empl

oyee

s de

velo

p w

ork

plan

s jo

intly

an

d pe

rfor

man

ce r

evie

ws

are

cond

ucte

d on

a r

egul

ar

basi

s. O

rien

tati

on s

essi

ons

and

a m

anua

l are

pro

vide

d to

all

staf

f. R

evie

ws

are

used

for

per

sonn

el

deci

sion

s.

Per

form

ance

Man

agem

ent

Indi

cato

rsH

RD

C

ompo

nent

Stag

es o

f Hum

an R

esou

rce

Dev

elop

men

t and

Cha

ract

eris

tics

Hum

an R

esou

rce M

anag

emen

t Ass

essm

ent T

ool

Sprin

g 19

9911

12

34

Staf

f T

rain

ing

The

re is

no

trai

ning

pla

n.

Tra

inin

g is

off

ered

on

an

ad-h

oc b

asis

but

it is

not

ba

sed

on a

for

mal

pro

cess

of

ass

essi

ng s

taff

nee

ds n

or

is it

link

ed to

the

orga

niza

tion

’s k

ey

prio

riti

es a

nd c

hang

es in

th

e he

alth

sec

tor

and

heal

th p

ract

ices

.

Tra

inin

g is

a f

orm

al

com

pone

nt o

f th

e or

gani

zati

on a

nd li

nked

to

staf

f an

d or

gani

zati

onal

ne

eds,

but

it is

not

av

aila

ble

for

all s

taff

, nor

is

it e

valu

ated

for

res

ults

.

Tra

inin

g is

a v

alue

d pa

rt

of

the

orga

niza

tion

and

op

port

unit

ies

are

deve

lope

d fo

r st

aff

base

d on

thei

r ne

eds

and

also

on

thos

e of

the

orga

niza

tion

.

Man

agem

ent

and

Lea

ders

hip

Dev

elop

men

t

The

re is

no

polic

y or

ph

ilos

ophy

reg

ardi

ng th

e im

port

ance

of

deve

lopi

ng

stro

ng m

anag

emen

t ca

paci

ty a

nd f

utur

e le

ader

s fo

r th

e or

gani

zati

on.

The

re is

an

emph

asis

on

deve

lopi

ng m

anag

emen

t ca

paci

ty b

ut it

is n

ot d

one

on a

reg

ular

bas

is.

The

org

aniz

atio

n m

akes

an e

ffor

t to

deve

lop

man

ager

s an

d fu

ture

le

ader

s th

roug

h tr

aini

ng,

and

also

thro

ugh

men

tori

ng a

nd

chal

leng

ing

job

assi

gnm

ents

, but

pa

rtic

ipat

ion

is s

elec

tive

.

A p

lan

for

man

agem

ent

and

lead

ersh

ip

deve

lopm

ent i

s in

pla

ce

and

ther

e is

an

oppo

rtun

ity

for

ever

yone

to p

artic

ipat

e ba

sed

on p

erfo

rman

ce a

nd

othe

r es

tabl

ishe

d cr

iter

ia.

Lin

ks t

o E

xter

nal

P

re-S

ervi

ce

Tra

inin

g

The

re is

no

form

al li

nk

wit

h th

e pr

e-se

rvic

e tr

aini

ng in

stit

utio

ns w

hich

tr

ain

empl

oyee

s fo

r th

e he

alth

sec

tor.

The

re is

a lo

ose

rela

tion

ship

bet

wee

n th

e or

gani

zati

on a

nd p

re-

serv

ice

trai

ning

in

stit

utio

ns, b

ut it

is n

ot

used

in a

ny f

orm

al w

ay f

or

wor

kfor

ce tr

aini

ng a

nd

deve

lopm

ent.

The

org

aniz

atio

n an

d pr

e-se

rvic

e tr

aini

ng

inst

itut

ions

wor

k to

geth

er

to e

nsur

e th

at th

e cu

rric

ulum

is b

ased

on

skil

ls, k

now

ledg

e, a

nd

atti

tude

s re

quir

ed in

the

wor

kpla

ce.

The

org

aniz

atio

n an

d pr

e-se

rvic

e tr

aini

ng in

stit

u-

tion

s al

so o

ffer

reg

ular

in-

serv

ice

trai

ning

for

sta

ff

alre

ady

in th

e w

orkp

lace

to u

pgra

de th

eir

skil

ls a

nd

know

ledg

e, (

e.g.

, m

anag

emen

t tra

inin

g).

Tra

inin

g

Indi

cato

rsH

RD

C

ompo

nent

Stag

es o

f Hum

an R

esou

rce

Dev

elop

men

t and

Cha

ract

eris

tics


Interpreting Your ResultsThe following guidelines will help you to interpret the

results of your human resource management assessmentand prioritize areas for improvement.

It is important that a variety of staff (and boardmembers, if applicable) review and analyze the results,and that consensus is reached on human resource areasthat should be prioritized for improvement in theorganization. For each human resource component, thecharacteristics describe an organizational stage ofdevelopment and provide information that is useful indeveloping a plan of action for your organization.

The tasks required for making improvements are notnecessarily costly, but if resources are limited, thinkstrategically. Which actions will have the biggest impacton the effectiveness of the organization? Whatever theamount of time and resources that are required, aninvestment in HRM will reap many benefits for yourorganization.

Where to BeginThe components described in the HRM Instrument

relate to the different parts of a human resource system.Some of these describe structural and organizationalelements (e.g., staffing, budget). Other componentsdescribe policy requirements. Some of the componentsdescribe management systems that are critical tomanaging human resources, such as performancemanagement and supervision. Other components relateto staff training and development activities. An effectivehuman resource management system integrates all ofthese components.

While all of the components assessed by thisInstrument are required to manage your humanresources effectively, there is an order to theirimportance:

HRM Capacity. It is critical that you address thiscomponent first. If your assessment for HRM Capacity(budget and staff) is at a level 1 or 2, meaning that thereare no qualified staff charged with human resourcesresponsibility, your institution or organization cannotaddress the other human resource componentsdescribed here.

HRM Planning. Next in order of importance isHRM Planning. The organizational mission providesdirection to the human resource strategies and the HRMplan provides direction to the work that people do.

Personnel Policy and Practice. All of the elementsincluded under Personnel Policy and Practice providean essential framework for defining the terms andconditions of work and need to be in place beforeeffective performance management and supervisionsystems can be implemented.

HRM Data. In addition to the above components,organizations require some means of tracking the peoplewho work for them. They also need employee data toaccurately project employment needs. This componentshould be addressed in a timely fashion.

Performance Management. Performancemanagement and supervision systems define how peoplewill interact with each other and how the work that theydo will support the goals of the institution ororganization.

Training. Training is an essential component of aneffective human resource system, but it is most effectivewhen it is managed and integrated into the othercomponents of human resource planning, policy, andperformance management.

It is suggested that you assess your results based onthe priorities suggested above before developing youraction plan.


Developing an Action PlanAfter discussing and interpreting the results, the

group should agree on the priority areas to be addressed(referring to the prioritization guidelines above). Oncethe priority components are identified and agreed to, thegroup should develop an action plan (see the SampleHRM Action Plan on next page). By looking at thecharacteristics at the next higher stage for each humanresource component, you can formulate targets andtasks for your action plan.

Successful, lasting change is a gradual process, so itis better to set realistic goals and try to move from onestage to the next in incremental steps. If many areasneed to be addressed, focus on what is most practicaland achievable given the available human and financialresources. Consider where you can have the biggestimpact. For example, updating job descriptions canalso provide a basis for performance evaluation,

supervisory roles, and staff training. Your action planshould specify activities and time lines and identify thepersons responsible. Other elements to consider include:

• Securing commitment of leadership. Theleadership of your organization should guide theeffort and actively support your activities,especially in regard to potentially difficultdecisions regarding the use of human and financialresources.

• Allowing sufficient time. Realistic expectationsare often the key to success. Improvements areoften incremental and cumulative and sustainedchange takes time.

• Managing change. Organizational change isoften met with resistance. By involving people inthe process, you can help reduce resistance and/or work on those areas where there is the mostagreement.

14H

uman

Res

ourc

e Man

agem

ent A

sses

smen

t Too

l Sp

ring

1999

HR

D C

ompo

nent

for

Impr

ovem

ent

Pro

pose

d A

ctiv

itie

sT

ime

Lin

eP

erso

n(s)

Res

pons

ible

Res

ourc

es N

eede

dIn

dica

tors

Job

Des

crip

tion

sU

nder

take

a c

ompr

ehen

-si

ve r

evie

w o

f al

l job

de

scri

ptio

ns, c

ompa

re

them

with

em

ploy

ees'

cu

rren

t and

ant

icip

ated

job

resp

onsi

bilit

ies.

Upd

ate

as

nece

ssar

y.

Ove

r th

e ne

xt s

ever

al

mon

ths.

Exe

cuti

ve D

irec

tor

and

HR

D D

irec

tor.

Sta

ff ti

me

and

assi

stan

ce.

No

addi

tiona

l res

ourc

es

requ

ired

.

Cur

rent

job

desc

ript

ions

ar

e on

fil

e fo

r al

l sta

ff,

incl

udin

g sp

ecif

ic d

utie

s an

d li

nes

of s

uper

visi

on. A

pr

oced

ure

to m

aint

ain

them

is in

pla

ce.

Wor

k P

lann

ing

and

Per

form

ance

Rev

iew

Rev

ise

exis

ting

syst

em to

in

clud

e a

proc

ess

of jo

int

wor

k pl

anni

ng b

etw

een

the

empl

oyee

and

the

supe

rvis

or w

hich

is b

ased

on

em

ploy

ee's

job

desc

ript

ion

and

link

ed to

or

gani

zati

onal

goa

ls.

Six

mon

ths

to r

evie

w to

de

velo

p a

proc

ess

and

six

mon

ths

to tr

ain

staf

f an

d im

plem

ent i

t.

Staf

f re

spon

sibl

e fo

r H

RD

an

d D

irec

tor

of T

rain

ing,

w

ith

a w

orki

ng c

omm

itte

e re

pres

enta

tive

of a

ll le

vels

of

the

orga

niza

tion

.

Ext

erna

l con

sult

ant t

o as

sist

in tr

aini

ng a

ll s

taff

.R

evis

ed p

erfo

rman

ce

eval

uati

on s

yste

m is

in

plac

e. S

taff

are

trai

ned

and

a sy

stem

has

bee

n de

velo

ped

to m

onito

r im

plem

enta

tion

.

Sam

ple

HR

M A

ctio

n Pl

an


Defining the Importance of the HRM ComponentsThe following chart provides a summary of how each HRM component fits in the overall management of the

organization and its particular relevance to the human resource system.

HRD Area and Component Importance

HRD Budget Allows for consistent HRD planning and for relating costs to results.

HRD Staff Staff dedicated to HRD are essential to policy development and implementation.

Organizational Mission/Goals Mission provides direction to HRD activity and to the work of the staff.

HRD Planning Allows HRD resources to be used efficiently in support of organization goals.

Employee Data Allows for appropriate allocation and training of staff, tracking of personnel costs.

Computerization of Data Accessible, accurate, and timely data is essential for good planning.

Personnel Files Provide essential data on employee's work history in organization.

Job Classification System Allows organization to standardize the jobs and types of skills it requires.

Compensation and Benefits System Allows for equity in employee salary and benefits, tied to local economy.

Recruitment, Hiring, Transfer, and Promotion Assures fair and open process based on candidates’ job qualifications.

Orientation Program Helps new employees to identify with the organization and its goals/values.

Policy Manual Provides rules and regulations that govern how employees work and what to expect.

Discipline, Termination, and Grievance Procedures Provides fair and consistent guidelines for addressing performance problems.

Relationships with Unions Promotes understanding of common goals and decreases adversarial behaviors.

Labor Law Compliance Allows organization to function legally and avoid litigation.

HRD Capacity

HRD Planning

HRD Data

Personnel Policy and Practice


Glossary of HRM TermsCompensation and benefits: The annual base salary paid to the employee for a particular job, including theadded benefits that are customarily allowed (i.e., health, vacation, housing, loans).

Human resource management: The integrated use of systems, policies, and practices to recruit, develop,and maintain employees in order for the organization to meet its desired goals.

HRM Plan: The document which results from annual (or longer-term) planning, describing the goals andpriorities for staffing, training, and other HRM activities, and how they are related to the organization’smission. It includes the budget for achieving these goals.

Incentives: Rewards, generally monetary, that are used to reward good performance, the achievement ofobjectives, and/or to motivate employees to improve program quality. Incentives, in addition to salary andbenefits, can be a planned part of total compensation.

Job classification system: The system that the organization develops to classify jobs according to theirfunction and level of responsibility. It includes job descriptions for each position.

Job description: A document that states the job title, describes the responsibilities of the position, the directsupervisory relationships with other staff, and the skills and qualifications required for the position.

Performance Mmanagement: The system, policies, and procedures used by an organization to define andmonitor the work that people do, and to ensure that the tasks and priorities of employees are in alignment withthe mission and goals of the organization.

Performance review: A review of the employee’s performance by the supervisor and employee, and basedon jointly established work plans and performance objectives.

Recruitment: Activities undertaken by the organization to attract quality job candidates.

Work planning: The process used by supervisors and staff to jointly plan the performance objectives andspecific activities the employee is expected to perform within a specific time period.

HRD Area and Component Importance

Job Descriptions Defines what people do and how they work together.

Staff Supervision Provides a system to develop work plans and monitor performance.

Work Planning and Performance Review Provides information to staff about job duties and level of performance.

Staff Training A cost-effective way to develop staff and organizational capacity.

Management and Leadership Development Leadership and good management are keys to sustainability.

Links to External Pre-Service Training Pre-service training based on skills needed in the workplace is cost effective.

Performance Management

Training

FPMDManagement Sciences for Health891 Centre StreetBoston, Massachusetts 02130-2796USA

Phone: (617) 524-7766Fax: (617) 524-1363E-mail: [email protected]: http://www.msh.org

FPMD is supported by theUS Agency for InternationalDevelopment and implementedby Management Sciences forHealth.

ISSN 1060-9172Printed on recycled paper